11434 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

DEPARTMENT OF HOUSING AND 

URBAN DEVELOPMENT 

[Docket No. FR–5100–N–01A] 

Fiscal Year 2007 SuperNOFA for HUD’s 

Discretionary Programs 

AGENCY: Office of the Secretary, HUD. 

ACTION: Notice of HUD’s Fiscal Year 

(FY) 2007 Notice of Funding 

Availability (NOFA) for HUD’s 

Discretionary Programs (SuperNOFA). 

SUMMARY: On January 18, 2007, HUD 

published its Notice of FY2007 Notice 

of Funding Availability Policy 

Requirements and General Section to 

the SuperNOFA (General Section). HUD 

published the General Section of the 

FY2007 SuperNOFA in advance of the 

individual NOFAs to give prospective 

applicants sufficient time to begin 

preparing their applications, and to 

register early with Grants.gov in order to 

facilitate their application submission 

process. Today’s publication contains 

the 38 funding opportunities or program 

NOFAs that constitute HUD’s FY2007 

SuperNOFA. In addition, today’s 

publication provides a revised listing of 

programs contained in the FY2007 

SuperNOFA and corrects two items 

contained in the General Section 

published on January 18, 2007. 

DATES: Application deadline and other 

key dates that apply to all HUD federal 

financial assistance made available 

through HUD’s FY2007 SuperNOFA are 

contained in each individual program 

NOFA and in Appendix A of this notice. 

FOR FURTHER INFORMATION CONTACT: The 

individual program NOFA identifies the 

applicable agency contact(s) for each 

program. Questions regarding today’s 

Introduction to the SuperNOFA should 

be directed to the NOFA Information 

Center between the hours 10 a.m. and 

6:30 p.m. eastern time at (800) HUD– 

8929. Hearing-impaired persons may 

access this telephone via TTY by calling 

the toll-free Federal Information Relay 

Service at (800) 877–8339. Questions 

regarding specific program requirements 

should be directed to the agency 

contact(s) identified in each program 

NOFA. 

SUPPLEMENTARY INFORMATION: HUD 

published the General Section of the 

FY2007 SuperNOFA on January 18, 

2007 (72 FR 2396). HUD published the 

General Section in advance of the 

individual program NOFAs to give 

prospective applicants sufficient time to 

begin preparing their applications, and 

to register early with Grants.gov in order 

to facilitate their application submission 

process. Today’s publication contains 

the 38 individual funding opportunities, 

or program NOFAs, that constitute 

HUD’s FY2007 SuperNOFA. Through 

the FY2007 SuperNOFA, HUD is 

making available approximately $2 

billion in federal financial assistance. In 

addition, today’s publication provides a 

revised listing of programs contained in 

the FY2007 SuperNOFA and corrects 

one item contained in the General 

Section published on January 18, 2007. 

Each program NOFA provides the 

statutory and regulatory requirements, 

threshold requirements, and rating 

factors applicable to funding made 

available through the individual NOFA. 

Applicants must also review, however, 

the January 18, 2007, General Section 

for important application information 

and requirements, including submission 

requirements that provide explicit 

instructions on file formats acceptable 

to HUD. 

Appendix A to the January 18, 2007, 

General Section identified the funding 

opportunities anticipated to be included 

in the FY2007 SuperNOFA. HUD is 

revising and republishing Appendix A 

(Revised Appendix A) as part of today’s 

FY2007 SuperNOFA publication. 

Revised Appendix A provides an up-todate funding chart that lists the funding 

opportunities included in today’s 

FY2007 SuperNOFA publication, along 

with the application deadline. 

In reviewing Revised Appendix A, 

applicants should note that the 

Youthbuild NOFA, Brownfields 

Economic Development Initiative (BEDI) 

NOFA, and the Public Housing 

Neighborhood Networks (PH–NN) 

NOFA are not part of today’s FY2007 

SuperNOFA publication. The 

Youthbuild program was transferred to 

the U.S. Department of Labor on 

September 22, 2006, in accordance with 

Public Law 109–281, and will not be 

included in the FY2007 SuperNOFA. 

Persons interested in funding 

opportunities under the Youthbuild 

program should contact the U.S. 

Department of Labor. The BEDI and PH– 

NN were not funded in FY2007. HUD is 

also providing NOFAs for three 

programs that were not contained in its 

FY2006 SuperNOFA, specifically the 

Housing Counseling Training Program, 

Early Doctoral Student Research Grant 

Program, and the Doctoral Dissertation 

Research Program NOFAs. 

HUD is also using today’s publication 

to correct two items contained in the 

General Section published on January 

18, 2007. Initially, HUD noted in section 

V.A.1. (third column beginning on page 

2408 and continuing to page 2409), that: 

‘‘For each program NOFA, the points 

awarded for the rating factors total 100. 

Depending on the program for which 

you are seeking funding, the funding 

opportunity may provide up to four 

bonus points, as provided below:’’ 

In fact, since the FY2007 SuperNOFA 

offers bonus points only for applicants 

that certify that their activities or 

projects are located in, intended to serve 

the residents of, or are consistent with 

the strategic plan for an empowerment 

zone (EZ), utilization plan for an urban 

or rural renewal community designated 

by HUD (RC), or strategic plan for an 

enterprise community designated in 

round II by the U.S. Department of 

Agriculture (EZ–II), collectively referred 

to as ‘‘RC/EZ/EC–IIs,’’ only two bonus 

points are available. As a result, section 

V.A.1. (third column beginning on page 

2408 and continuing to page 2409), 

should read: ‘‘For each program NOFA, 

the points awarded for the rating factors 

total 100. Depending on the program for 

which you are seeking funding, the 

funding opportunity may provide up to 

two bonus points, as provided below:’’ 

HUD is also correcting instructions 

regarding the completion of the Logic 

Model form (HUD–96010). In the third 

sentence of section VI.C.5.b. (middle 

column, page 2414), HUD stated that 

applicants should include all activities 

and outcomes expected per year of the 

period of performance. To be consistent 

with and correctly complete the Logic 

Model forms, applicants are advised 

that they must include all activities and 

outcomes expected per year of the 

period of performance. As a result, the 

third sentence of section VI.C.5.b. is 

corrected to read, ‘‘[T]o provide for 

greater consistency in reporting, 

applicants must include all activities 

and outcomes expected per year of the 

period of performance as defined in the 

program logic model for the program 

NOFA that they apply for.’’ 

HUD published the General Section of 

the FY2007 SuperNOFA early to 

provide its applicant community with 

the opportunity to become familiar with 

cross-cutting requirements, and to 

remind prospective applicants to 

register or renew their registration in 

order to successfully submit an 

application via Grants.gov. 

Applicants are required to complete a 

five-step registration process in order to 

submit their applications electronically 

and previously registered applicants 

must annually update their information 

in the Central Contractor Registration 

(CCR) for the registration to remain 

viable. HUD has developed the 

following brochures and guidance, 

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

adm/grants/fundsavail.cfm, to assist 

applicants with the registration, CCR 

update, and application processes: 

• STEP BY STEP: Your Guide to 

Registering for Grant Opportunities. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11435 

• Finding and Applying for Grant 

Opportunities. 

• Desktop User Guide for Submitting 

Grant Applications. 

For FY2007, the Continuum of Care 

remains a paper application process. 

HUD continues to encourage Continuum 

of Care agencies to become familiar with 

Grants.gov requirements to facilitate the 

future transition to Grants.gov. If you 

have questions concerning the 

registration process or renewal, or have 

a question about a NOFA requirement, 

contact HUD staff listed in the program 

NOFAs. HUD staff cannot help you 

write your application, but can clarify 

requirements contained in this Notice 

and HUD’s registration materials. 

Finally, applicants are invited and 

encouraged to participate in HUD’s 

satellite training and webcast sessions 

designed to provide a detailed 

explanation of the general section and 

program section requirements for each 

of the SuperNOFA programs. The 

interactive broadcasts provide an 

opportunity to ask questions of HUD 

staff. These broadcasts are archived and 

accessible from HUD’s Grants page at 

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

fundsavail.cfm. HUD also encourages 

applicants to subscribe to the Grants.gov 

free notification service. By doing so, 

applicants will receive e-mail 

notification as soon as items are posted 

to Grants.gov and will have access to a 

significant amount of useful 

information, including responses to 

frequently asked questions that arise 

during the funding application period. 

The address to subscribe to the 

Grants.gov free notification service is 

http://www.grants.gov/search/email.do. 

Modifications to the General Section, 

any of the program NOFAs, or the 

application are posted to 

www.Grants.gov as soon as they are 

available (except for the Continuum of 

Care NOFA). Modifications to the 

Continuum of Care NOFA, or the 

Continuum of Care application are 

posted to HUD’s grants page at http:// 

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

fundsavail.cfm. 

As stated in the General Section, HUD 

hopes that the steps that it has taken to 

provide information early in the FY2007 

funding process will be of benefit to 

you, our applicants. 

Dated: February 26, 2007. 

Roy A. Bernardi, 

Deputy Secretary. 


rwilkins on PROD1PC63 with NOTICES_2
11436 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.000</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11437 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.001</GPH>
11438 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.002</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11439 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.003</GPH>
11440 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.004</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11441 

BILLING CODE 4210–01–C 

Community Development Technical 

Assistance 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Community Planning and 

Development. 

B. Funding Opportunity Title: 

Community Development Technical 

Assistance (CD–TA). 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: FR–

5100–N–08; OMB Approval Numbers: 

2506–0166 for HOME Investment 

Partnerships Program (HOME), HOME 

Investment Partnerships Program for 

Community Housing Development 

Organizations (CHDO (HOME)), and 

McKinney-Vento Homeless Assistance 

(Homeless), 2506–0133 for Housing 

Opportunities for Persons With AIDS 

(HOPWA). 

E. Catalog of Federal Domestic 

Assistance (CFDA) Numbers: 14.239, 

HOME and CHDO (HOME); 14.235, 

Homeless; 14.241, HOPWA. 

F. Dates: The application deadline 

date is May 25, 2007. 

G. Additional Overview Information: 

Applicants interested in providing 

technical assistance to entities 

participating in HUD’s community 

development programs should carefully 

review the General Section and the 

information listed in this CD–TA NOFA. 

Funds are available to provide technical 

assistance for four separate program 

areas: HOME, CHDO (HOME), 

Homeless, and HOPWA. Applicants 

may apply for one, two, three, or all four 

CD–TA program areas. The application 

submission information is contained in 

this CD–TA NOFA at Section IV.B. 

Approximately $25.4 million is 

available. No cost sharing is required. 

Grants will be administered under 

cooperative agreements with significant 

HUD involvement (see Section II.C of 

this NOFA). 

Full Text of Announcement 

I. Funding Opportunity Description 

A. CD–TA Purpose. The purpose of 

the CD–TA program is to provide 

assistance to achieve the highest level of 

performance and results for four 

separate community development 

program areas: (1) HOME; (2) CHDO 

(HOME); (3) Homeless and; (4) HOPWA. 

Information about the four community 

development programs and their 

missions, goals, and activities can be 

found on the HUD Web site at 

www.hud.gov. 

B. Description of National TA and 

Local TA. There are two types of 

technical assistance (TA) funding 

available in this NOFA: National TA 

and Local TA. 

National TA activities are those that 

address, at a nationwide level, one or 

more of the CD–TA program activities 

and/or priorities identified in Section 

III.C. of this NOFA. National TA 

activities may include the development 

of written products, development of online materials, development of training 

courses, delivery of training courses 

previously approved by HUD, 

organization and delivery of workshops 

and conferences, and delivery of direct 

TA as part of a national program. 

Applicants for National TA must also be 

willing to work in any HUD field office 

area, although work in the field office 

areas is likely to be a negligible portion 

of National TA activities. National TA 

activities are administered by a 

Government Technical Representative 

(GTR) and Government Technical 

Monitor (GTM) at HUD Headquarters. 

Local TA activities also must address 

the CD–TA program activities and/or 

priorities identified in this NOFA; 

however the Local TA is targeted to the 

specific needs of the HUD community 

development program recipients in the 

field office area in which the TA is 

proposed. Local TA activities are 

limited to the development of need 

assessments, direct TA to HUD 

community development program 

recipients, organization and delivery of 

workshops and conferences, and 

customization and delivery of 

previously HUD-approved trainings. 

Local TA will be administered by a GTR 

and GTM in the respective HUD field 

office. 

C. Authority. HOME TA is authorized 

by the HOME Investment Partnerships 

Act (42 U.S.C. 12781–12783); 24 CFR 

part 92. CHDO (HOME) TA is 

authorized by the HOME Investment 

Partnerships Act (42 U.S.C. 12773); 24 

CFR part 92. For the McKinney-Vento 

Act Homeless Assistance Programs TA, 

the Supportive Housing Program is 

authorized under 42 U.S.C. 11381 et 

seq.; 24 CFR 583.140; Emergency 

Shelter Grants, Section 8 Moderate 

Rehabilitation Single Room Occupancy 

Program, and Shelter Plus Care TA are 

authorized by the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007). 

HOPWA TA is also authorized under 

the continuing resolution. 

II. Award Information 

A. Available Funds. Approximately 

$25.4 million is available for the CD–TA 

program. Additional funds may become 

available as a result of recapturing 

unused funds. This chart shows how the 

funds are divided among National TA 

and Local TA activities: 

Program National TA Local TA 

HOME ....... $4,000,000 $6,000,000 

CHDO 

(HOME) 2,000,000 6,000,000 

Homeless .. 3,500,000 3,000,000 

HOPWA .... 900,000 0 

The Local TA funds are divided 

among HUD’s field office jurisdictions 

for the HOME, CHDO (HOME), and 

Homeless programs. No Local TA funds 

are available for HOPWA. In the case of 

the national CHDO (HOME) program, if 

less than the total amount of available 

funds is awarded, the balance may be 

used to make awards under the national 

HOME TA program, subject to 

congressional reprogramming approval, 

if applicable. The chart below shows the 

amounts available in dollars for Local 

TA by CD–TA program: 

Local TA Area HOME CHDO 

(HOME) Homeless 

Alabama ....................................................................................................................................... $75,000 $50,000 $55,000 

Alaska .......................................................................................................................................... 45,000 50,000 30,000 

Arkansas ...................................................................................................................................... 50,000 75,000 55,000 

California—Northern and Arizona, Nevada ................................................................................. 400,000 425,000 300,000 

California—Southern .................................................................................................................... 425,000 450,000 275,000 

Caribbean .................................................................................................................................... 125,000 100,000 40,000 

Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming ..................................... 175,000 195,000 60,000 

Connecticut .................................................................................................................................. 70,000 80,000 40,000 

District of Columbia area ............................................................................................................. 70,000 80,000 50,000 

Florida—Southern ........................................................................................................................ 75,000 60,000 25,000 


rwilkins on PROD1PC63 with NOTICES_2
11442 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Local TA Area HOME CHDO 

(HOME) Homeless 

Florida—Northern ........................................................................................................................ 125,000 76,000 85,000 

Georgia ........................................................................................................................................ 125,000 100,000 55,000 

Hawaii .......................................................................................................................................... 65,000 65,000 45,000 

Illinois ........................................................................................................................................... 180,000 175,000 160,000 

Indiana ......................................................................................................................................... 130,000 75,000 25,000 

Kansas and Missouri—Western .................................................................................................. 100,000 75,000 50,000 

Missouri—Eastern ........................................................................................................................ 40,000 55,000 40,000 

Kentucky ...................................................................................................................................... 250,000 150,000 55,000 

Louisiana ...................................................................................................................................... 100,000 100,000 54,000 

Maryland, except District of Columbia area ................................................................................ 60,000 50,000 30,000 

Massachusetts, Maine, New Hampshire, Rhode Island, Vermont .............................................. 310,000 300,000 200,000

Michigan ....................................................................................................................................... 175,000 225,000 150,000 

Minnesota .................................................................................................................................... 100,000 140,000 60,000 

Mississippi .................................................................................................................................... 150,000 250,000 50,000 

Nebraska and Iowa ...................................................................................................................... 90,000 55,000 40,000 

New Jersey .................................................................................................................................. 150,000 75,000 40,000 

New Mexico ................................................................................................................................. 200,000 275,000 60,000 

New York—Downstate ................................................................................................................. 200,000 425,000 210,000 

New York—Upstate ..................................................................................................................... 125,000 75,000 40,000 

North Carolina .............................................................................................................................. 300,000 300,000 55,000 

Ohio ............................................................................................................................................. 150,000 190,000 70,000 

Oklahoma ..................................................................................................................................... 55,000 40,000 15,000 

Oregon and Idaho ........................................................................................................................ 85,000 75,000 30,000 

Pennsylvania—Eastern and Delaware ........................................................................................ 225,000 125,000 50,000 

Pennsylvania—Western and West Virginia ................................................................................. 150,000 100,000 49,000 

South Carolina ............................................................................................................................. 65,000 34,000 40,000 

Tennessee ................................................................................................................................... 150,000 175,000 40,000 

Texas—Northern .......................................................................................................................... 150,000 175,000 85,000 

Texas—Southern ......................................................................................................................... 85,000 40,000 0 

Virginia, except District of Columbia area ................................................................................... 100,000 100,000 40,000 

Washington .................................................................................................................................. 100,000 65,000 40,000 

Wisconsin ..................................................................................................................................... 100,000 150,000 70,000 

Houston ........................................................................................................................................ 100,000 125,000 37,000 

B. Performance Period. Awards will 

be for a period of up to 36 months. 

HUD, however, reserves the right to 

withdraw funds from a specific TA 

provider if HUD determines that the 

urgency of need for the assistance is 

greater in other field office jurisdictions 

or the need for assistance is not 

commensurate with the award. 

C. Terms of Award. HUD will enter 

into a cooperative agreement with 

selected applicants for the performance 

period. Because CD–TA awards are 

made as cooperative agreements, 

implementation entails significant HUD 

involvement. Significant HUD 

involvement is required in all aspects of 

TA planning, delivery, and follow-up. 

In addition to the requirements listed 

in the General Section, selected 

applicants are subject to the following 

requirements: 

1. Demand-Response System. All CD–

TA awardees must operate within the 

structure of the demand-response 

system. Under the demand-response 

system, TA providers are required to: 

a. When requested by a GTR, market 

the availability of their services to 

existing and potential recipients within 

the jurisdictions in which the assistance 

will be delivered; 

b. Respond to requests for assistance 

from the GTR; 

c. When requested by a GTR, conduct 

a needs assessment to identify the type 

and nature of the assistance needed by 

the recipient of the assistance; 

d. Obtain the local HUD field office’s 

approval before responding to direct 

requests for technical assistance from 

HOME Participating Jurisdictions (PJs), 

Community Housing Development 

Organizations (CHDOs), and McKinneyVento Act Homeless Assistance and 

HOPWA grantees; and 

e. For CHDO (HOME) TA providers, 

secure a letter from a PJ stating that a 

CHDO, or prospective CHDO to be 

assisted by the provider, is a recipient 

or intended recipient of HOME funds 

and indicating, at its option, subject 

areas of assistance that are most 

important to the PJ. 

2. Training. When conducting training 

sessions as part of its CD–TA activities, 

CD–TA providers are required to: 

a. Design the course materials as 

‘‘step-in’’ packages so that HUD or other 

CD–TA providers may independently 

conduct the course on their own; 

b. Make the course materials available 

to the GTR in sufficient time for review 

(minimum of three weeks) and receive 

concurrence from the GTR on the 

content and quality prior to delivery; 

c. Provide all course materials in an 

electronic format that will permit wide 

distribution among TA providers, field 

offices, and HUD grantees; 

d. Arrange for joint delivery of the 

training with HUD participation when 

requested by the GTR; 

e. Deliver HUD-approved training 

courses that have been designed and 

developed by others on a ‘‘step-in’’ basis 

when requested; and 

f. Send trainers to approved ‘‘trainthe-trainers’’ sessions. The costs 

associated with attending these required 

sessions are eligible under the 

cooperative agreement. 

3. Field Office Involvement under 

National TA awards. When National TA 

providers are undertaking activities in 

field office jurisdictions, the National 

TA providers must work cooperatively 

with HUD field offices. Providers must 

notify the applicable HUD field office of 

the planned activities; consider the 

views or recommendations of that 

office, if any; follow those 

recommendations, to the degree 

practicable; and report to the applicable 

field office on the accomplishments of 

the assistance. 

D. Certification of HOME and CHDO 

TA Providers Required–Beginning 

FY2008. 

Many technical assistance providers 

have taken the HOME Certified 

Specialist—Regulations training and 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11443 

have passed the certification exam. 

Please note that beginning with the 

FY2008 NOFA, HUD intends to award 

higher points, under Rating Factor 1, to 

applicants delivering HOME or CHDO 

technical assistance that have staff who 

have taken and passed the HOME 

Certified Specialist—Regulations 

training and exam. 

At least ten HOME Certified 

Specialist—Regulations training 

deliveries are scheduled for 2007 and a 

number of slots are set aside for TA 

providers at each of these deliveries. 

Registration information for these 

deliveries can be found on the web at: 

http://www.icfhosting.com/hcd/cpd/ 

hcdcpd.nsf/webpages/Welcome.html. 

III. Eligibility Information 

A. Eligible Applicants. The eligible 

applicants for each of the four CD–TA 

programs are listed in the chart below. 

In accordance with the President’s faithbased initiative, HUD welcomes the 

participation of eligible faith-based and 

other community organizations in the 

CD–TA programs. 

Program Eligible applicants 

HOME ................... A for-profit or nonprofit professional and technical services company or firm that has demonstrated knowledge of the 

HOME program and the capacity to provide technical assistance services; 

A HOME Participating Jurisdiction (PJ); 

A public purpose organization, established pursuant to state or local legislation, responsible to the chief elected officer of a 

PJ; 

An agency or authority established by two or more PJs to carry out activities consistent with the purposes of the HOME 

program; or 

A national or regional nonprofit organization that has membership comprised predominantly of entities or officials of entities 

of PJs or PJs’ agencies or established organizations. 

CHDO (HOME) A public or private nonprofit intermediary organization that customarily provides services, in more than one community, related to the provision of decent housing that is affordable to low-income and moderate-income persons or related to the 

revitalization of deteriorating neighborhoods; has demonstrated experience in providing a range of assistance (such as financing, technical assistance, construction and property management assistance) to CHDOs or similar organizations 

that engage in community revitalization; and has demonstrated the ability to provide technical assistance and training for 

community-based developers of affordable housing. 

Note: Any organization funded to assist CHDOs under CD–TA may not undertake CHDO set-aside activities itself within its 

service area while under cooperative agreement with HUD. 

Homeless .............. A state; 

A unit of general local government; 

A public housing authority; or 

A public or private nonprofit or for profit organization, including educational institutions and area-wide planning organizations. 

HOPWA ................. A for-profit or nonprofit organization; 

A state; or 

A unit of general local government. 

Applicants must also meet the 

threshold requirements of the General 

Section, including the Civil Rights 

threshold in Section III (C). 

A consortium of organizations may 

apply for one or more CD–TA programs, 

but one organization must be designated 

as the applicant. 

Applicants may propose assistance 

using in house staff, sub contractors, sub 

recipients, and local organizations with 

the requisite experience and 

capabilities. Where appropriate, 

applicants should make use of TA 

providers located in the field office 

jurisdiction receiving services. 

B. Cost Sharing or Matching. None. 

C. Other 

1. Eligible Activities and Priorities. 

Funds may be used to provide TA to 

grantees, prospective applicants, and 

project sponsors of the HOME, CHDO 

(HOME), Homeless, and HOPWA 

programs. For each of the TA programs, 

activities may include but are not 

limited to written information such as 

papers, manuals, guides, and brochures; 

assistance to individual communities; 

needs assessments; and training. TA 

should include information needed by 

the grantee to meet all Fair Housing and 

section 504 requirements. The priority 

TA areas for each of the four program 

areas are: 

a. HOME TA. HUD has identified four 

HOME program technical assistance 

priorities. These priorities that result in 

measurable performance outputs and 

outcomes are: 

(1) Improve the ability of PJs to design 

and implement housing programs that 

reflect sound underwriting, 

management, and fiscal controls; 

demonstrate measurable outcomes in 

the use of public funds; and provide 

accurate and timely reporting of HOME 

program accomplishments. 

(2) Encourage public-private 

partnerships that yield an increase in 

the amount of private dollars leveraged 

for HOME-assisted projects and result in 

an increase in the commitment and 

production of HOME-assisted units. 

(3) Assist PJs in developing strategies 

that ameliorate the affordability gap 

between rapidly increasing housing 

costs and the less rapid growth in 

incomes among low-income 

households, especially among 

underserved populations (e.g., residents 

of the Colonias, homeless persons, 

persons with disabilities, and residents 

of an empowerment zone (EZ) 

designated by HUD or the United States 

Department of Agriculture (USDA), an 

urban or rural renewal community 

designated by HUD (RC), or an 

enterprise community designated in 

round II by USDA (EC–II). 

(4) Assist PJs in developing strategies 

that increase and help sustain 

homeownership opportunities for lowincome households—particularly lowincome, minority households—and 

directly result in the commitment and 

completion of HOME-assisted units. 

Some examples of measurable 

performance outputs and outcomes are 

given in Rating Factor 5. 

b. CHDO (HOME) TA. 

(1) HUD has identified three CHDOspecific technical assistance priorities. 

These priorities that result in 

measurable performance outputs and 

outcomes are: 

(a) Assist new CHDOs and potential 

CHDOs in developing the organizational 

capacity to own, develop, and sponsor 

HOME-assisted projects. A new CHDO 

is defined as a nonprofit organization 

that within three years of the 

publication of this NOFA was 


rwilkins on PROD1PC63 with NOTICES_2
11444 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

determined by a PJ to qualify as a 

CHDO. A potential CHDO is defined as 

a nonprofit organization that is expected 

by the PJ to qualify as a CHDO and is 

expected to enter into a written 

agreement with that PJ to own, develop, 

or sponsor HOME-assisted housing 

within 24 months of the PJ determining 

the organization qualifies as a CHDO. 

(b) Improve the HOME program 

production and performance of existing 

CHDOs in the areas of: 

(i) Program design and management, 

including underwriting, project 

financing, property management, and 

compliance; and 

(ii) Organizational management and 

capacity, including fiscal controls, 

board development, contract 

administration, and compliance 

systems. 

(c) Provide organizational support, 

technical assistance, and training to 

community groups for the establishment 

of community land trusts, as defined in 

section 233(f) of the Cranston-Gonzales 

National Affordable Housing Act. 

(2) Additional CHDO (HOME) eligible 

activities are: 

(a) Under the ‘‘Pass-Through’’

provision, CD–TA providers may 

propose to fund various operating 

expenses for eligible CHDOs that own, 

develop, or sponsor HOME-assisted 

housing. Such operating expenses may 

include reasonable and necessary costs 

for the operation of the CHDO including 

salaries, wages, and other employee 

compensation and benefits; employee 

education, training and travel; rent; 

utilities; communication costs; taxes; 

insurance; equipment, materials, and 

supplies. 

(b) CD–TA providers must establish 

written criteria for selection of CHDOs 

receiving pass-through funds. PJs must 

designate the organizations as CHDOs; 

and, generally, the organizations should 

not have been in existence more than 

three years. 

CD–TA providers must enter into an 

agreement with the CHDO that the 

agreement and pass-through funding 

may be terminated at the discretion of 

HUD if no written legally binding 

agreement to provide assistance for a 

specific housing project (for acquisition, 

rehabilitation, new construction, or 

tenant-based rental assistance) has been 

made by the PJ with the CHDO within 

24 months of initially receiving passthrough funding. The pass-through 

amount, when combined with other 

capacity building and operating support 

available through the HOME program, 

cannot exceed the greater of 50 percent 

of the CHDO’s operating budget for the 

year in which it receives funds, or 

$50,000 annually. 

c. Homeless TA. Homeless TA funds 

are available to provide McKinneyVento Homeless Assistance Act, HUDfunded grantees, project sponsors, and 

potential recipients with skills and 

knowledge needed to develop and 

operate projects and activities. The 

assistance may include, but is not 

limited to, developing and 

disseminating written information such 

as papers, monographs, manuals, 

curriculums, guides, and brochures; and 

person-to-person exchanges, 

conferences, training and use of 

technology. TA activities are focused on 

these priorities that result in measurable 

performance outputs and outcomes: 

(1) Assist CoCs with Homeless 

Management Information System 

(HMIS) implementation. National 

technical assistance will relate to data 

collection, data quality, data analysis, 

provider participation, reporting, 

performance measurement, data 

warehousing, and HMIS Data and 

Technical Standards. 

(2) Maintain and enhance the HMIS 

Web site portal as the vehicle for 

collection and dissemination of HMIS 

information. 

(3) Support collaboration between 

metropolitan, regional and statewide 

HMISs. Assistance may include 

providing state and/or regional HMIS 

technical assistance coordinators and/or 

technology to promote effectuating longdistance meeting, conferencing and 

networking. 

(4) Support collaboration between 

metropolitan, regional, and statewide 

HMISs for use in disaster preparedness 

and recovery efforts, utilizing the 

experience of communities that 

experienced Hurricanes Katrina and 

Rita. 

(5) Improve participation in the 

Annual Homeless Assessment Report 

(AHAR) by CoCs and providers in their 

geographic areas through outreach and 

capacity building. Develop materials 

and training for: Reporting bed 

coverage; extrapolation and data 

analysis methodologies and documents; 

data integration; data quality 

assessments; utilization of AHAR data at 

the program and/or CoC level; and the 

collection and analysis of CoC data for 

Congressionally-directed HMIS-related 

reports to Congress. 

d. HOPWA TA. HOPWA funds are 

available for technical assistance, 

training, and oversight activities which 

can be used to provide grantees, project 

sponsors, and potential recipients with 

the skills and knowledge to effectively 

develop, operate, and support HOPWAeligible project activities that result in 

measurable performance outputs and 

outcomes. TA activities are focused on 

these priorities: 

(1) Improve the capacity of HOPWA 

grantees and project sponsors to execute 

long-term comprehensive housing 

strategies by developing housing plans 

that integrate permanent housing and 

supportive services, thereby promoting 

HOPWA’s national performance goals of 

increasing housing stability, reducing 

risks of homelessness, and improving 

access to care for HOPWA beneficiaries. 

(2) Develop national models that 

effectively integrate AIDS housing 

strategies into consolidated planning 

and Continuum of Care planning 

processes. 

(3) Develop curriculums and related 

training tools to assist grantees and 

project sponsors in coordinating 

HOPWA permanent housing assistance 

with mainstream medical and 

supportive service resources, including 

Ryan White CARE Act, state, local, and 

private resources. 

(4) Conduct training activities to 

improve the capacity of grantees and 

project sponsors to increase the 

availability of affordable housing 

opportunities for eligible persons in 

high incidence HIV/AIDS communities 

with substantial unmet housing needs 

(e.g., emerging populations, in major 

disaster areas and underserved rural 

areas.) 

(5) Develop training materials to 

promote use of Homeless Management 

Information Systems in the provision of 

HOPWA-assisted housing and 

coordination of supportive services for 

eligible homeless persons. 

(6) Develop technical assistance plans 

in collaboration with HUD field office 

oversight for local HOPWA-assisted 

housing programs. It is estimated that 

up to 40 percent of HOPWA TA funds 

will be made available for this purpose. 

2. DUNS Requirement. Refer to the 

General Section for information 

regarding the DUNS requirement. 

Applicants must obtain a DUNS number 

to receive an award from HUD. 

3. Other Eligibility Requirements. All 

applicants requesting funding from 

programs under this NOFA must be in 

compliance with the applicable 

threshold requirements found in the 

General Section. Applicants that do not 

meet these requirements will be 

ineligible for funding. 

4. False Statements. An applicant’s 

false statement in an application is 

grounds for denial or termination of an 

award and grounds for possible 

punishment as provided in 18 U.S.C. 

1001. 

5. Environmental review. Most 

activities under the CD–TA program are 

categorically excluded and not subject 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11445 

to environmental review under 24 CFR 

50.19(b)(9) or (13), but in the case of 

CHDO (HOME) TA eligible activities, a 

proposal for payment of rent as part of 

CHDO operational costs will be subject 

to environmental review by HUD under 

24 CFR part 50. If an applicant proposes 

to assist CHDO operating expenses that 

include rent, the application constitutes 

an assurance that the applicant and 

CHDO will assist HUD to comply with 

24 CFR part 50; will supply HUD with 

all available and relevant information to 

perform an environmental review for 

the proposed property to be rented; will 

carry out mitigating measures required 

by HUD or select an alternate property; 

and will not lease or rent, construct, 

rehabilitate, convert or repair the 

property, or commit or expend HUD or 

non-HUD funds for these activities on 

the property to be rented, until HUD has 

completed an environmental review to 

the extent required by 24 CFR part 50. 

The results of the environmental review 

may require that the proposed property 

be rejected. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package. Applications must be received 

and validated by Grants.gov no later 

than 11:59:59 p.m. Eastern time on the 

application deadline date. HUD must 

receive paper copy applications from 

applicants that received a waiver no 

later than 11:59:59 p.m. on the 

application deadline date. See the 

General Section for application 

submission and timely receipt 

procedures and for instructions on how 

to request a waiver. Paper applications 

will not be accepted unless the 

applicant has received a waiver of the 

electronic submission requirement. 

B. Content and Form of Application 

Submission. Applicants must submit a 

separate application for each National 

TA and Local TA area program for 

which they are applying. For example, 

an applicant for National TA for HOME 

and for Local TA in three field office 

jurisdictions would submit four separate 

and distinct applications. 

A completed application consists of 

an application submitted by an 

authorized official of the organization 

and contains all relevant sections of the 

application, as shown in the checklist 

below in Section IV.B.4. 

1. Number of Copies. This 

information will be included in 

approval letters to applicants submitting 

a waiver request. 

2. Page Limitation. Narratives 

addressing Factors 1–5 are limited to no 

more than 25 typed pages. That is, 

reviewers will not review more than 25 

pages for all five factors combined, 

except that the page limit does not 

include the Form HUD–96010, Logic 

Model. 

3. Prohibition on Materials Not 

Required. Materials other than what is 

requested in this NOFA are prohibited. 

Reviewers will not consider re ́sume ́s, 

charts, letters, or any other documents 

attached to the application. 

4. Checklist for Application 

Submission. Applicants submitting 

electronic copies should follow the 

procedures in Sections IV.B. and F. of 

the General Section. The following 

checklist is provided as a guide to help 

ensure that you submit all the required 

elements. For applicants receiving a 

waiver of the electronic submission, the 

paper submission must be in the order 

provided below. All applicants should 

enter the applicant name, DUNS 

number, and page numbers on the 

narrative pages of the application. All 

forms are available when you download 

the application and instructions from 

https://apply.grants.gov/ 

forms_apps_idx.html. 

—SF–424, Application for Federal 

Assistance (see General Section) 

—An Application Cover Page indicating 

in bold (a) the type of TA proposed 

in the application whether HOME 

National, CHDO National, CHDO 

Local, Homeless National, Homeless 

Local, or HOPWA National (b) the 

amount of funds requested; and (c) for 

Local TA, the jurisdiction proposed in 

the application. 

—A one-page Summary describing (a) 

each major component of the 

proposed TA approach; (b) the 

proposed cost of each major 

component; and (c) whether the 

component is integrally related to 

another component in order to be 

successful. 

—Narrative addressing Factors 1–5 

—HUD–96010, Logic Model 

—HUD–424–CB, Grant Application 

Detailed Budget Form (see General 

Section) 

—HUD–424–CBW, Detailed Budget 

Worksheet for Non-Construction 

Projects (see General Section) 

—If applying for CHDO (HOME) TA, 

statement as to whether the 

organization proposes to pass through 

funds to new CHDOs. 

—If applying for the CHDO (HOME) TA, 

a certification as to whether the 

organization qualifies as a primarily 

single-state provider under section 

233(e) of the Cranston-Gonzales 

Affordable Housing Act. 

—SF–LLL, Disclosure of Lobbying 

Activities (see General Section) 

—HUD–2880, Applicant/Recipient 

Disclosure/Update Report (see 

General Section) 

—SF–424, Supplement, Survey on 

Equal Opportunity for Applicants 

—HUD–96011, Facsimile Transmittal 

(required for electronic submissions 

of third party documents) 

C. Submission Dates and Times. Your 

completed application must be received 

and validated electronically by 

Grants.gov no later than 11:59:59 p.m. 

eastern time on the deadline date. 

D. Intergovernmental Review. 

Intergovernmental review is not 

applicable to CD–TA applications. 

E. Funding Restrictions. An 

organization may not provide assistance 

to itself. An organization may not 

provide assistance to another 

organization with which it contracts or 

sub-awards funds to carry out activities 

under the TA award. 

Funding from HOME and from CHDO 

(HOME) TA to any single eligible 

organization (excluding funds for 

organizational support and housing 

education ‘‘passed through’’ to CHDOs), 

whether as an applicant or sub-recipient 

is limited to not more than 20 percent 

of the operating budget of the recipient 

organization for any one-year period of 

each cooperative agreement. In addition, 

funding under either HOME or CHDO 

(HOME) TA to any single organization 

is limited to 20 percent of the 

$18,000,000 made available for HOME 

and CHDO (HOME) TA in FY2007. 

Not less than 40 percent of the 

approximately $8,000,000 for CHDO 

(HOME) shall be made available for 

eligible TA providers that have worked 

primarily in one state. HUD will 

consider an applicant as a primarily 

single state TA provider if it can 

document that more than 50 percent of 

its past activities in working with 

CHDOs or similar nonprofit and other 

organizations (on the production of 

affordable housing, revitalization of 

deteriorating neighborhoods, and/or the 

delivery of technical assistance to these 

groups) was confined to the geographic 

limits of a single state. 

No fee or profit may be paid to any 

recipient or sub-recipient of an award 

under this CD–TA NOFA. 

F. Other Submission Requirements. 

The General Section describes 

application submission procedures and 

how applicants may obtain proof of 

timely submission. 

Waiver of Electronic Submission 

Requirements. Applicants interested in 

applying for funding under this NOFA 

must submit their applications 

electronically or request a waiver from 

the Community Development Technical 

Assistance program. Applicants should 


rwilkins on PROD1PC63 with NOTICES_2
11446 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

submit their waiver requests in writing 

by e-mail. Waiver requests must be 

submitted no later than 15 days prior to 

the application deadline date and 

should be submitted to 

Mark_A._Horwath@hud.gov. 

Instructions regarding the number of 

copies to submit and the address where 

they must be submitted will be 

contained in any approval of the waiver 

request. Paper submissions must be 

received at the appropriate HUD 

office(s) no later than the deadline date. 

V. Application Review Information 

A. Criteria. The maximum number of 

points to be awarded for a CD–TA 

application is 100. The minimum score 

for an application to be considered for 

funding is 75 with a minimum of 20 

points on Factor 1. The CD–TA program 

is not subject to bonus points, as 

described in the General Section. 

Points are assigned on five factors. 

When addressing Factors 2–5, 

applicants should discuss the specific 

TA activities that will be carried out 

during the term of the cooperative 

agreement. Applicants should provide 

relevant examples to support the 

proposal, where appropriate. Applicants 

should also be specific when describing 

the communities, populations, and 

organizations that they propose to serve 

and the specific outcomes expected as a 

result of the TA. 

Factor 1 relates to the capacity of the 

applicant and its relevant organizational 

experience. Rating of the ‘‘applicant’’ or 

the ‘‘applicant’s organization and staff’’

includes in-house staff and any subcontractors and sub-recipients which 

are firmly committed to the project. In 

responding to Factor 1, applicants 

should specify the experience, 

knowledge, skills, and abilities of the 

applicant’s organization and staff, and 

any persons and organizations firmly 

committed to the project. 

Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Experience (30 points) (Minimum for 

Funding Eligibility—20 points) 

a. (10 points) Recent and successful 

experience of the applicant’s 

organization in providing TA in eligible 

activities and to eligible entities for the 

HOME, CHDO (HOME), Homeless, or 

HOPWA. CD–TA programs, as 

applicable. 

In rating this factor, HUD will 

consider the extent to which the 

application demonstrates successful 

experience within the last four years of 

providing TA related to the applicable 

CD–TA program. 

b. (10 points) Depth of experience in 

managing multiple TA tasks, to multiple 

entities, and in more than one 

geographic area. 

In rating this factor, HUD will 

consider the extent to which the 

application demonstrates ability to 

manage TA assignments effectively. 

c. (10 points) Knowledgeable key 

personnel skilled in providing TA in 

one or more of the eligible activities for 

HOME, CHDO (HOME), Homeless, and/ 

or HOPWA programs, as applicable; a 

sufficient number of staff or ability to 

procure qualified experts or 

professionals with the knowledge, 

skills, and abilities to deliver the 

proposed level of TA in the proposed 

service area in a timely and effective 

fashion; and an ability to provide CD–

TA in a geographic area larger than a 

single city or county. 

In rating this factor, HUD will 

consider the extent to which the 

application demonstrates the 

organization has an adequate number of 

key staff or ability to procure 

individuals with the knowledge of 

effective TA approaches and knowledge 

of HOME, CHDO (HOME), Homeless, or 

HOPWA, as applicable. 

Rating Factor 2: Need/Extent of the 

Problem (10 points) 

a. For National TA applications: 

Sound and extensive understanding of 

need for TA in relation to the priorities 

listed in Section III C of this NOFA as 

demonstrated by objective information 

and/or data, such as information from 

HOME Snapshots, current census data, 

the American Housing Survey, or other 

relevant data sources. 

b. For Local TA applications: Sound 

and extensive understanding of high 

priority needs for TA in the jurisdiction 

as demonstrated by objective 

information and/or data, such as 

information from HOME Snapshots, 

current census data, the American 

Housing Survey, or other relevant data 

sources. 

In rating this factor, HUD will 

evaluate the extent to which the 

application demonstrates an 

understanding of the specific needs for 

TA and supports the description of need 

with reliable, program-specific, 

quantitative information. Applicants for 

HOME should, at a minimum, draw on 

HOME Snapshot information to 

demonstrate PJs’ needs, in an area or 

nationwide, for additional training and 

capacity building. See http:// 

www.hud.gov/offices/cpd/ 

affordablehousing/programs/home/ 

snapshot/index.cfm. 

Rating Factor 3: Soundness of Approach 

(40 points) 

a. (25 points) (1) For National TA 

applications: A sound approach for 

addressing the need for eligible TA 

activities in relation to the priorities 

listed in Section III C of this NOFA that 

will result in positive outcomes. 

(2) For Local TA applications: A 

sound approach for addressing high 

priority needs for TA in the jurisdiction 

that will result in positive outcomes. 

In rating this factor, HUD will 

evaluate the extent to which the 

application presents and supports a 

detailed, feasible, practical approach for 

addressing TA needs (Local TA 

applications) or CD–TA program 

priorities (National TA applications), 

including techniques, timeframes, goals, 

and intended beneficiaries, and the 

likelihood that these activities will be 

cost-effective and will result in positive 

outcomes. 

b. (10 points) A feasible work plan for 

designing, organizing, managing, and 

carrying out the proposed TA activities 

under the demand-response system. 

In rating this factor, HUD will 

evaluate the applicant’s understanding 

of the demand-response system and the 

extent to which the application 

demonstrates the efficiency of the 

design, organization, and management 

of the proposed activities. 

c. (5 points) An effective assistance 

program to specific disadvantaged 

communities, populations, and/or 

organizations which previously have 

been underserved and have the 

potential to participate in the CD–TA 

program (such as the Colonias, an 

empowerment zone (EZ) designated by 

HUD or the United States Department of 

Agriculture (USDA), an urban or rural 

renewal community designated by HUD 

(RC), an enterprise community 

designated in round II by USDA (EC–II), 

or homeless persons and persons with 

disabilities). 

In rating this factor, HUD will 

evaluate the extent to which the 

applicant has identified and has 

documented, using reliable data, 

specific communities, populations, or 

organizations that have been 

disadvantaged or previously 

underserved communities, populations, 

or organizations and has developed an 

effective strategy for engaging their 

participation in the HOME, CHDO 

(HOME), Homeless, or HOPWA 

program, as applicable. 

Rating Factor 4: Leveraging Resources 

(10 points) 

An efficient practical method to 

transfer manuals, guides, assessment 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11447 

forms, other work products, models, and 

lessons learned in its CD–TA activities 

to other CD–TA grantees and/or HOME, 

CHDO (HOME), Homeless, or HOPWA 

program beneficiaries. 

In rating this factor, HUD will 

evaluate the extent to which the 

application demonstrates a costeffective means of sharing resources 

developed under the CD–TA activities 

with a wide audience, including sharing 

information with other TA providers in 

the CD–TA program. 

Rating Factor 5: Achieving Results 

and Program Evaluation (10 points) 

a. (5 points) An effective, quantifiable 

evaluation plan for measuring 

performance using the Logic Model with 

specific outcome measures and 

benchmarks, including—for HOME 

applicants—performance improvements 

as measured by the HOME Snapshot 

indicators. 

In rating this factor, HUD will 

evaluate the extent to which the 

application has an evaluation plan that 

includes outcomes and is specific, 

measurable, and appropriate in relation 

to the activities proposed. 

b. (5 points) Successful past 

performance in administering HUD CD–

TA programs or, for applicants new to 

HUD’s CD–TA Programs, successful past 

performance in providing TA in other 

community development programs. 

Applicants should include, as 

applicable, increases in CPD or 

community development program 

accomplishments as a result of TA (e.g., 

number of homeless people or persons 

with HIV/AIDS receiving housing and 

services, efficiency or effectiveness of 

administration of CPD or community 

development programs, number of 

affordable housing units, HOME 

Snapshot indicators, timeliness of use of 

CPD or community development 

program funds). 

In rating this factor, HUD will 

evaluate the extent to which the 

application demonstrates successful 

past performance that was timely and 

resulted in positive outcomes in the 

delivery of community development 

TA. HUD will also consider past 

performance of current CD–TA 

providers, including financial and other 

information in HUD’s files. 

B. Review and Selection Process 

1. Review Types. Two types of 

reviews will be conducted. First, HUD 

will review each application to 

determine whether it meets threshold 

eligibility requirements. 

Second, HUD will review and assign 

scores to applications using the Factors 

for Award noted in Section V.A. 

2. Ranked Order. 

a. Once rating scores are assigned, 

rated applications submitted for each 

National TA program and for each Local 

TA program will be listed in ranked 

order. Applications within the fundable 

range (score of 75+ points with 20+ 

points for Factor 1) may then be funded 

in ranked order under the CD–TA 

program and service area for which they 

applied. 

b. For purposes of coordinating 

activities on a national basis, HUD 

reserves the right to select a single 

national provider to carry out activities, 

as follows: 

(1) one for HOPWA technical 

assistance activities, including national 

products and local support; 

(2) one for HMIS technical assistance 

activities; 

(3) one for HOME and one for CHDO 

technical assistance activities. 

3. Threshold Eligibility Requirements. 

All applicants requesting CD–TA must 

be in compliance with the applicable 

threshold requirements found in the 

General Section and the eligibility 

requirements listed in Section III of this 

NOFA in order to be reviewed, scored, 

and ranked. Applications that do not 

meet these requirements and 

applications that were received after the 

deadline (see Section IV.C of the 

General Section) will be considered 

ineligible for funding. 

4. Award Adjustment. In addition to 

the funding adjustment authority 

provided for in the General Section, 

HUD reserves the right to adjust funding 

amounts for each CD–TA selectee. The 

amounts listed in the charts in Section 

II.A are provided to assist applicants to 

develop Local TA or National TA 

budgets and do not represent the exact 

amounts to be awarded. Once TA 

applicants are selected for award, HUD 

will determine the total amount to be 

awarded to any selected applicant based 

upon the size and needs of each of the 

selected applicant’s service areas, the 

funds available for that area and CD–TA 

program, the number of other CD–TA 

applicants selected in that area or CD–

TA program, and the scope of the TA to 

be provided. 

Additionally, HUD may reduce the 

amount of funds allocated for field 

office jurisdictions to fund National CD–

TA providers and other CD–TA 

providers for activities that cannot be 

fully budgeted for or estimated by HUD 

Headquarters or field offices at the time 

this NOFA was published. HUD may 

also require selected applicants, as a 

condition of funding, to provide 

coverage on a geographically broader 

basis than proposed in order to 

supplement or strengthen the CD–TA 

network in terms of the size of the area 

covered and types and scope of TA 

proposed. 

If funds remain after all selections 

have been made, the remaining funds 

may be distributed among field offices 

for Local TA and/or used for National 

TA, or made available for other CD–TA 

program competitions. 

VI. Award Administration Information 

A. Award Notices. HUD will send 

written notifications to both successful 

and unsuccessful applicants. A 

notification sent to a successful 

applicant is not an authorization to 

begin performance. 

After selection, HUD requires that all 

selected applicants participate in 

negotiations to determine the specific 

terms of the cooperative agreement, 

including the budget. Costs may be 

denied or modified if HUD determines 

that they are not allowable, allocable, 

and/or reasonable. In cases where HUD 

cannot successfully conclude 

negotiations with a selected applicant or 

a selected applicant fails to provide 

HUD with requested information, an 

award will not be made to that 

applicant. In this instance, HUD may 

offer an award, and proceed with 

negotiations with the next highestranking applicant. 

After selection for funding but prior to 

executing the cooperative agreement, 

the selected applicant must develop in 

consultation with the GTR, a Technical 

Assistance Delivery Plan (TADP) for 

each National TA award. The TADP 

must be approved by the GTR and 

delineate the tasks for each CD–TA 

program the applicant will undertake 

during the performance period. For 

Local TA awards and generally for 

National TA awards, prior to 

undertaking individual tasks, the 

selected applicant must develop in 

consultation with the GTR a Work Plan 

for specific activities. The TADP and the 

Work Plans must specify the location of 

the proposed CD–TA activities, the 

amount of CD–TA funding and 

proposed activities by location, the 

improved program performance or other 

results expected from the CD–TA 

activities, and the methodology to be 

used for measuring the success of the 

CD–TA. A detailed time schedule for 

delivery of the activities, budget 

summary, budget-by-task, and staffing 

plan must be included in the TADP and 

Work Plans. 

After selection, but prior to award, 

applicants selected for funding will be 

required to provide HUD with their 

written Code of Conduct if they have 

not previously done so and it is 

recorded on the HUD Web site at http:// 


rwilkins on PROD1PC63 with NOTICES_2
11448 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

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

codeofconduct/sconduct.cfm. 

B. Administrative and National Policy 

Requirements. After selection for 

funding but prior to award, applicants 

must submit financial and 

administrative information to comply 

with applicable requirements. These 

requirements are found in 24 CFR part 

84 for all organizations except states and 

local governments whose requirements 

are found in 24 CFR Part 85. Cost 

principles requirements are found at 

OMB Circular A–122 for nonprofit 

organizations, OMB Circular A–21 for 

institutions of higher education, OMB 

Circular A–87 for states and local 

governments, and at 48 CFR 31.2 for 

commercial organizations. Applicants 

must submit a certification from an 

Independent Public Accountant or the 

cognizant government auditor, stating 

that the applicant’s financial 

management system meets prescribed 

standards for fund control and 

accountability. 

See the General Section for 

requirements for Procurement of 

Recovered Materials. 

The requirements to Affirmatively 

Further Fair Housing do not apply. 

C. Reporting. CD-TA awardees will be 

required to report to the GTR on, at a 

minimum, a quarterly basis unless 

otherwise specified in the cooperative 

agreement. As part of the required 

report to HUD, grant recipients must 

include a completed Logic Model (HUD 

96010), which identifies output and 

outcome achievements. For FY 2007, 

HUD is considering a new concept for 

the Logic Model. The new concept is a 

Return on Investment (ROI) statement. 

HUD will be publishing a separate 

notice on the ROI concept. 

VII. Agency Contacts 

A. For Assistance. Applicants may 

contact HUD Headquarters at 202–708–

3176, or they may contact the HUD field 

office serving their area shown in 

Section VII.B. Persons with hearing and 

speech challenges may access the above 

numbers via TTY (text telephone) by 

calling the Federal Relay Service at 800–

877–8339 (this is a toll-free number). 

Information may also be obtained 

through the HUD Web site on the 

Internet at www.hud.gov. 

B. List of Field Office Addresses. 

Applicants that receive a waiver of the 

electronic application submission 

requirements and need to submit copies 

of their application to HUD field offices 

should consult the following Web site 

for a listing of the HUD field office 

addresses to send Local TA 

applications: http://www.hud.gov/ 

offices/cpd/about/staff/fodirectors/ 

index.cfm. 

At the site, the map allows the user 

to click on an area to obtain the field 

office address and other contact 

information. 

VIII. Other Information 

A. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

numbers 2506–0166 and 2506–0133. In 

accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 60 hours for the application and 

grant administration. This includes the 

time for collecting, reviewing, and 

reporting the data. The information will 

be used for grantee selection and 

monitoring the administration of funds. 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

B. HUD Reform Act. The provisions of 

the HUD Reform Act of 1989 that apply 

to the CD-TA program are explained in 

the General Section. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11449 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.005</GPH>
11450 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Community Development Block Grant 

Program for Indian Tribes and Alaska 

Native Villages 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of the Assistant Secretary for 

Public and Indian Housing, Office of 

Native American Programs (ONAP). 

B. Funding Opportunity Title: 

Community Development Block Grant 

(ICDBG) Program for Indian Tribes and 

Alaska Native Villages. 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: The 

Federal Register number is FR 5100-N–

22. The OMB Approval Number is 

2577–0191. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): The 

Catalog of Federal Assistance (CFDA) 

Number for the ICDBG program is 

14.862. 

F. Dates: Application Deadline: 

Applications must be received and 

validated no later than the deadline date 

of June 1, 2007. Please see Section IV of 

this NOFA for application submission 

and timely receipt requirements. 

G. Additional Information: 

1. Applicants for funding should 

carefully review the requirements 

identified in this NOFA and the General 

Section. Unless otherwise stated in this 

NOFA, the requirements of the General 

Section apply. 

2. The total approximate amount of 

funding available for the ICDBG 

program for fiscal year 2007 is $59.4 

million less $3.96 million retained to 

fund Imminent Threat Grants, for a total 

of $55.4 million. Funds that are carried 

over from previous fiscal years or are 

recaptured may also be used for grant 

awards under this NOFA. 

3. Eligible applicants are Indian tribes 

or tribal organizations on behalf of 

Indian tribes. Specific information on 

eligibility is located in Section III.A. of 

this NOFA. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. General. Title I of the Housing and 

Community Development Act of 1974, 

which authorizes Community 

Development Block Grants, requires that 

grants for Indian tribes be awarded on 

a competitive basis. All grant funds 

awarded in accordance with this NOFA 

are subject to the requirements of 24 

CFR part 1003. Applicants within an 

Area ONAP’s geographic jurisdiction 

compete only against each other for that 

Area ONAP’s allocation of funds. 

B. Authority. The authority for this 

program is Title I of the Housing and 

Community Development Act of 1974 

(42 U.S.C. 5301 et seq.) and the program 

regulations in 24 CFR part 1003. 

C. Program Description. The purpose 

of the ICDBG program is the 

development of viable Indian and 

Alaska Native communities, including 

the creation of decent housing, suitable 

living environments, and economic 

opportunities primarily for persons with 

low- and moderate-incomes as defined 

in 24 CFR 1003.4. The ONAP in HUD’s 

Office of Public and Indian Housing 

administers the program. 

Projects funded by the ICDBG 

program must meet the primary 

objective, defined at 24 CFR 1003.2, to 

principally benefit low- and moderateincome persons. Consistent with this 

objective, not less than 70 percent of the 

expenditures of each single-purpose 

grant shall be for activities that meet the 

regulatory criteria at 24 CFR 1003.208 

for: 

1. Area Benefit Activities 

2. Limited Clientele Activities 

3. Housing Activities 

4. Job Creation or Retention Activities 

ICDBG funds may be used to improve 

housing stock, provide community 

facilities, improve infrastructure, and 

expand job opportunities by supporting 

the economic development of the 

communities, especially by nonprofit 

tribal organizations or local 

development corporations. 

ICDBG single-purpose grants are 

distributed as annual competitive 

grants, in response to this NOFA. 

ICDBG imminent threat grants are 

intended to alleviate or remove threats 

to health or safety that require an 

immediate solution as described at 24 

CFR part 1003, subpart E. The problem 

to be addressed must be such that an 

emergency situation exists or would 

exist if the problem were not addressed. 

You do not have to submit a request 

for imminent threat funds by the 

deadline established in this NOFA. The 

deadline applies only to applications 

submitted for assistance under 24 CFR 

part 1003, subpart D, single-purpose 

grants. Imminent threat requests may be 

submitted at any time after NOFA 

publication, and if the following criteria 

are met, the request may be funded until 

the amount set aside for this purpose is 

expended: 

1. Independent verification from a 

third party (i.e., Indian Health Service, 

Bureau of Indian Affairs) of the 

existence, immediacy, and urgency of 

the threat must be provided; 

2. The threat must not be recurring in 

nature, i.e., it must represent a unique 

and unusual circumstance that has been 

clearly identified by the tribe or village; 

3. The threat must affect or impact an 

entire service area and not solely an 

individual family or household; and 

4. It must be established that funds 

are not available from other local, state, 

or federal sources to address the 

problem. The tribe or village must verify 

that federal or local agencies that would 

normally provide assistance for such 

improvements have no funds available 

by providing a written statement to that 

effect. The tribe or village must also 

verify in the form of a tribal council 

resolution (or equivalent) that it has no 

available funds, including Indian 

Housing Block Grant funds, for this 

purpose. 

If, in response to a request for 

assistance, an Area ONAP issues you a 

letter to proceed under the authority of 

24 CFR 1003.401(a), then your 

application must be submitted to and 

approved by the Area ONAP before a 

grant agreement may be executed. 

Contact your Area ONAP office for more 

information on imminent threat grants. 

D. Definitions Used in this NOFA 

1. Adopt. To approve by formal tribal 

resolution. 

2. Document. To supply supporting 

written information and/or data in the 

application that satisfies the NOFA 

requirement. Documentation should 

clearly and concisely support your 

response to the rating factor. 

3. Entity Other than Tribe. A 

distinction is made between the 

requirements for point award under 

Rating Factor 3 if a tribe or an entity 

other than the tribe will assume 

maintenance and related responsibilities 

for projects other than economic 

development, and land acquisition to 

support new housing. Entities other 

than the tribe must have the following 

characteristics: 

(a) Must be legally distinct from the 

tribal government; (b) their assets and 

liabilities cannot be considered to be 

assets and liabilities of the tribal 

government; (c) claims against such 

entities cannot be made against the 

tribal government; and (d) must have 

governing boards, boards of directors, or 

groups or individuals similar in 

function and responsibility to such 

boards which are separate from the 

tribe’s general council, tribal council, or 

business council, as applicable. 

4. Homeownership Assistance 

Programs. Tribes may apply for 

assistance to provide direct 

homeownership assistance to low- and 

moderate-income households to: (a) 

Subsidize interest rates and mortgage 

principal amounts for low- and 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11451 

moderate-income homebuyers; (b) 

finance the acquisition by low- and 

moderate-income homebuyers of 

housing that is occupied by the 

homebuyers; (c) acquire guarantees for 

mortgage financing obtained by lowand moderate-income homebuyers from 

private lenders (except that ICDBG 

funds may not be used to guarantee 

such mortgage financing directly, and 

grantees may not provide such 

guarantees directly); (d) provide up to 

50 percent of any down payment 

required from a low- and moderateincome homebuyer; or (e) pay 

reasonable closing costs (normally 

associated with the purchase of a home) 

incurred by a low- or moderate-income 

homebuyer. 

5. Leveraged Resources. Leveraged 

resources are resources that you will use 

in conjunction with ICDBG funds to 

achieve the objectives of the project. 

Leveraged resources include, but are not 

limited to: tribal trust funds, loans from 

individuals or organizations, business 

investments, private foundations, state 

or federal loans or guarantees, other 

grants, and non-cash contributions and 

donated services. (See Rating Factor 4 

for documentation requirements for 

leveraged resources.) 

6. Microenterprise Programs. Tribes 

may apply for assistance to operate 

programs to fund the development, 

expansion, and stabilization of 

microenterprises. Microenterprises are 

defined as commercial entities with five 

or fewer employees, including the 

owner. Microenterprise program 

activities may entail the following 

assistance to eligible businesses: (a) 

Providing credit, including, but not 

limited to, grants, loans, loan 

guarantees, and other forms of financial 

support for the establishment, 

stabilization, and expansion of 

microenterprises; (b) providing 

technical assistance, advice, and 

business support services to owners of 

microenterprises and persons 

developing microenterprises; and (c) 

providing general support, including, 

but not limited to, peer support 

programs, counseling, child care, 

transportation, and other similar 

services to owners of microenterprises 

and persons developing 

microenterprises. 

7. Operations and Maintenance 

(O&M) for Public Facilities and 

Improvements. While various items of 

cost will vary in importance and 

significance depending on the type of 

facility proposed, there are items of 

expense related to the operation of the 

physical plant that must be addressed in 

an O&M plan (the tribe assumes 

responsibility) or in a letter of 

commitment (an entity other than tribe 

will assume these responsibilities). 

Although the tribe no longer has to 

submit the O&M plan with the 

application, it must provide a written 

statement that it has adopted an O&M 

plan and that the plan addresses several 

items. These items include daily or 

other periodic maintenance activities, 

repairs such as replacing broken 

windows, capital improvements or 

replacement reserves for repairs such as 

replacing the roof, fire and liability 

insurance (may not be applicable to 

most types of infrastructure projects 

such as water and sewer lines), and 

security (may not be applicable to many 

types of infrastructure projects such as 

roads). (Please note that while it is 

possible that the service provider may, 

in its agreement with a tribe, commit 

itself to cover certain or all facility O&M 

costs, these costs do not include the 

program service provision costs related 

to the delivery of services (social, 

health, recreational, educational, or 

other) that may be provided in a 

facility). 

8. Outcomes. The ultimate impact you 

hope to achieve with the proposed 

project. Outcomes should be 

quantifiable measures or indicators and 

identified in terms of the change in the 

community, people’s lives, economic 

status, etc. Common outcomes could 

include increases in percent of housing 

units in standard condition, 

homeownership rates, or employment 

rates. 

9. Outputs. Outputs are the direct 

products of a program’s activities. They 

are usually measured in terms of the 

volume of work accomplished, such as 

the number of low-income households 

served, number of units constructed or 

rehabilitated, linear feet of curbs and 

gutters installed, or number of jobs 

created or retained. Outputs should be 

clear enough to allow HUD to monitor 

and assess your proposed project’s 

progress if funded. 

10. Project Cost. The total cost to 

implement the project. Project costs may 

be covered by both ICDBG and nonICDBG funds and resources. 

11. Standard Housing/Standard 

Condition. Housing that meets the 

housing quality standards (HQS) 

adopted by the applicant. The HQS 

adopted by the applicant must be at 

least as stringent as the Section 8 HQS 

contained in 24 CFR 982.401 (Section 8 

Tenant-Based Assistance: Housing 

Choice Voucher program) unless the 

ONAPs approve less stringent standards 

based on a determination that local 

conditions make the use of Section 8 

HQS unfeasible. Before the application 

deadline, you may submit a request for 

the approval of standards less stringent 

than Section 8 HQS. If you submit the 

request with your application, you 

should not assume automatic approval 

by ONAP. The adopted standards must 

provide for (a) a safe house, in 

physically sound condition with all 

systems performing their intended 

design functions; (b) a livable home 

environment and an energy efficient 

building and systems that incorporate 

energy conservation measures; and (c) 

an adequate space and privacy for all 

intended household members. 

12. Statement. When a ‘‘written 

statement’’ is requested for any 

threshold, program requirement, or 

rating factor, the applicant must address 

in writing the specific item cited. 

13. Tribe. The word ‘‘tribe’’ means an 

Indian tribe, band, group or nation, 

including Alaska Indians, Aleuts, 

Eskimos, Alaska Native Villages, Alaska 

Native Claims Settlement Act (ANCSA) 

Village Corporations, and ANCSA 

Regional Corporations. 

II. Award Information 

A. Available Funds. The fiscal year 

2007 appropriation for the ICDBG 

program is $59.4 million, less $3.96 

million retained to fund Imminent 

threat grants, for a total of 

approximately $55.4. Funds that are 

carried over from previous fiscal years 

or are recaptured may also be used for 

grant awards under this NOFA. In 

accordance with the provisions of 24 

CFR part 1003, subpart E, HUD has 

retained $3.96 million of the FY 2007 

appropriation to meet the funding needs 

of imminent threat requests submitted 

to any of the Area ONAPs. The grant 

ceiling for imminent threat requests for 

FY 2007 is $450,000. This ceiling has 

been established pursuant to the 

provisions of 24 CFR 1003.400(c). 

B. Allocations to Area ONAPs. The 

requirements for allocating funds to 

Area ONAPs responsible for program 

administration are found at 24 CFR 

1003.101. Following these requirements, 

based on an appropriation of $59.4 

million less $3.96 million for imminent 

threat grants, the allocations for FY 2007 

are approximately as follows: Eastern/ 

Woodlands: $6,325,737; Southern 

Plains: $11,864,746; Northern Plains: 

$7,917,788; Southwest: $20,525,637; 

Northwest: $2,891,489; Alaska: 

$5,914,603; Total $55,400,000. 

C. Compliance with Regulations, 

Guidelines, and Requirements. 

Applicants awarded a grant under this 

NOFA are required to comply with the 

regulations, guidelines, and 

requirements with respect to the 

acceptance and use of federal funds for 

this federally assisted program. Also, 


rwilkins on PROD1PC63 with NOTICES_2
11452 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

the grantee, by accepting the grant, 

provides assurance with respect to the 

grant that: 

1. It possesses the legal authority to 

apply for the grant and execute the 

proposed program. 

2. The governing body has duly 

authorized the filing of the application, 

including all understandings and 

assurances contained in the application, 

and has directed and authorized the 

person identified as the official 

representative of the applicant to act in 

connection with the application and to 

provide such additional information as 

may be required. 

3. It will comply with HUD general 

administration requirements in 24 CFR 

Part 85. 

4. It will comply with the 

requirements of Title II of Public Law 

90–284 (25 U.S.C. 1301), the Indian 

Civil Rights Act. Federally recognized 

Indian tribes and their instrumentalities 

are subject to the requirements of: Title 

II of the Civil Rights Act of 1964, known 

as the Indian Civil Rights Act; Section 

109 prohibitions against discrimination 

based on age, sex, religion and 

disability; the Age Discrimination Act of 

1975; and Section 504 of the 

Rehabilitation Act of 1973. 

5. It will comply with the Indian 

preference provisions required in 24 

CFR 1003.510. 

6. It will establish written safeguards 

to prevent employees from using 

positions funded under the ICDBG 

programs for a purpose that is, or gives 

the appearance of being, motivated by 

private gain for themselves, their 

immediate family, or business 

associates. Employees are not otherwise 

limited from benefiting from program 

activities for which they are otherwise 

eligible. 

7. Neither the applicant nor its 

principals are presently excluded from 

participation in any HUD programs, as 

required by 24 CFR part 24. 

8. The chief executive officer or other 

official of the applicant approved by 

HUD: 

a. Consents to assume the status of a 

responsible federal official under the 

National Environmental Policy Act of 

1969 insofar as the provisions of the Act 

apply to the applicant’s proposed 

program pursuant to 24 CFR 1003.605. 

b. Is authorized and consents on 

behalf of the applicant and him/herself 

to accept the jurisdiction of the federal 

courts for the purpose of enforcement of 

his/her responsibilities as such an 

official. 

Note: Applicants for whom HUD has 

approved a claim of incapacity to accept the 

responsibilities of the federal government for 

purposes of complying with the 

environmental review requirements of 24 

CFR part 58, pursuant to 24 CFR 1003.605, 

are not subject to the provision of paragraph 

8. 

9. It will comply with the 

requirements of Section 3 of the 

Housing and Urban Development Act of 

1968 and the regulations in 24 CFR part 

135 (Economic Opportunities for Low 

and Very Low Income Persons) to the 

maximum extent consistent with, but 

not in derogation of, compliance with 

Section 7(b) of the Indian SelfDetermination and Education 

Assistance Act (25 USC. 450e(b)). Two 

points will be awarded under Rating 

Factor 3 in fiscal year 2007 for 

applicants who demonstrate how they 

will incorporate Section 3 principles 

into their proposed projects. 

10. It will comply with the 

requirements of the Fire Authorization 

Administration Act of 1992 (Pub. L. 

102–522). 

11. It will comply with 24 CFR, part 

4, subpart A, showing full disclosure of 

all benefits of the project as collected by 

form HUD–2880, Applicant/Recipient 

Disclosure Report. 

12. Prior to submission of its 

application to HUD, the grantee has met 

the citizen participation requirements, 

which include following traditional 

means of member involvement, as 

required in 24 CFR 1003.604. 

13. It will administer and enforce the 

labor standards requirements prescribed 

in 24 CFR 1003.603. 

14. The project has been developed so 

that not less than 70 percent of the 

funds received under this grant will be 

used for activities that benefit low- and 

moderate-income persons. 

15. Executive Order 13202, 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects’’ applies 

to projects funded under this NOFA. 

See the General Section for more 

information. 

D. Period of Performance. The period 

of performance for any grant awarded 

under this NOFA must be included in 

the Implementation Schedule, form 

HUD–4125, and approved by HUD. 

III. Eligibility Information 

A. Eligible Applicants 

Eligible applicants are Indian tribes or 

tribal organizations on behalf of Indian 

tribes. To apply for funding, you must 

be eligible as an Indian tribe (or as a 

tribal organization), as required by 24 

CFR 1003.5, by the application deadline 

date. 

Tribal organizations are permitted to 

submit applications under 24 CFR 

1003.5(b) on behalf of eligible tribes 

when one or more eligible tribe(s) 

authorize the organization to do so 

under concurring resolutions. The tribal 

organization must itself be eligible 

under Title I of the Indian SelfDetermination and Education 

Assistance Act. The Bureau of Indian 

Affairs (BIA) or the Indian Health 

Service (IHS), as appropriate, must 

make a determination of such eligibility. 

This determination must be provided to 

the Area ONAP by the application 

deadline. 

If a tribe or tribal organization claims 

that it is a successor to an eligible entity, 

the Area ONAP must review the 

documentation to determine whether it 

is in fact the successor entity. 

Applicants from within Alaska: Due 

to the unique structure of tribal entities 

eligible to submit ICDBG applications in 

Alaska, and as only one ICDBG 

application may be submitted for each 

area within the jurisdiction of an entity 

eligible under 24 CFR 1003.5, a tribal 

organization that submits an application 

for activities in the jurisdiction of one 

or more eligible tribes or villages must 

include a concurring resolution from 

each such tribe or village authorizing 

the submission of the application. An 

application submitted by a tribal 

organization on behalf of a specific tribe 

will not be accepted if the tribe itself 

submits an application for the same 

funding round. The hierarchy for 

funding priority continues to be the IRA 

Council, the Traditional Village 

Council, the ANCSA Village 

Corporation, and the ANCSA Regional 

Corporation. 

On November 25, 2005, the BIA 

published a Federal Register notice 

entitled, ‘‘Indian Entities Recognized 

and Eligible to Receive Services From 

the United States Bureau of Indian 

Affairs’’ (70 FR 71194). This notice 

provides a listing of Indian Tribal 

Entities in Alaska found to be Indian 

tribes as the term is defined and used in 

25 CFR part 83. Additionally, pursuant 

to Title I of the Indian SelfDetermination and Education 

Assistance Act, ANCSA Village 

Corporations and Regional Corporations 

are also considered tribes and therefore 

eligible applicants for the ICDBG 

program. 

Any questions regarding eligibility 

determinations and related 

documentation requirements for entities 

in Alaska should be referred to the 

Alaska Area ONAP prior to the 

application deadline. (See 24 CFR 

1003.5 for a complete description of 

eligible applicants.) 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11453 

B. Cost Sharing or Matching. 

Cost sharing or matching is not 

required under this grant; however, 

applicants who leverage this grant with 

other funds receive points. See Section 

V. (A) Rating Factor 4. 

C. Other 

1. HUD Requirements. 

Applicants for single purpose grants 

must comply with the HUD Threshold 

Requirements listed in the General 

Section, Section III, C. in order to 

receive an award of funds. 

2. Program and Project Specific 

Requirements 

a. Low- and Moderate-Income Status 

for Rehabilitation Projects. Your 

application must contain information 

that shows that all households that 

receive ICDBG grant assistance under a 

housing rehabilitation project are of 

low- and moderate-income status. 

b. Housing Rehabilitation Cost Limits. 

Grant funds spent on rehabilitation 

must fall within the following per-unit 

limits for each Area ONAP jurisdiction: 

Eastern/Woodlands: $35,000; Southern 

Plains: $35,000; Northern Plains: 

$50,000; Southwest: $50,000; Northwest 

$40,000; Alaska: $55,000. 

c. Commitment to Housing for Land 

Acquisition to Support New Housing 

Projects. For land acquisition to support 

new housing projects, your application 

must include evidence of financial 

commitment and an ability to construct 

at least 25 percent of the housing units 

on the land proposed for acquisition. 

This evidence must consist of one (or 

more) of the following: a firm or 

conditional commitment to construct (or 

to finance the construction of) the units; 

documentation that an approvable 

application for the construction of these 

units has been submitted to a funding 

source or entity; or documentation that 

these units are specifically identified in 

the Indian Housing Plan (IHP), (oneYear Financial Resources Narrative; 

Table 2, Financial Resources, Part I, 

Line 1E; and Table 2, Financial 

Resources, Part II) submitted by or on 

behalf of the applicant as an affordable 

housing resource with a commensurate 

commitment of Indian Housing Block 

Grant (IHBG) (also known as NAHBG) 

resources. If the IHP for the IHBG (also 

known as NAHBG) program year that 

coincides with the implementation of 

the ICDBG proposed project has not 

been submitted, you must provide an 

assurance that the IHP will specifically 

reference the proposed project. The IHP 

submission must occur within three 

years from the date the land is acquired 

and ready for development. 

d. Health Care Facilities. If you 

propose a facility that would provide 

health care services funded by the 

Indian Health Service (IHS), you must 

assure that the facility meets all 

applicable IHS facility requirements. 

HUD recognizes that tribes that are 

contracting services from the IHS may 

establish other facility standards. These 

tribes must assure that these standards 

at least compare to nationally accepted 

minimum standards. 

3. Program-Related Threshold 

Requirements 

a. Outstanding ICDBG Obligation. 

According to 24 CFR 1003.301(a), an 

applicant who has an outstanding 

ICDBG obligation to HUD that is in 

arrears, or one that has not agreed to a 

repayment schedule, will be 

disqualified from the competition. 

b. Compliance with Fair Housing and 

Civil Rights Laws. Applicants and 

subrecipients that are not federally 

recognized Indian tribes or 

instrumentalities of a tribe are subject to 

the Civil Rights threshold requirements 

found in the General Section. Federally 

recognized Indian tribes and 

instrumentalities of tribes are subject to 

the requirements of Title II of the Civil 

Rights Act of 1964, known as the Indian 

Civil Rights Act; Section 109 

prohibitions against discrimination 

based on age, sex, religion and 

disability; the Age Discrimination Act of 

1975; and Section 504 of the 

Rehabilitation Act of 1973. To be 

eligible to apply, there must be no 

outstanding violations of these civil 

rights provisions at the time of 

application. 

4. Project-Specific Threshold 

Requirements. Applicants must meet all 

parts of the project-specific threshold 

applicable to the proposed project. The 

thresholds are: 

a. Housing Rehabilitation Project 

Thresholds. In accordance with 24 CFR 

1003.302(a), for housing rehabilitation 

projects, you must adopt rehabilitation 

standards and rehabilitation policies 

before you submit an application. In 

addition, you must state that you have 

in place rehabilitation policies and 

standards that have been adopted in 

accordance with tribal law or practice. 

Do not submit your policies or 

standards with the application. You 

must also provide a written statement 

that project funds will be used to 

rehabilitate HUD-assisted houses only 

when the homebuyer’s payments are 

current or the homebuyer is current in 

a repayment agreement except because 

of an emergency situation. For purposes 

of meeting this threshold, HUD-assisted 

houses are houses that are owned and/ 

or managed by the tribe or tribally 

designated housing entity (TDHE). The 

ONAP Administrator, on a case-by-case 

basis, may approve exceptions to this 

requirement if the applicant provides 

adequate justification for the exception 

with its application. 

b. New Housing Construction Project 

Thresholds 

1. In accordance with 24 CFR 

1003.302(b), new housing construction 

can only be implemented when 

necessary through a Community Based 

Development Organization (CBDO). 

Eligible CBDOs are described in 24 CFR 

1003.204(c). You must provide 

documentation establishing that the 

entity implementing your new housing 

construction project qualifies as a 

CBDO. 

2. In accordance with 24 CFR 

1003.302, you must have a current, in 

effect, tribal resolution adopting and 

identifying construction standards. 

3. In accordance with 24 CFR 

1003.302, you must also include in your 

application documentation affirming the 

following: 

(a) All households to be assisted 

under a new housing construction 

project must be of low- or moderateincome status; 

(b) No other housing is available in 

the immediate reservation area that is 

suitable for the households to be 

assisted; 

(c) No other sources, including an 

Indian Housing Block Grants (IHBG), 

can meet the needs of the household(s) 

to be served; and 

(d) Rehabilitation of the unit occupied 

by the household(s) to be assisted is not 

economically feasible, the household(s) 

to be housed is currently in an 

overcrowded house (more than one 

household per house), or the household 

to be assisted has no current residence. 

c. Economic Development Project 

Thresholds. In accordance with 24 CFR 

1003.302, for economic development 

assistance projects, you must provide a 

financial analysis. The financial 

analysis must demonstrate that the 

project is financially feasible and the 

project has a reasonable chance of 

success. The analysis must also 

demonstrate the public benefit resulting 

from the ICDBG assistance. The more 

funds you request, the greater the public 

benefit you must demonstrate. The 

analysis must also establish that to the 

extent practicable, reasonable financial 

support will be committed from nonfederal sources prior to disbursement of 

federal funds; any grant amount 

provided will not substantially reduce 

the amount of non-federal financial 

support for the activity; not more than 

a reasonable rate of return on 


rwilkins on PROD1PC63 with NOTICES_2
11454 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

investment is provided to the owner; 

and that grant funds used for the project 

will be disbursed on a pro-rata basis 

with amounts from other sources. 

d. There are no project specific 

thresholds for Land Acquisition to 

Support New Housing, Homeownership 

Assistance, Public Facilities and 

Improvements, and Microenterprise 

Projects. 

5. Public Service Projects. Because 

there is a regulatory 15 percent cap on 

the amount of grant funds that may be 

used for public service activities, you 

may not receive a single-purpose grant 

solely to fund public service activities. 

Your application, however, may contain 

a public service component for up to 15 

percent of the total grant, and this 

component may be unrelated to the 

other project(s) in your application. If 

your application does not receive full 

funding, HUD will reduce the public 

service allocation proportionately so 

that it comprises no more than 15 

percent of the total grant award. In 

making such reductions, the feasibility 

of the proposed project will be taken 

into consideration. If a proportionate 

reduction of the public service 

allocation renders such a project 

infeasible, the project will not be 

funded. A complete description of 

public service projects is located at 24 

CFR part 1003.201. 

6. Restrictions on Eligible Activities. 

A complete description of activities that 

are eligible for ICDBG funding are 

identified at 24 CFR part 1003, subpart 

C. Please note that although this subpart 

has not yet been revised to include the 

restrictions on the ineligible activity 

that was added to Section 105 of the 

CDBG statute by Section 588 of the 

Quality Housing and Work 

Responsibility Act of 1998, this 

restriction applies. Specifically, ICDBG 

funds may not be used to assist directly 

in the relocation of any industrial or 

commercial plant, facility, or operation, 

from one area to another, if the 

relocation is likely to result in a 

significant loss of employment in the 

labor market area from which the 

relocation occurs. Rating Factors 2 and 

3 included under Section V specify 

many of the activities listed as eligible 

under part 1003, subpart C. Those listed 

include new housing construction (in 

certain circumstances, as described in 

Rating Factors 2 and 3), housing 

rehabilitation, land acquisition to 

support new housing, homeownership 

assistance, public facilities and 

improvements, economic development, 

and microenterprise programs. 

However, the following eligible 

activities not clearly identified by the 

rating factors may be proposed and 

rated as described below. During the 

past few years, many tribes have 

experienced high incidences of mold 

growth in tribal homes and buildings. 

Renovation of affected buildings is 

eligible under housing rehabilitation or 

public facility improvement projects. 

a. Acquisition of property. This 

activity can be proposed as acquisition 

of land or other real property to support 

New Housing Construction, Housing 

Rehabilitation, Public Facilities and 

Improvements, or Economic 

Development, depending on the 

purpose of the acquisition. 

b. Assistance to Institutions of Higher 

Learning. If such entities have the 

capacity, they can help the ICDBG 

grantees implement eligible projects. 

c. Assistance to Community Based 

Development Organizations (CBDOs). 

Grantees may provide assistance to 

these organizations to undertake 

activities related to neighborhood 

revitalization, community economic 

development, or energy conservation. 

d. Clearance and Demolition. These 

activities can be proposed as part of 

Housing Rehabilitation, New Housing 

Construction, Public Facilities and 

Improvements, Economic Development, 

or Land to Support New Housing. 

Section 1003.201 (d) states, ‘‘Demolition 

of HUD-assisted housing units may be 

undertaken only with the prior approval 

of HUD.’’

e. Code Enforcement. This activity 

can be proposed as Housing 

Rehabilitation. The activity must 

comply with the requirements at 24 CFR 

1003.202. 

f. Comprehensive Planning. This 

activity is eligible, and can be proposed 

as part of any otherwise-eligible project 

to the extent allowed by the 20 percent 

cap on the grant for planning/ 

administration. 

g. Energy Efficiency. Associated 

activities can be proposed under 

Housing Rehabilitation or Public 

Facilities and Improvements, depending 

upon the type of energy efficiency 

activity. 

h. Lead-Based Paint Evaluation and 

Abatement. These activities can be 

proposed under Housing Rehabilitation. 

i. Non-Federal Share. ICDBG funds 

can be used as a match for any nonICDBG funding to the extent allowed by 

such funding and the activity is eligible 

under 24 CFR part 1003, subpart C. 

j. Privately and Publicly Owned 

Commercial or Industrial Buildings (real 

property improvements). These 

activities can be proposed under 

Economic Development. Privately 

owned commercial rehabilitation is 

subject to the requirements at 24 CFR 

1003.202. 

k. Privately Owned Utilities. 

Assistance to privately owned utilities 

can be proposed under Public Facilities 

and Improvements. 

l. Removal of Architectural Barriers. 

This includes removing barriers that 

restrict mobility and access for elderly 

and persons with disabilities. In 

addition, accommodation should be 

made for persons with all varieties of 

disabilities to enable them to benefit 

from these activities. This activity can 

be proposed under Housing 

Rehabilitation or Public Facilities and 

Improvements, depending upon the 

type of structure where the barrier will 

be removed. 

7. Application Screening. The Area 

ONAP will screen applications for 

single-purpose grants. The Area ONAP 

will reject an application that fails this 

screening and will return the 

application unrated. The Area ONAP 

will accept your application if it meets 

all the criteria listed below as items a 

through f. 

a. Your application is received or 

submitted in accordance with the 

requirements set forth under 

Application and Submission Procedures 

in Section IV of this NOFA; 

b. You are eligible; 

c. The proposed project is eligible; 

d. Your application contains all the 

components specified in Section IV. B. 

of this NOFA; 

e. Your application shows that at least 

70 percent of the grant funds are to be 

used for activities that benefit low- and 

moderate-income persons, in 

accordance with the requirements of 24 

CFR 1003.208. For screening purposes 

only, HUD will use the 2000 census data 

if the data you submitted does not meet 

this screening requirement; and 

f. Only one ICDBG application may be 

submitted for each area within the 

jurisdiction of an entity eligible under 

24 CFR 1003. An application may 

include more than one project, but it 

cannot exceed the grant ceilings listed 

in Section IV. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package. Applicants are required to 

submit an electronic application, unless 

they receive a waiver of the 

requirement. See the General Section for 

information on electronic application 

submission and timely submission and 

receipt requirements. Waiver requests 

must be submitted to the Headquarters 

ONAP, Office of Grants Management in 

writing, using mail, e-mail or fax. 

Waiver requests must be submitted no 

later than 15 days prior to the 

application deadline date and should be 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11455 

sent to Deborah M. Lalancette, HUD, 

ONAP, 1670 Broadway, 23rd Floor 

Denver CO 80202; by e-mail to 

Deborah_M._Lalancette@hud.gov or by 

fax to 303–675–1660. 

B. Content and Form of Application 

Submission 

1. Application Information. All 

information required to complete a valid 

application is included in the General 

Section and this NOFA. Copies of the 

General Section and ICDBG NOFA may 

be downloaded from the grants.gov Web 

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

applicants/apply_for_grants.jsp. If you 

experience any problems with 

downloading the General Section or the 

ICDBG NOFA, call the Grants.gov help 

desk at 800–518-GRANTS. Before 

preparing an application, applicants 

should carefully review the program 

description, ineligible activities, 

program and threshold requirements, 

and the General Section. Applicants 

should carefully review each rating 

factor listed in Section V of this NOFA, 

before writing a narrative response. 

Indicate on the first page of each project 

submission the type of project(s) you are 

proposing: Economic Development, 

Homeownership Assistance, Housing 

Rehabilitation, Land Acquisition to 

Support New Housing, Microenterprise 

Programs, New Housing Construction, 

or Public Facilities and Improvements. 

This will help to ensure that the 

appropriate project-specific thresholds 

and rating subfactors will be applied. 

Narrative statements submitted to 

support your application should be 

individually labeled to reflect the item 

the narrative is responding to, e.g., 

Factor 1, Factor 2, etc. Applicants 

should not submit third party 

documents, such as audits, resolutions, 

policies, unless specifically asked to do 

so. Additional information regarding 

electronic submissions can be found in 

the General Section. 

If you received a waiver to the 

electronic application submission 

requirements and are submitting a paper 

application, please use separate tabs for 

each rating factor and rating subfactor. 

In order to be rated, make sure the 

response is beneath the appropriate 

heading. Keep the responses in the same 

order as the NOFA. It is recommended 

that you limit your narrative 

explanations to 200 words or less and 

provide the necessary data such as a 

market analysis, a pro forma, housing 

survey data, etc., that support the 

response. Include all relevant material 

to a response under the same tab. Only 

include documentation that will clearly 

and concisely support your response to 

the rating criteria. 

HUD suggests that you do a 

preliminary rating for your project, 

providing a score according to the point 

system in Section V of this NOFA. This 

will show you how reviewers might 

score your project and identify its 

strengths and weaknesses. This will 

help you determine where you can 

make improvements prior to its 

submission. An application checklist for 

you to use to ensure that you have 

submitted all required components is 

found in this section under item 2c. 

2. Content of Application, Forms, and 

Required Elements. The applicant must 

respond in narrative form to all five of 

the rating factors listed in Section V.A. 

of this NOFA. In addition, the applicant 

must submit all of the forms required in 

this section, along with other data listed 

below. 

a. Demographic data. You may submit 

data that are unpublished, not generally 

available, and not older than three 

years, in order to meet the requirements 

of this section. Your application must 

contain a statement that the following 

criteria have been met: 

(1) Generally available published data 

are substantially inaccurate or 

incomplete; 

(2) Data that you submit have been 

collected systematically and are 

statistically reliable; 

(3) Data are, to the greatest extent 

feasible, independently verifiable; and 

(4) Data differentiate between 

reservation and BIA service area 

populations, when applicable. 

b. Publication of Community 

Development Statement. You must 

prepare and publish or post the 

community development statement 

portion of your application according to 

the citizen participation requirements of 

24 CFR 1003.604. You may post or 

publish a statement that indicates that 

the entire Community Development 

Statement is available for public 

viewing and include the location, dates, 

and time it will be available for review. 

c. Application Submission. Your 

application must contain the items 

listed below. 

(1) Application for Federal Assistance 

(SF–424); 

(2) SF–424 SUPP, Supplement Survey 

on Ensuring Equal Opportunity for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

(3) HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); and 

(4) Acknowledgement of Application 

Receipt (HUD–2993). (This is relevant 

only to applicants granted a waiver of 

the electronic submission requirements 

and who are submitting a paper 

application.) 

If the application has been submitted 

by a tribal organization as defined in 24 

CFR 1003.5(b), on behalf of an Indian 

tribe, you must submit concurring 

resolutions from the Indian tribe stating 

that the tribal organization is applying 

on the tribe’s behalf. Applicants must 

submit the resolution by attaching it as 

a file to your electronic application 

submission, or sending it via facsimile 

transmittal. 

The other required items are as 

follows: 

(5) Community Development 

Statement that includes: 

(a) Components that address the 

general threshold requirement and the 

relevant project-specific thresholds and 

rating factors; 

(b) A schedule for implementing the 

project (form HUD–4125, 

Implementation Schedule); and 

(c) Cost information for each separate 

project, including specific activity costs, 

administration, planning, technical 

assistance, and total HUD share (Form 

HUD–4123, Cost Summary). 

(6) A map showing project location, if 

appropriate. 

(7) If the proposed project will result 

in displacement or temporary 

relocation, a statement that identifies: 

(a) The number of persons (families, 

individuals, businesses, and nonprofit 

organizations) occupying the property 

on the date of the submission of the 

application (or date of initial site 

control, if later); 

(b) The number to be displaced or 

temporarily relocated; 

(c) The estimated cost of relocation 

payments and other services; 

(d) The source of funds for relocation; 

and 

(e) The organization that will carry 

out the relocation activities. 

(8) If applicable, evidence of the 

disclosure required by 24 CFR 

1003.606(e) regarding conflict of 

interest. 

(9) If applicable, the demographic 

data statement described in Section 

IV.B.2.a and Section V.A., Rating Factor 

2 of this NOFA. The data accompanying 

the statement must identify the total 

number of persons benefiting from the 

project and the total number of low- and 

moderate-income persons benefiting 

from the project. To be considered, 

supporting documentation must include 

all of the following: a sample copy of a 

completed survey form, an explanation 

of the methods used to collect the data, 

and a listing of incomes by household 

including household size. 

(10) Optional submissions are: 


rwilkins on PROD1PC63 with NOTICES_2
11456 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(a) You Are Our Client Grant 

Applicant Survey (HUD 2994–A) 

(Optional); and 

(b) Program Outcome Logic Model, 

HUD–96010. 

3. Planning and Administrative Costs. 

Applicants must report project planning 

and administration costs on Form HUD–

4123, Cost Summary. Planning and 

administrative costs cannot exceed 20 

percent of the grant. The following 

criteria applies to planning and 

administrative costs: 

a. Planning and administrative 

activities may be funded only in 

conjunction with a physical 

development activity. 

b. If you are submitting an application 

for more than one project, costs must be 

broken down by project. Submit one 

form HUD–4123 for each proposed 

project in addition to a consolidated 

form HUD–4123 that includes costs for 

all proposed projects. 

c. Do not include project costs (i.e., 

architectural/engineering, 

environmental, technical assistance, 

staff/overhead costs) directly related to 

the project. 

C. Submission Dates and Times 

1. Application Submission Deadline. 

The application deadline date is June 1, 

2007. Applications submitted through 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp must be received 

and validated by Grants.gov no later 

than 11:59:59 PM eastern time on the 

application deadline date. Upon 

submission, Grants.gov will provide the 

applicant a confirmation of receipt and 

then validate the application. Within 24 

to 48 hours of receipt, the application 

will be validated by Grants.gov. If the 

application does not pass validation, the 

submitter will receive a rejection notice 

indicating why the application was 

rejected, thus giving the applicant (if 

time permits) an opportunity to make 

the correction in the application 

package and resubmit. The General 

Section provides details of a validation 

check. HUD advises applicants to 

submit at least 72 hours prior to the 

deadline date so that if an application 

is rejected during the validation process, 

applicants can correct the errors and 

resubmit the application prior to the 

deadline date and time. If you are 

granted a waiver of the electronic 

submission requirements, and are 

submitting a paper application, your 

completed application must be received 

by HUD no later than 11:59:59 p.m. on 

the application deadline date. HUD will 

not accept any applications sent by 

e-mail or on a diskette, compact disc, or 

by facsimile unless HUD specifically 

requests an applicant to do so. Please 

carefully follow the instructions in 

Sections IV.B and F. of the General 

Section for detailed information 

regarding application submission, 

delivery, and timely receipt 

requirements. 

D. Intergovernmental Review. Indian 

tribes are not subject to the 

Intergovernmental Review process. 

E. Funding Restrictions 

1. Ineligible Activities. In general, any 

activity that is not authorized under the 

provisions of 24 CFR 1003.201–

1003.206 is ineligible to be assisted with 

ICDBG funds. The regulations at 24 CFR 

1003.207 govern ineligible activities and 

should be referred to for details. The 

following guidance is provided for 

determining the eligibility of other 

activities frequently associated with 

ICDBG projects. 

a. Government Office Space. 

Buildings, or portions thereof, used 

predominantly for the general conduct 

of government cannot be assisted with 

ICDBG funds. Those buildings include, 

but are not limited to, local government 

office buildings, courthouses, and other 

headquarters of government where the 

governing body meets regularly. 

Buildings that contain both 

governmental and non-governmental 

services can be assisted so long as the 

ICDBG funds are used only for the nongovernmental sections. An example of 

an ineligible building is a building to 

house the community development 

division or a tribal administration 

building. Your Area ONAP office should 

be consulted for projects of this nature. 

b. General Government Expenses. 

Except as authorized in the regulations 

or under OMB Circular A–87, expenses 

required to carry out the regular 

responsibilities of the unit of general 

local government are not eligible for 

assistance with ICDBG funds. 

c. Maintenance and Operation 

Expenses. In general, any expenses 

associated with repairing, operating, or 

maintaining public facilities and 

services are not eligible for assistance. 

Specific exceptions to this general rule 

are operating and maintenance expenses 

associated with public service activities 

[24 CFR 1003.201(e)], office space for 

program staff employed in carrying out 

the ICDBG program [24 CFR 

1003.206(a)(4)], and interim assistance 

[24 CFR 1003.201(f)]. For example, 

where a public service is being assisted 

with CDBG funds, the cost of operating 

and maintaining that portion of the 

facility in which the service is located 

is eligible as part of the public service. 

Examples of ineligible operating and 

maintenance expenses are routine and 

non-routine maintenance and repair of 

streets, parks, playgrounds, water and 

sewer facilities, neighborhood facilities, 

senior centers, centers for persons with 

disabilities, parking facilities, and 

similar public facilities, as well as staff 

salaries, utility costs, and similar 

expenses necessary for the operation of 

public works and facilities. 

d. New Housing Construction. The 

construction of new permanent 

residential structures and any program 

to subsidize or finance such new 

construction is ineligible, unless carried 

out by a Community-Based 

Development Organization (CBDO) 

pursuant to 24 CFR 1003.204(a). 

e. Furnishings and Personal Property. 

In general, the purchase of equipment, 

fixtures, motor vehicles, furnishings, or 

other personal property not an integral 

structural fixture is ineligible. 

Exceptions include when such 

purchases are necessary for use in grant 

administration (24 CFR 1003.206); 

necessary and appropriate for use in a 

project carried out by a CBDO (24 CFR 

1003.204); used in providing a public 

service (24 CFR 1003.201(e)); or used as 

firefighting equipment (24 CFR 

1003.201(c)(1)(ii)). However, ICDBG 

funds may be used to pay depreciation 

or use allowances (in accordance with 

OMB Circular A–87 or A–122, as 

applicable). 

f. Construction Tools and Equipment. 

The purchase of construction tools and 

equipment is generally ineligible. 

However, compensation for the use of 

such tools and equipment through 

leasing, depreciation, or use allowances 

pursuant to OMB Circulars A–87 and 

A–122, as applicable, for an otherwise 

eligible activity, is eligible. Exceptions 

include construction tools and 

equipment purchased for use as part of 

a solid waste facility (24 CFR 

1003.201(c)(1)(ii)) and construction 

tools only (not equipment) purchased 

for use in a housing rehabilitation 

project being administered by the 

recipient using the force account 

construction method (24 CFR 

1003.202(b)(8)). 

g. Income Payments. In general, 

assistance shall not be used for income 

payments for housing or any other 

purpose. Income payments mean a 

series of subsistence-type grant 

payments made to an individual/family 

for items such as food, clothing, housing 

(rent/mortgage), or utilities, but 

excludes emergency payments made 

over a period of up to three months to 

the provider of such items or services on 

behalf of an individual/family. 

Examples of ineligible income payments 

include the payments for income 

maintenance and housing allowances. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11457 

2. Grant Ceilings. The authority to 

establish grant ceilings is found at 24 

CFR 1003.100(b)(1). Grant ceilings are 

established for FY2007 funding at the 

following levels: 

Area ONAP Population Ceiling 

Eastern 

Woodlands.

ALL .............. $600,000 

Southern 

Plains.

ALL .............. 800,000 

Northern 

Plains.

6,001+ ......... 1,100,000 

0–6,000 ....... 900,000 

Southwest ... 50,001+ ....... 5,500,000 

10,501–

50,000.

2,750,000 

7,501–

10,500.

2,200,000 

6,001–7,500 1,100,000 

1,501–6,000 825,000 

0–1,500 ....... 605,000 

Northwest .... ALL .............. 500,000 

Alaska ......... ALL .............. 600,000 

For the Southwest Area and Northern 

Plains ONAP jurisdictions, the 

population used to determine ceiling 

amounts is the Native American 

population that resides on a reservation 

or rancheria. 

Applicants from the Southwest or the 

Northern Plains ONAP jurisdictions 

should contact those offices before 

submitting an application if they are 

unsure of the population level to use to 

determine the ceiling amount. The 

Southwest or Northern Plains Area 

ONAP, as appropriate, must approve 

any corrections or revisions to Native 

American population data before you 

submit your application. 

F. Other Submission Requirements 

1. Applications must be received and 

validated by Grants.gov via http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp no later than the 

application deadline date and time 

stated in the NOFA. Validation can take 

up to 72 hours. 

2. Mailing and Receipt Procedures. 

Applicants granted a waiver of the 

electronic submission requirement will 

receive specific mailing instruction, 

including the number of copies to be 

submitted, with approval of the waiver. 

See 24 CFR Part 5. 

3. Addresses for Submitting 

Applications. HUD will accept mailed 

applications only if it has granted a 

waiver of the electronic delivery 

process. Information regarding 

electronic submission and waivers from 

the electronic submission requirement 

is located in this program NOFA and the 

General Section. If HUD grants such a 

waiver, the approval notification will 

provide submission instructions 

including the address where to submit 

the application and number of copies to 

be provided. A list identifying each 

Area ONAP jurisdiction is provided at 

http://www.hud.gov/offices/pih/ih/ 

onap/area_onap.cfm under the ICDBG 

program. 

V. Application Review Information 

A. Criteria 

1. RC/EZ/EC–II: Bonus points 

described in the General Section for 

projects located in RC/EZ/EC–IIs will 

not be awarded under this NOFA. 

2. Rating Factors to Evaluate and Rate 

Applications: The factors for rating and 

ranking applications and the points for 

each factor are provided below. A 

maximum of 100 points may be 

awarded under Rating Factors 1 through 

5. To be considered for funding, your 

application must receive a minimum of 

20 points under rating factor 1 and an 

application score of at least 70 points. 

The following summarizes the points 

assigned to each rating factor and each 

rating subfactor and lists which rating 

subfactors apply to which project types. 

Please use this table to ensure you are 

addressing the appropriate rating 

subfactor for your project. 

Rating factor Rating sub-factor Points Project type 

1 ........................ Total ................. 40 ..................... Minimum of 20 Points Required 

1.a. ................... 10 ..................... All Project Types 

1.b. ................... 5 or 10* ............ All Project Types 

1.c. .................... 3 or 10* ............ All Project Types 

1.d. ................... 2 or 10* ............ All Project Types 

2.a. ................... 4 or 0* ............... All Project Types 

2.b. ................... 4 or 0* ............... All Project Types 

2.c. .................... 4 or 0* .............. All Project Types 

2.d. ................... 4 or 0* ............... All Project Types 

2.e. ................... 4 or 0* ............... All Project Types 

2 ........................ Total ................. 16 .....................

1 ....................... 4 ....................... All Project Types 

2.a. ................... 12 ..................... Public Facilities and Improvements and Economic Development Projects 

2.b. ................... 12 ..................... New Housing Construction, Housing Rehabilitation, Land Acquisition to Support New

Housing, and Homeownership Assistance Projects 

2.c. .................... 12 ..................... Microenterprise Programs 

3 ........................ Total ................. 30 .....................

1 ....................... 10 ..................... All Project Types 

2 ....................... 5 ....................... All Project Types 

3 ....................... 1 ....................... All Project Types 

4 ....................... 2 ....................... All Project Types 

5.a. ................... 12 ..................... Public Facilities and Improvements 

5.b. ................... 12 ..................... New Housing Construction, Housing Rehabilitation, and Homeownership Assistance 

Projects 

5.c. .................... 12 ..................... Economic Development Projects 

5.d. ................... 12 ..................... Microenterprise Programs 

5.e. ................... 12 ..................... Land Acquisition to Support New Housing 

4 ........................ Total ................. 8 ....................... All Project Types 

5 ........................ Total ................. 6 ....................... All Project Types 

1 ....................... 2 ....................... All Project Types 

2 ....................... 4 ....................... All Project Types 

Total .................. ...................... 100 ................... Minimum of 70 Points Required 


rwilkins on PROD1PC63 with NOTICES_2
11458 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

The first number listed indicates the 

maximum number of points available to 

current ICDBG grantees under this 

subfactor. The second number indicates 

the maximum number of points 

available to new applicants. 

Rating Factor 1: Capacity of the 

Applicant (40 points) 

This factor addresses the extent to 

which you have the organizational 

resources necessary to successfully 

implement the proposed activities in 

accordance with your implementation 

schedule. If applicable, past 

performance in administering previous 

ICDBG grants will be taken into 

consideration. You must address the 

existence or availability of these 

resources for the specific type of activity 

for which you are applying. To be 

eligible for funding you must receive a 

minimum of 20 points under this factor 

for your proposed activity. HUD will not 

rate any projects further that do not 

receive a minimum of 20 points under 

this factor. If you are funded, the 

implementation schedule and/or the 

Logic Model, form HUD–96010, you 

submit for this factor will be measured 

against actual progress. 

1. (20 points for current ICDBG 

grantees) (40 points for new applicants) 

Managerial, Technical, and 

Administrative Capability. 

Your application must include a 

description demonstrating that you 

possess or can obtain managerial, 

technical, and/or administrative 

capability necessary to carry out the 

proposed project. Your application must 

address who will administer the project 

and how you plan to handle the 

technical aspects of executing the 

project in accordance with your 

implementation schedule. Typical 

documents that may be submitted 

include, but are not limited to, written 

summaries of qualifications and past 

experience of proposed staff, 

descriptions of staff responsibilities, and 

references or letters of endorsement 

from others who have worked with the 

proposed staff. Do not submit job 

descriptions or resumes. 

a. (10 points) Managerial and 

Technical Staff. 

The extent to which your application 

describes the roles/responsibilities and 

the knowledge/experience of your 

overall proposed project director and 

staff, including the day-to-day program 

manager, consultants, and contractors in 

planning, managing, and implementing 

projects in accordance with the 

implementation schedule for which 

funding is being requested. Experience 

will be judged in terms of recent, 

relevant, and successful experience of 

your staff to undertake eligible program 

activities. In rating this factor, HUD will 

consider experience within the last 5 

years to be recent; experience pertaining 

to the specific activities being proposed 

or the specific roles and responsibilities 

described in the application to be 

relevant; and experience producing 

specific accomplishments to be 

successful. The more recent the 

experience and the more experience 

your own staff members who work on 

the project have in successfully 

conducting and completing similar 

activities, the greater the number of 

points you will receive for this rating 

factor. 

(10 points). The applicant adequately 

describes the roles/responsibilities and 

the knowledge/experience of its overall 

project director and staff, including the 

day-to-day program manager, 

consultants, and contractors in 

planning, managing, and implementing 

projects for which funding is being 

requested. Staff experience as described 

in the application is recent (within 5 

years), relevant (pertains to the specific 

activities being proposed or the specific 

roles and responsibilities described in 

the application) and successful (has 

produced specific accomplishments). 

(5 points). The applicant adequately 

describes the roles/responsibilities and 

the knowledge/experience of its overall 

project director and staff, including the 

day-to-day program manager, 

consultants, and contractors in 

planning, managing, and implementing 

projects for which funding is being 

requested. However, one of the 

following applies: staff experience as 

described in the application is not 

recent (not within 5 years), is not 

relevant (does not pertain to the specific 

activities being proposed or the specific 

roles and responsibilities described in 

the application), or is not successful 

(did not produce specific 

accomplishments). 

(0 points). The applicant failed to 

adequately describe the roles/ 

responsibilities and the knowledge/ 

experience of its overall project director 

and staff, including the day-to-day 

program manager, consultants, and 

contractors in planning, managing, and 

implementing projects for which 

funding is being requested or more than 

one of the following applies: staff 

experience as described in the 

application is not recent (not within 5 

years), is not relevant (does not pertain 

to the specific activity being proposed 

or the specific roles and responsibilities 

described in the application), or is not 

successful (did not produce specific 

accomplishments). 

b. (5 points for current ICDBG 

grantees and 10 points for new 

applicants) Project Implementation Plan 

and Program Evaluation. 

The extent to which your project 

implementation plan identifies the 

specific tasks and timelines that you 

and your partner contractors and/or subgrantees will undertake to complete 

your proposed project on time and 

within budget. The Project 

Implementation Schedule, form HUD–

4125, may serve as this required 

schedule, provided that it is sufficiently 

detailed to demonstrate that you have 

clearly thought out your project 

implementation. The extent to which 

your project identifies, measures, and 

evaluates the specific benchmarks, 

outputs, outcomes, and/or goals of your 

project that enhance community 

viability. The Logic Model, form HUD–

96010, may serve as the format to 

address this information or you may 

provide a different format that provides 

the same information. 

(5 points for current ICDBG grantees 

and 10 points for new applicants) The 

applicant submitted a project 

implementation plan that clearly 

specifies project tasks and timelines. 

The applicant submitted clear project 

benchmarks, outputs, outcomes, and/or 

targets and identified objectively 

quantifiable program measures and/or 

evaluation process. 

(3 points for current ICDBG grantees 

and 4 points for new applicants) The 

applicant submitted a project 

implementation plan that specifies 

project tasks and timelines. The 

applicant submitted project 

benchmarks, outputs, outcomes, and/or 

targets for each; however, the applicant 

did not clearly identify objectively 

quantifiable program measures and/or 

the evaluation process. 

(0 points for current ICDBG grantees 

or new applicants) The applicant 

submitted a project implementation 

schedule that does not address all 

project tasks and timelines associated 

with the project. Project benchmarks, 

outputs, outcomes, and/or goals were 

not submitted, or if submitted, they did 

not address either the quantifiable 

program measures and/or the evaluation 

process. 

c. (3 points for current ICDBG 

grantees and 10 points for new 

applicants) Financial Management. 

This subfactor evaluates the extent to 

which your application describes how 

your financial management systems will 

facilitate effective fiscal control over 

your proposed project and meet the 

requirements of 24 CFR part 85 and 24 

CFR part 1003. You must also describe 

how you will apply your financial 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11459 

management systems to the specific 

project for which you are applying. The 

application will also be rated on the 

seriousness/significance of the findings 

related to your financial management 

system identified in your current audit. 

If you are required to have an audit but 

do not have a current audit, you must 

submit a letter from your Independent 

Public Accountant (IPA) that is dated 

within the past 12 months stating that 

your financial management system 

complies with all applicable regulatory 

requirements. If you are not required to 

have an audit, you will automatically 

receive points for this portion of the 

subfactor if you provide the other 

information required by this subfactor. 

For purposes of this subfactor, a current 

audit is one which was due to be 

submitted to the Federal Audit 

Clearinghouse (FAC) within the 12- 

month period prior to the application 

due date. To be considered, the audit 

must be submitted to the FAC prior to 

the ICDBG application deadline date. Do 

not submit financial management and/ 

or internal control policies and 

procedures or your audit with the 

application. 

(3 points for current ICDBG grantees 

and 10 points for new applicants). 

The applicant clearly described how 

it will apply its financial management 

systems to the proposed project and 

how the system meets the requirements 

of 24 CFR part 85 and 24 CFR part 1003. 

The applicant’s current audit does not 

contain any serious or significant 

findings related to its financial 

management system, or if there is no 

current audit, the applicant submitted a 

letter from its Independent Public 

Accountant stating that its financial 

management system complies with all 

applicable regulatory requirements. 

(2 points for current ICDBG grantees 

and 5 points for new applicants) The 

applicant’s current audit does not 

contain any serious or significant 

findings related to its financial 

management system, or if there is no 

current audit, the applicant submitted a 

letter from its Independent Public 

Accountant (IPA) stating that its 

financial management system complies 

with all applicable regulatory 

requirements. The applicant did not 

describe how it would apply its 

financial management systems to the 

proposed project and how the system 

meets the requirements of 24 CFR part 

85 and 24 CFR part 1003. 

(0 points for current ICDBG grantees 

or new applicants) The applicant’s 

current audit included serious or 

significant findings related to its 

financial management systems or, if 

there is no current audit, the applicant 

did not submit a letter from its IPA 

stating its financial management 

systems comply with all regulatory 

requirements. The applicant did not 

describe how it would apply its 

financial management systems to the 

proposed project and how the system 

meets the requirements of 24 CFR part 

85 and 24 CFR part 1003. 

d. (2 points for current ICDBG 

grantees and 10 points for new 

applicants) Procurement and Contract 

Management. 

This subfactor evaluates the extent to 

which your application describes how 

your procurement and contract 

management policies and procedures 

will facilitate effective procurement and 

contract control over your proposed 

project and meet the requirements of 24 

CFR part 85 and 24 CFR part 1003. You 

must also describe how you will apply 

your procurement and contract 

management systems to the specific 

project for which you are applying. The 

application will also be rated on the 

seriousness of the findings related to 

procurement and contract management 

identified in your current financial 

audit. If you are required to have an 

audit but do not have a current audit, 

you must submit a letter from your 

Independent Public Accountant stating 

that your procurement and contract 

management system complies with all 

applicable regulatory requirements. If 

you are not required to have an audit, 

you will automatically receive points for 

this portion of the subfactor if you 

provide the other information required 

by this subfactor. Do not submit 

procurement and contract management 

policies and procedures or your audit 

with the application. 

(2 points for current ICDBG grantees 

and 10 points for new applicants) The 

applicant clearly described how its 

procurement and contract management 

policies and procedures will facilitate 

effective procurement and contract 

control over the proposed project, and 

meet the requirements of 24 CFR part 85 

and 24 CFR part 1003. The applicant 

described how it will apply its 

procurement and management systems 

to the specific project for which it is 

applying. The applicant’s current audit 

does not contain any serious or 

significant findings related to its 

procurement and contract management 

system, or if there is no current audit, 

the applicant submitted a letter from its 

Independent Public Accountant (IPA) 

stating that its procurement and contract 

management system complies with all 

applicable regulatory requirements. 

(1 point for current ICDBG grantees 

and 5 points for new applicants) The 

applicant’s current audit does not 

contain any serious or significant 

findings related to its procurement or 

contract management system, or if there 

is no current audit, the applicant 

submitted a letter from its Independent 

Public Accountant stating that its 

procurement and contract management 

system complies with all applicable 

regulatory requirements. The applicant 

did not describe how it would apply its 

procurement and contract management 

systems to the proposed project and 

meet the requirements of 24 CFR part 85 

and 24 CFR part 1003. 

(0 points for current ICDBG grantees 

or new applicants) The applicant’s 

current audit included serious or 

significant findings related to its 

procurement and contract management 

systems or if there is no current audit, 

the applicant did not submit a letter 

from its IPA stating its procurement and 

contract management systems comply 

with all regulatory requirements. The 

applicant did not describe how it would 

apply its procurement and contract 

management systems to the proposed 

project and meet the requirements of 24 

CFR part 85 and 24 CFR part 1003. 

2. (20 points for current ICDBG 

grantees and 0 points for new 

applicants) Past Performance. 

HUD will evaluate your experience in 

producing products and reports in 

accordance with regulatory timelines for 

any previous grant programs undertaken 

with HUD funds for the following 

performance measures. HUD reserves 

the right to take into account your past 

performance in meeting performance 

and reporting goals on any previous 

HUD awards. Applicants are not 

required to respond to the subfactors 

related to past performance. HUD will 

rely on information on file. 

a. (4 points for current ICDBG 

grantees and 0 points for new 

applicants). You are not more than 90 

days behind schedule in meeting the 

time frames established in the HUDapproved Implementation Schedule for 

the ICDBG program. 

(1) (4 points) The applicant is not 

more than 90 days behind schedule in 

meeting the timeframes established in 

the HUD-approved implementation 

schedule. 

(2) (2 points) The applicant is not 

more than 120 days behind schedule in 

meeting the timeframes established in 

the HUD-approved implementation 

schedule. 

(3) (0 points) The applicant is more 

than 120 days behind schedule in 

meeting timeframes established in the 

HUD-approved implementation 

schedule. 

b. (4 points for current ICDBG 

grantees and 0 points for new 


rwilkins on PROD1PC63 with NOTICES_2
11460 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

applicants). Annual Status and 

Evaluation Reports (ASER) and Federal 

Cash Transaction Reports are submitted 

by the report submission deadlines. The 

ASER is due 45 days after the end of the 

federal fiscal year on November 15. 

Federal Cash Transaction Reports are 

due quarterly on April 21, July 21, 

October 20, and January 22. 

(1) (4 points) The applicant has 

submitted both the ASER and Federal 

Cash Transaction Reports for ICDBG 

programs by the report submission 

deadlines. 

(2) (2 points) The applicant has 

submitted either the Federal Cash 

Transaction Reports or the ASERs for 

ICDBG programs by the report 

submission deadline. 

(3) (0 points) The applicant has 

submitted neither of the required 

reports by the report submission 

deadline. 

c. (4 points for current ICDBG 

grantees and 0 points for new 

applicants) You have submitted closeout documents to HUD by the required 

deadline. Close-out documents are 

required for the ICDBG program within 

90 days of the date it is determined that 

the criteria for close-out at 24 CFR 

1003.508 have been met. 

(1) (4 points) The applicant submitted 

close-out documents to HUD in 

accordance with the timeframe and 

criteria at § 1003.508. 

(2) (0 points) The applicant has not 

submitted close-out documents to HUD 

as required by § 1003.508. 

d. (4 points for current ICDBG 

grantees and 0 points for new 

applicants) You have submitted annual 

audits in accordance with OMB Circular 

A–133 and its compliance supplements, 

or if you have received an extension of 

the audit submission date, your audit 

was submitted by the extended date. If 

an extension was received, submit a 

copy of the extension approval. Do not 

submit your audit with the application. 

(1) (4 points) You have submitted 

annual audits in accordance with OMB 

Circular A–133 and its compliance 

supplements, or if you have received an 

extension of the audit submission date, 

your audit was submitted by the 

extended date. If an extension was 

received, submit a copy of the extension 

approval. If the applicant has not been 

required to submit an audit, it will 

receive 4 points. 

(2) (0 points) You have not submitted 

annual audits in accordance with OMB 

Circular A–133 and its compliance 

supplements or if you have received an 

extension of the audit submission date, 

your audit was not submitted by the 

extended date. 

e. (4 points for current ICDBG 

grantees and 0 points for new 

applicants) You have resolved ICDBG 

monitoring findings and controlled 

audit findings by the established target 

date, or there are no findings in current 

reports. Do not submit responses to 

open monitoring or audit findings with 

the application. 

(1) (4 points) The applicant resolved 

open ICDBG monitoring findings and 

controlled audit findings by the 

established target date. If there were no 

open audit or ICDBG monitoring 

findings (current grantees only), the 

applicant will receive 4 points. 

(2) (0 points) The applicant has not 

resolved open ICDBG monitoring 

findings and controlled audit findings 

by the established target date. 

Rating Factor 2: Need/Extent of the 

Problem (16 Points) 

This factor addresses the extent to 

which there is a need for the proposed 

project to address a documented 

problem among the intended 

beneficiaries. 

1. (Up to 4 points) Your application 

includes quantitative information 

demonstrating that the proposed project 

meets an essential community 

development need by providing 

outcomes that are critical to the viability 

of the community. 

2. (12 points) Your project benefits the 

neediest segment of the population, in 

accordance with the ICDBG program’s 

primary objective defined at 24 CFR 

1003.2. The criteria for this sub-factor 

vary according to the type of project for 

which you are applying. Please note that 

you may submit data that are 

unpublished and not generally available 

in order to meet the requirements of this 

section. However, to do so, you must 

submit a demographic data statement 

along with supporting documentation as 

described in Section IV.B. of this NOFA. 

For documenting persons employed by 

the project, you do not need to submit 

a demographic data statement and 

corresponding documentation. 

However, you do need to submit 

information that describes the nature of 

the jobs created or retained. Such 

information includes, but is not limited 

to, descriptions of proposed job 

responsibilities, salaries, and the 

number of full-time equivalent 

positions. If you believe jobs will be 

retained as a result of the ICDBG project, 

include information that shows clearly 

and objectively that jobs will be lost 

without the ICDBG project. Jobs that are 

retained only for the period of the grant 

will not count under this rating factor. 

a. Public Facilities and Improvements 

and Economic Development Projects 

The proposed activities benefit the 

neediest segment of the population, as 

identified below. For economic 

development projects, you may consider 

beneficiaries of the project as persons 

served by the project and/or persons 

employed by the project, and jobs 

created or retained by the project. 

(1) (12 points) At least 85 percent of 

the beneficiaries are low- or moderateincome. 

(2) (8 points) At least 75 percent but 

less than 85 percent of the beneficiaries 

are low- or moderate-income. 

(3) (4 points) At least 55 percent but 

less than 75 percent of the beneficiaries 

are low- or moderate-income. 

(4) (0 points) Less than 55 percent of 

the beneficiaries are low-or moderateincome. 

b. New Housing Construction, Housing 

Rehabilitation, Land Acquisition to 

Support New Housing, and 

Homeownership Assistance Projects 

The need for the proposed project is 

determined by utilizing data from the 

tribe’s 2006 IHBG formula information. 

The ratio is based on the dollars 

allocated to a tribe under the IHBG 

program for need divided by the sum of 

the number of American Indian and 

Alaskan Native (AIAN) households in 

the following categories: 

—Annual income less than 30 percent 

of median income; 

—Annual income between 30 percent 

and 50 percent of median income; 

—Annual income between 50 percent 

and 80 percent of median income; 

—Overcrowded or without kitchen or 

plumbing; 

—Housing cost burden greater than 50 

percent of annual income; 

—Housing shortage (Number of lowincome AIAN households less total 

number of NAHASDA and Formula 

Current Assisted Stock). 

This ratio is computed for each tribe 

and posted in the ‘‘Factor 2 Needs 

Table’’ that is available at http:// 

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

fundsavail.cfm under the ICDBG 

program. 

(1) (12 points) The dollar amount for 

the Indian tribe is $316–$750 or the 

tribe’s total FY2006 IHBG amount was 

$100,000 or less and the Needs Table 

indicates that the Indian tribe has no 

AIAN households experiencing income 

or housing problems. 

(2) (8 points) The dollar amount for 

the Indian tribe is $751–$1,250. 

(3) (4 points) The dollar amount for 

the Indian tribe is $1,251–$1,999. 

(4) (0 points) The dollar amount for 

the Indian tribe is $2,000 or higher, or 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11461 

the Needs Table indicates that the 

Indian tribe has no AIAN households 

experiencing income or housing 

problems. 

c. Microenterprise Programs 

A microenterprise is a business that 

has five or fewer employees, one or 

more of whom owns the enterprise. The 

owner(s) of the microenterprise must be 

low- or moderate-income and the 

majority of the jobs created or retained 

will be for low- or moderate-income 

persons. To evaluate need, the nature of 

the jobs created or retained will be 

evaluated. The owners of the 

microenterprises are low- and moderateincome and: 

(1) (12 points) All employees are lowor moderate-income. 

(2) (8 points) At least 75 percent but 

less than 100 percent of the employees 

are low- or moderate-income. 

(3) (4 points) At least 50 percent but 

less than 75 percent of the employees 

are low- or moderate-income. 

(4) (0 points) Less than 50 percent of 

the employees are low- and moderateincome. 

Rating Factor 3: Soundness of Approach 

(30 Points) 

This factor addresses the quality and 

anticipated effectiveness of your 

proposed project’s outcomes in 

enhancing community viability and in 

meeting the needs you have identified 

in Rating Factor 2 and the commitment 

to sustain your proposed project. The 

populations that were described in 

demographics that documented need 

should be the same populations that 

will receive the primary benefit of the 

proposed project. 

1. (10 points) Description of and 

Rationale for Proposed Project. 

a. (10 points) The proposed project is 

a viable and cost effective approach to 

address the needs outlined under Rating 

Factor 2 of your application. The 

proposed project is described in detail 

and you indicate why you believe it will 

be most effective in addressing the 

identified need. In order for an 

application to receive full credit under 

this factor, the application must include 

clear and sound measures of the 

proposed outputs and outcomes for how 

the community’s viability will be 

enhanced, as presented in Rating Factor 

5. The application includes a 

description of the size, type, and 

location of the project and a rationale 

for project design. If your application is 

for construction of housing or a public 

facility building or rehabilitation 

project, it must also include anticipated 

cost savings related to project 

development due to innovative program 

design or construction methods. For 

land acquisition to support new housing 

projects, you must establish that there is 

a reasonable ratio between the number 

of net usable acres to be acquired and 

the number of low- and moderateincome households to benefit from the 

project. 

b. (5 points) The proposed project is 

a viable and cost-effective approach to 

address the needs outlined under Rating 

Factor 2 of the application. The project 

is described in detail and indicates why 

you believe the project will be most 

effective in addressing the identified 

need. Proposed outcomes that will 

enhance the community’s viability are 

included. The application includes a 

description of the size, type, and 

location of the project, as well as a 

rationale for project design. For land 

acquisition to support new housing 

projects, the applicant has established 

that there is a reasonable ratio between 

the number of net usable acres to be 

acquired and the number of low- and 

moderate-income households to benefit 

from this project. The application (for 

construction of housing or a public 

facility building or rehabilitation 

projects) does not include anticipated 

cost savings due to innovative program 

design and/or construction methods. 

c. (3 points) The proposed project is 

a viable and cost-effective approach to 

address the needs outlined under Rating 

Factor 2 of the application. The project 

is described and you indicate why you 

believe the project will be most effective 

in addressing the identified need. 

Proposed outcomes are included but do 

not describe how the project will 

enhance community viability. The 

application includes a description of the 

size, type, and location of the project. 

For land acquisition to support new 

housing projects, the applicant has 

established that there is a reasonable 

ratio between the number of net usable 

acres to be acquired and the number of 

low- and moderate-income households 

to benefit from the project. The 

application (for construction of housing 

or a public facility building or 

rehabilitation activities) does not 

include anticipated cost savings due to 

innovative program design and/or 

construction methods. 

d. (0 points) The proposed project is 

not a viable and cost-effective approach 

to address the needs outlined under 

Rating Factor 2 of the application. The 

proposed project is not described in 

detail with an indication of why the 

applicant believes the project will be 

most effective in addressing the 

identified need. Proposed outcomes 

describing how the project will enhance 

community viability are not included. 

For land acquisition to support new 

housing projects, the applicant has not 

established that there is a reasonable 

ratio between the number of net usable 

acres to be acquired and the number of 

low- and moderate-income households 

to benefit from the project. The 

application (for construction of housing 

or a public facility building and 

rehabilitation activities) does not 

include anticipated cost savings due to 

innovative program design and/or 

construction methods. 

2. (5 points) Budget and Cost 

Estimates. 

The quality, thoroughness, and 

reasonableness of the proposed project 

budget are documented. Cost estimates 

must be broken down by line item for 

each proposed activity, including 

planning and administration costs, and 

documented. You must provide a 

description of the qualifications of the 

person who prepared the cost estimate. 

3. (1 point) HUD Policy Priorities. 

Your application addresses the goals 

for ‘‘Improving Our Nation’s 

Communities,’’ or ‘‘Energy Star,’’ two of 

HUD’s 2007 policy priorities, as 

described in Section V. B. of the General 

Section. You must describe which one 

of these two policy priorities you select 

and describe how your activity will 

meet the applicable goals. 

4. (2 points) Intent to Meet Section 3 

Requirements. 

Your application demonstrates how 

you will apply the Section 3 

requirements of the Housing and Urban 

Development Act of 1968 and the 

regulations in 24 CFR part 135 

(Economic Opportunities for Low- and 

Very Low-Income Persons) to the 

proposed project. You must demonstrate 

how you will incorporate Section 3 

principles, with goals for expanding 

opportunities for Section 3 residents 

and business concerns, to your 

proposed project. The purpose of 

Section 3 is to ensure that employment 

and other economic opportunities 

generated by federal financial assistance 

for housing and community 

development programs shall, to the 

extent feasible, be directed toward lowand very low-income persons (but not in 

derogation of compliance with Section 

7(b) of the Indian Self-Determination 

and Education Assistance Act (25 U.S.C. 

4503(b))). 

5. (12 points) Commitment To Sustain 

Activities. 

Your application demonstrates your 

commitment to your community’s 

viability by sustaining your proposed 

activities. The information provided is 

sufficient to determine that the project 

will proceed effectively. 


rwilkins on PROD1PC63 with NOTICES_2
11462 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

The criteria for this sub-factor vary 

according to the type of project for 

which you are applying. 

a. Public Facilities and Improvement 

Projects 

(1) (12 points) If a tribe assumes 

operation and maintenance 

responsibilities for the public facilities 

and improvements, provide a written 

statement that the tribe has adopted the 

operation and maintenance plan and 

commits the necessary funds to provide 

for these responsibilities. In addition, 

describe how the operation and 

maintenance plan addresses 

maintenance, repairs, insurance, 

security, and replacement reserves and 

include a cost breakdown for annual 

expenses. If an entity other than the 

tribe commits to pay for operation and 

maintenance for the public facilities, a 

letter of commitment from the entity is 

included in the application that 

identifies the maintenance 

responsibilities and, if applicable, the 

responsibilities for operations the entity 

will assume, as well as necessary funds 

to provide for these responsibilities. A 

description of how the operation and 

maintenance plan addresses 

maintenance, repairs, insurance, 

security, and replacement reserves is 

not required when an entity other then 

the tribe assumes operation and 

maintenance responsibilities. For public 

facility buildings only, a commitment is 

included in the application that 

identifies the source of and commits the 

necessary operating funds for any 

recreation, social, or other services to be 

provided. In addition, letters of 

commitment from service providers are 

included that address both operating 

expenses and space needs. 

(2) (8 points) If a tribe assumes 

operation and maintenance 

responsibilities for the public facilities 

and improvements, provide a written 

statement that the tribe has adopted the 

operation and maintenance plan and 

commits the necessary funds to provide 

for these responsibilities. In addition, a 

description was included that shows 

that the operation and maintenance plan 

addresses at least four of the following 

items (maintenance, repairs, insurance, 

security, and replacement reserves) but 

a satisfactory cost breakdown for annual 

expenses was not included. If an entity 

other than the tribe commits to pay for 

operation and maintenance for the 

public facilities and maintenance, a 

letter of commitment from the entity is 

included in the application that 

identifies the maintenance 

responsibilities and, if applicable, the 

responsibilities for operations the entity 

will assume, but no information 

committing the necessary funds to 

provide for these responsibilities is 

included. A description of how the 

operation and maintenance plan 

addresses maintenance, repairs, 

insurance, security, and replacement 

reserves is not required when an entity 

other than the tribe assumes operation 

and maintenance responsibilities. For 

community buildings only, a 

commitment is included in the 

application that identifies the source of 

and commits the necessary operating 

funds for any recreation, social, or other 

services to be provided. In addition, 

letters of commitment from service 

providers are included that address both 

operating expenses and space needs. 

Information provided is sufficient to 

determine that the project will proceed 

effectively. 

(3) (4 points) If a tribe assumes 

operation and maintenance 

responsibilities for the public facilities 

and improvements, the application 

includes a written statement that the 

tribe has adopted the operation and 

maintenance plan and commits the 

necessary funds to provide for these 

responsibilities, or a description of the 

operation and maintenance plan is 

included that shows that the plan 

addresses at least three of the following 

items (maintenance, repairs, insurance, 

security, and replacement reserves). If 

an entity other than the tribe commits 

to pay for operation and maintenance 

for the public facilities and 

maintenance, the maintenance provider 

is identified and, if applicable, the 

responsibilities for operations the entity 

will assume, but no letter of 

commitment is included. For public 

facility buildings only, no commitment 

is included in the application that 

identifies the source of and commits the 

necessary operating funds for any 

recreation, social, or other services to be 

provided. Letters of commitment to 

provide services are included but they 

do not address operating expenses and 

space needs. Information provided is 

sufficient to determine that the project 

will proceed effectively. 

(4) (0 points) None of the above 

criteria is met. 

b. New Housing Construction, Housing 

Rehabilitation, and Homeownership 

Assistance Projects 

(1) (12 points) The ongoing 

maintenance responsibilities are clearly 

identified for the tribe and/or the 

participants, as applicable. If the tribe or 

another entity is assuming maintenance 

responsibilities, then the applicant must 

describe the maintenance 

responsibilities and provide a 

commitment to that effect. 

(2) (8 points) Maintenance 

responsibilities for the tribe and/or 

participants are identified and 

described, but lacking in detail, and the 

commitment regarding maintenance 

responsibilities is submitted. 

(3) (4 points) Tribal maintenance 

responsibilities are identified but 

participant responsibilities are either 

not addressed or do not exist, or there 

is no commitment regarding 

maintenance responsibilities. 

(4) (0 points) None of the above 

criteria is met. 

c. Economic Development Projects 

You must include information or 

documentation that addresses or 

provides all of the following in the 

application: a description of the 

organizational system and capacity of 

the entity that will operate the business; 

documents that show that formal 

provisions exist for separation of 

government functions from business 

operating decisions, an operating plan 

for the project, and the feasibility and 

market analysis of the proposed 

business activity and the financial 

viability of the project. 

(1) Appropriate documents to include 

in the application to address these items 

include: 

(a) Articles of incorporation, bylaws, 

resumes of key management positions, 

and board members for the entity who 

will operate the business. 

(b) Business operating plan. 

(c) A market study no more than two 

years old and which has been 

conducted by an independent entity. 

(d) Financial analysis and feasibility 

study no more than two years old which 

indicates how the proposed business 

will capture a fair share of the market, 

and which has been conducted by an 

independent entity. 

(e) Detailed cost summary for the 

development of the project. 

(f) For the expansion of an existing 

business, copies of financial statements 

for the most recent three years (or the 

life of the business, if less than three 

years). 

(2) The submitted documentation will 

be evaluated to determine the project’s 

financial chance for success. The 

following questions must be addressed 

to meet this requirement: 

(a) Does the business plan seem 

thorough and does the organization 

structure have quality control and 

responsibilities built in? 

(b) Does the business plan or market 

analysis indicate that a substantial 

market share is likely within five years? 

(c) Do the costs appear to be 

reasonable given projected income and 

information about inputs? 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11463 

(d) Does the business plan or cash 

flow analysis indicate that cash flow 

will be positive within the first year? 

(e) Is the financial statement clean 

with no indications of concern by the 

auditor? 

(12 points) All above documents 

applicable to the proposed project are 

included in your application and 

provide evidence that the project’s 

chance for financial success is excellent. 

(6 points) All or most of the above 

documents applicable to the proposed 

project are included and provide 

evidence that the project’s chance for 

financial success is reasonable. 

(0 points) Neither of the above criteria 

is met. 

d. Microenterprise Programs 

(1) You must include the following 

information or documentation in the 

application that addresses or provides a 

description of how your microenterprise 

program will operate. Appropriate 

information to include in the 

application to address program 

operations includes: 

(a) Program description. A description 

of your microenterprise program 

including the types of assistance offered 

to microenterprise applicants and the 

types of entities eligible to apply for 

such assistance. 

(b) Processes for selecting applicants. 

A description of your processes for 

analyzing microenterprise applicants’

business plans, market studies, and 

financial feasibility. For credit 

programs, you must describe your 

process for determining the loan terms 

(i.e., interest rate, maximum loan 

amount, duration, loan servicing 

provisions) to be offered to individual 

microenterprise applicants. 

(2) (12 points) All of the above 

information or documentation 

applicable to the proposed project are 

thoroughly addressed in the application 

and the chances for success are 

excellent. 

(3) (6 points) All or most of the above 

information or documentation 

applicable to the proposed project are 

addressed in the application and the 

chances for success are reasonable. 

(4) (0 points) Neither of the above 

criteria is met. 

e. Land Acquisition Projects to Support 

New Housing. 

Submissions must include the results 

of a preliminary investigation 

conducted by a qualified independent 

entity demonstrating that the proposed 

site has suitable soil conditions for 

housing and related infrastructure, 

potable drinking water is accessible for 

a reasonable cost, access to utilities, 

vehicular access, drainage, nearby social 

and community services, and no known 

environmental problems. 

(1) (12 points) The submissions 

include all of the above-mentioned 

items and all necessary infrastructure is 

in place. 

(2) (6 points) The submissions 

demonstrate that the proposed site(s) is/ 

are suitable for housing but that not all 

necessary infrastructure is in place. A 

detailed description of resources to be 

used and a detailed implementation 

schedule for development of all 

necessary infrastructure demonstrates 

that such infrastructure, as needed for 

proposed housing development, will be 

developed in time for such 

development, but no later than two 

years after site purchase. 

(3) (0 points) Neither of the above 

criteria is met. 

Rating Factor 4: Leveraging Resources (8 

points) 

HUD believes that ICDBG funds can 

be used more effectively to benefit a 

larger number of Native American and 

Alaska Native persons and communities 

if projects are developed that use tribal 

resources and resources from other 

entities in conjunction with ICDBG 

funds. To encourage this, HUD will 

award points based on the percentage of 

non-ICDBG resources provided relative 

to project costs as follows: 

Non-ICDBG resources to 

project costs Points 

Less than 4 percent .................. 0 

At least 4 percent but less than 

11 percent ............................. 2 

At least 11 percent but less 

than 18 percent ..................... 4 

At least 18 percent but less 

than 25 percent ..................... 6 

25 percent or more ................... 8 

Contributions that could be 

considered as leveraged resources for 

point award include, but are not limited 

to: tribal trust funds, loans from 

individuals or organizations, private 

foundations, businesses, state or federal 

loans or guarantees, other grants 

including IHBG (also known as NAHBG) 

funds, donated goods and services 

needed for the project, land needed for 

the project, and direct administrative 

costs. With the exception of land 

acquisition, funds that have been 

expended on the project prior to the 

application deadline date will not be 

counted as leverage. Applicants are 

reminded that environmental review 

requirements under 24 CFR part 58 

apply to the commitment or use of both 

ICDBG and non-ICDBG funds in a 

leveraged project. See Section VI.B. of 

this NOFA for information related to 

this requirement. 

Contributions that will not be 

considered include, but are not limited 

to: indirect administrative costs as 

identified in OMB Circular A–87, 

attachment A, section F; contributions 

of resources to pay for anticipated 

operations and maintenance costs of the 

proposed project; and, in the cases of 

expansions to existing facilities, the 

value of the existing facility. 

To be considered for point award, 

letters of firm or projected 

commitments, memoranda of 

understanding, or agreements to 

participate from any entity, including 

the tribe that will be providing a 

contribution to the project, must 

accompany the application. The 

documentation must be received by 

HUD in the paper application package 

(if you have received a waiver of the 

electronic submission requirement) or 

for electronically submitted 

applications, the documentation must 

be scanned and submitted as part of the 

application documents or sent by 

facsimile transmittal (see the General 

Section). To receive funding 

consideration, all documents must be 

received by the application deadline 

dates and meet the timely receipt 

requirements. 

To demonstrate the commitment of 

tribal resources, the application must 

contain a written statement that 

identifies and commits the tribal 

resources to the project, subject to 

approval of the ICDBG assistance. In the 

case of IHBG funds, whether the tribe or 

a TDHE administers them, an approved 

Indian Housing Plan (IHP) must identify 

and commit the IHBG resources to the 

project. Do not submit the IHP with 

your application. ONAP will rely on the 

most recently approved IHP on file. If 

the tribe/TDHE intends to include the 

leveraged commitment in a future IHP, 

the application must contain a written 

statement that identifies and commits 

the IHBG resources to the project subject 

to the same requirements as above. 

To demonstrate the commitment of a 

public agency, foundation, or other 

private party resources, a letter of 

commitment, memorandum of 

understanding, and/or agreement to 

participate, including any conditions to 

which the contribution may be subject, 

must be submitted with the application. 

All letters of commitment must include 

the donor organization’s name, the 

specific resource proposed, the dollar 

amount of the financial or in-kind 

resource and method for valuation, and 

the purpose of that resource within the 


rwilkins on PROD1PC63 with NOTICES_2
11464 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

proposed project. An official of the 

organization legally authorized to make 

commitments on behalf of the 

organization must sign the commitment. 

HUD recognizes that in some cases, 

firm commitments of non-tribal 

resources may not be obtainable by your 

tribe by the application deadline. For 

such projected resources, your 

application must include a statement 

from the contributing entity that 

describes why the firm commitment 

cannot be made at the current time and 

affirms that your tribe and the proposed 

project meets eligibility criteria for 

receiving the resource. In addition, a 

date by which the funding decisions 

will be made must be included. This 

date cannot be more than six months 

from the anticipated date of grant 

approval by HUD. Should HUD not 

receive notification of the firm 

commitment within 6 months of the 

date of grant approval, HUD will 

recapture the grant funds approved and 

will use them in accordance with the 

requirements of 24 CFR 1003.102. 

In addition to the above requirements, 

for all contributions of goods, services 

and land, you must demonstrate that the 

donated items are necessary to the 

actual development of the project and 

include comparable costs that support 

the donation. Land valuation must be 

established using one of the following 

methods and the documentation must 

be contained in the application: a sitespecific appraisal no more than two 

years old; an appraisal of a nearby 

comparable site also no more than two 

years old; a reasonable extrapolation of 

land value based on current area realtor 

value guides; or a reasonable 

extrapolation of land value based on 

recent sales of similar properties in the 

same area. 

Rating Factor 5: Comprehensiveness and 

Coordination (6 Points) 

This factor addresses the extent to 

which your project planning and 

proposed implementation reflect a 

coordinated, community-based process 

of identifying and addressing needs, 

including assisting beneficiaries and the 

program to achieve self-sufficiency/ 

sustainability. 

The Logic Model, HUD form 96010, is 

not required for Rating Factor 5 under 

the ICDBG program. However, 

applicants are encouraged to use this 

form to address program evaluation 

requirements under Rating Factor 

1.(1).(b) of this NOFA, and measurable 

outputs and outcomes in Section (2) of 

this factor. 

1. (Up to 2 points) The application 

addresses the extent to which you have 

coordinated your proposed ICDBG 

activities with other organizations and/ 

or tribal departments that are not 

providing direct financial support to 

your proposed work activities, but with 

which you share common goals and 

objectives and are working toward 

meeting these objectives in a holistic 

and comprehensive manner. For 

example, your project is consistent with 

and, to the extent possible, identified in 

the IHP (One-Year Financial Resources 

Narrative; Table 2, Financial Resources, 

Part I., Line 1E; and, Table 2, Financial 

Resources, Part II) submitted by you or 

on your behalf for the IHBG (also known 

as NAHBG) program. If the IHP for the 

IHBG (also known as NAHBG) program 

year that coincides with the 

implementation of the ICDBG proposed 

project has not been submitted, you 

must provide a written statement that 

when submitted, the IHP will 

specifically reference the proposed 

project. 

2. (Up to 4 points) Your proposed 

project will have measurable outputs 

and outcomes that will enhance 

community viability. 

Outputs must include, where 

applicable: 

• Number of houses rehabilitated; 

• Number of jobs created; 

• Square feet for any public facility; 

• Number of education or job training 

opportunities provided; 

• Number of homeownership units 

constructed or financed; 

• Number of businesses assisted 

(including number of minority/Native 

American); 

• Number of families proposed to be 

assisted through a drug-elimination 

program, or through a program to reduce 

or eliminate health-related hazards. 

Outcomes must include, where 

appropriate: 

• Reduction in the number of families 

living in substandard housing; 

• Increased income resulting from 

employment generated by project; 

• Increased quality of life due to 

services provided by the public facility; 

• Increased economic self-sufficiency 

of program beneficiaries; 

• Increase in homeownership rates; 

• Reduction of drug-related crime or 

health-related hazards. 

HUD is providing a Master Logic 

Model as a Microsoft ExcelTM file with 

dropdown listings from which 

applicants may select the items in each 

column that reflect their activity outputs 

and outcomes. The Master Logic Model 

listing also identifies the unit of 

measure that HUD is interested in 

collecting for the output and outcome 

selected. Applicants can also select the 

appropriate estimated number of units 

of measure to be accomplished and 

identified for each output and outcome. 

The space next to the output and 

outcome is intended to capture the 

anticipated units of measure. Multiple 

outputs and outcomes may be selected 

per project. For FY 2007, HUD is 

considering a new concept for the Logic 

Model. The new concept is a Return on 

Investment (ROI) statement. HUD will 

be publishing a separate notice on the 

ROI concept. The Master Logic Model 

pick is incorporated into the form 

available as part of the ICDBG 

Instructions download from Grants.gov. 

Training on use of the dropdown form 

will be provided via webcast. The 

schedule for webcast training can be 

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

adm/grants/fundsavail.cfm. 

B. Reviews and Selection Process 

1. Application Selection Process. You 

must meet all of the applicable 

threshold requirements listed in Section 

III.C. Your application must meet all 

screening for acceptance requirements 

and all identified applicant and project 

specific thresholds. HUD will review 

each application and assign points in 

accordance with the selection factors 

described in this section. 

2. Threshold Compliance. The Area 

ONAP will review each application that 

passes the screening process to ensure 

that each applicant and each proposed 

project meets the applicant threshold 

requirements set forth in 24 CFR 

1003.301(a) and the project specific 

threshold requirements set forth in 24 

CFR 1003.302 and III.C. of this NOFA. 

3. Past Performance. An applicant’s 

past performance is evaluated under 

Rating Factor 1. Applicants are 

encouraged to address all performancerelated criteria prior to the application 

deadline date. An applicant must score 

a minimum of 20 points under Rating 

Factor 1 in order to meet the minimum 

point requirements outlined below in 

this NOFA. 

4. Rating. The Area ONAP will review 

and rate each project that meets the 

acceptance criteria and threshold 

requirements. 

After the applications are rated, a 

summary review of all applications will 

be conducted to ensure consistency in 

the application rating. The summary 

review will be performed by either the 

Grants Management Director (or 

designee) or by a panel composed of up 

to three staff members. 

The total points for all rating factors 

are 100. A maximum of 100 points may 

be awarded under Rating Factors 1 

through 5. 

5. Minimum Points. To be considered 

for funding, your application must 

receive a minimum of 20 points under 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11465 

Rating Factor 1 and an application score 

of 70 points. 

6. Ranking. All projects will be ranked 

against each other according to the point 

totals they receive, regardless of the type 

of project or component under which 

the points were awarded. Projects will 

be selected for funding based on the 

final ranking to the extent that funds are 

available. The Area ONAP will 

determine individual grant amounts in 

a manner consistent with the 

considerations set forth in 24 CFR 

1003.100(b)(2). Specifically, the Area 

ONAP may approve a grant amount less 

than the amount requested. In doing so, 

the Area ONAP may take into account 

the size of the applicant, the level of 

demand, the scale of the activity 

proposed relative to need and 

operational capacity, the number of 

persons to be served, the amount of 

funds required to achieve project 

objectives, and the reasonableness of the 

project costs. If the Area ONAP 

determines that there are not enough 

funds available to fund a project as 

proposed by the applicant, it may 

decline to fund that project and may 

fund the next highest-ranking project or 

projects for which adequate funds are 

available. The Area ONAP shall select, 

in rank order, additional projects for 

funding if one of the higher-ranking 

projects is not funded or if additional 

funds become available. 

7. Tiebreakers. When rating results in 

a tie among projects and insufficient 

resources remain to fund all tied 

projects, the Area ONAP will approve 

projects that can be fully funded over 

those that cannot be fully funded. When 

that does not resolve the tie, the Area 

ONAP will use the following factors in 

the order listed to resolve the tie: 

(a) The applicant that has not received 

an ICDBG over the longest period of 

time. 

(b) The applicant with the fewest 

active ICDBGs. 

(c) The project that would benefit the 

highest percentage of low- and 

moderate-income persons. 

8. Technical Deficiencies and PreAward Requirements 

a. Technical Deficiencies. If there are 

technical deficiencies in successful 

applications, you must satisfactorily 

address these deficiencies before HUD 

can make a grant award. See the General 

Section at V.B.4. for information on 

curing deficiencies. 

b. Pre-award Requirements. 

Successful applicants may be required 

to provide supporting documentation 

concerning the management, 

maintenance, operation, or financing of 

proposed projects before a grant 

agreement can be executed. Such 

documentation may include additional 

specifications on the scope, magnitude, 

timing or method of implementing the 

project; or information to verify the 

commitment of other resources required 

to complete, operate, or maintain the 

proposed project. Applicants will be 

provided thirty (30) calendar days to 

respond to these requirements. No 

extensions will be provided. If you do 

not respond within the prescribed time 

period or you make an insufficient 

response, the Area ONAP will 

determine that you have not met the 

requirements and will withdraw the 

grant offer. You may not substitute new 

projects for those originally proposed in 

your application and any new 

information will not affect your project’s 

rating and ranking. The Area ONAP will 

award, in accordance with the 

provisions of this NOFA, grant amounts 

that had been allocated for applicants 

unable to meet pre-award requirements. 

9. Error and Appeals. Judgments made 

within the provisions of this NOFA and 

the program regulations (24 CFR part 

1003) are not subject to claims of error. 

You may bring arithmetic errors in the 

rating and ranking of applications to the 

attention of the Area ONAPs within 30 

days of being informed of your score. 

Please see Section VI.A. of the General 

Section for further information 

regarding errors. 

10. Performance and Compliance 

Actions of Funding Recipients. HUD 

will measure and address the 

performance of and order compliance 

actions by funding recipients in 

accordance with the applicable 

standards and sanctions of their 

respective programs. 

VI. Award Administration Information 

A. Award Notices. HUD expects to 

announce awards by October 31, 2007. 

As soon as rating and ranking are 

completed, the applicant has complied 

with any pre-award requirements, and 

Congressional release has been 

obtained, a grant award letter, a grant 

agreement, and other forms and 

certifications will be mailed to the 

recipient for signature and return to the 

Area ONAP. The grant agreement, 

which is signed by HUD and the 

recipient, establishes the conditions by 

which both the Area ONAP and the 

recipient must abide during the life of 

the grant. All grants are conditioned on 

the completion of all environmental 

obligations and approval of release of 

funds by the Area ONAP in accordance 

with the requirements of 24 CFR part 

58. HUD may impose other grant 

conditions if additional actions or 

approvals are required before the use of 

funds. 

B. Administrative and National Policy 

Requirements 

1. Statutory and Regulatory 

Requirements 

a. Environmental Requirements. As 

required by 24 CFR 1003.605, ICDBG 

grantees must perform environmental 

reviews of ICDBG activities in 

accordance with 24 CFR part 58 (as 

amended September 29, 2003). Grantees 

and other participants in the 

development process may not commit 

or expend any ICDBG or nonfederal 

funds on project activities (other than 

those listed in 24 CFR 58.22(f), 58.34, or 

58.35(b)) until HUD has approved a 

Request for Release of Funds and the 

grantee has submitted an environmental 

certification. The expenditure or 

commitment of ICDBG or nonfederal 

funds for such activities prior to HUD 

approval may result in the denial of 

assistance for the project or activities 

under consideration. 

b. Indian Preference. HUD has 

determined that the ICDBG program is 

subject to Section 7(b) of the Indian 

Self-Determination and Education 

Assistance Act (25 U.S.C. 450e(b)). The 

provisions and requirements for 

implementing this section are in 24 CFR 

1003.510. 

c. Anti-discrimination Provisions. 

Under the authority of Section 107(e)(2) 

of the CDBG statute, HUD waived the 

requirement that recipients comply with 

the anti-discrimination provisions in 

Section 109 of the CDBG statute with 

respect to race, color, and national 

origin. You must comply with the other 

prohibitions against discrimination in 

Section 109 (HUD’s regulations for 

Section 109 are in 24 CFR part 6) and 

with the Indian Civil Rights Act. 

d. Conflict of Interest. In addition to 

the conflict-of-interest requirements 

with respect to procurement 

transactions found in 24 CFR 85.36 and 

84.42, as applicable, the provisions of 

24 CFR 1003.606 apply to such 

activities as the provision of assistance 

by the recipient or sub-recipients to 

businesses, individuals, and other 

private entities under eligible activities 

that authorize such assistance. 

e. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). Section 3 requirements apply to the 

ICDBG program, but as stated in 24 CFR 

135.3(c), the procedures and 

requirements of 24 CFR part 135 apply 

to the maximum extent consistent with, 

but not in derogation of, compliance 

with Indian Preference. 


rwilkins on PROD1PC63 with NOTICES_2
11466 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

2. OMB Circulars and Governmentwide Regulations Applicable to 

Financial Assistance Programs. The 

policies, guidance and requirements of 

OMB Circular A–87 (Cost Principles 

Applicable to Grants, Contracts, and 

other Agreements with State and Local 

Governments); OMB Circular A–122 

(Cost Principles for Nonprofit 

Organizations); OMB Circular A–133 

(Audits of State and Local Governments, 

and Nonprofit Organizations); and the 

regulations at 24 CFR part 85 

(Administrative Requirements for 

Grants and Cooperative Agreements to 

State, Local and Federally Recognized 

Indian Tribal Governments) apply to the 

award, acceptance, and use of assistance 

under the ICDBG program and to the 

remedies for noncompliance, except 

when inconsistent with the provisions 

of the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007) 

or the ICDBG program regulations at 24 

CFR part 1003. Copies of the OMB 

Circulars may be obtained from EOP 

publications, Room 22000, New 

Executive Office Building, Washington, 

DC 20503, telephone (202) 395–3080 

(this is not a toll-free number) or (800) 

877–8339 (TTY Federal Information 

Relay Service). Information may also be 

obtained from the OMB Web site at 

http://www.whitehouse.gov/omb/ 

circulars/index.html. 

C. Reporting 

1. Post-Award Reporting Requirements 

a. Quarterly Financial Reports. Grant 

recipients must submit to the Area 

ONAP a quarterly SF–272, Federal Cash 

Transaction Report. The report accounts 

for funds received and disbursed by the 

recipient. 

b. Annual Status and Evaluation 

Report. Recipients are required to 

submit this report in narrative form 

annually. The report is due 45 days after 

the end of the federal fiscal year and at 

the time of grant close-out. The report 

must include: 

(1) The narrative report must address 

the progress made in completing 

approved activities and include a list of 

work remaining, along with a revised 

implementation schedule, if necessary. 

This report should include progress on 

any outputs or outcomes specified in 

Rating Factor 5 and incorporated into 

the final award document (applicants 

can use the Logic Model (HUD–96010) 

to address all or some of the narrative 

requirements). Further information 

regarding the Return on Investment(s) 

will be issued in a subsequent notice by 

HUD (see section V.A.2., Rating Factor 

5 of this NOFA for further information); 

(2) A breakdown of funds spent on 

each major project activity or category; 

and 

(3) If the project has been completed, 

an evaluation of the effectiveness of the 

project in meeting the community 

development needs of the grantee, as 

well as the final outputs and outcomes. 

c. Minority Business Enterprise 

Report. Recipients must submit this 

report on contract and subcontract 

activity during the first half of the fiscal 

year by April 10 and, by October 10 for 

the second half of the fiscal year. 

d. A close-out report must be 

submitted by the recipient within 90 

days of completion of grant activities. 

The report consists of the final Financial 

Status Report (forms SF 269 or 269A), 

the final Status and Evaluation Report 

including outputs and outcomes agreed 

upon in the final award document 

relating to Rating Factor 5 and the 

Close-Out Agreement. 

More information regarding these 

requirements may be found at 24 CFR 

1003.506 and 1003.508. 

VII. Agency Contact(s) 

A. General Questions. You should 

direct general program questions to the 

Area ONAP serving your area. A list 

identifying each Area ONAP is provided 

at http://www.hud.gov/offices/pih/ih/ 

onap/area_onap.cfm. Persons with 

speech or hearing impairments may call 

HUD’s TTY number 202 708–0770, or 

1–800–877–8339 (the Federal 

Information Relay Service TTY). Other 

than the ‘‘800’’ numbers, these numbers 

are not toll-free. You should direct 

questions concerning downloading the 

electronic application, registering with 

Grants.gov, or other questions regarding 

the electronic application to the 

Grants.gov support desk at 800–518–

GRANTS. You may also send an e-mail 

to Support@Grants.gov. 

B. Technical Assistance. Before the 

application deadline date, HUD staff 

will be available to provide you with 

general guidance and technical 

assistance about the requirements in the 

General Section and this NOFA. 

However, HUD staff is not permitted to 

assist in preparing your application. 

Following selection of applicants, but 

before awards are made, HUD staff is 

available to assist in clarifying or 

confirming information that is a 

prerequisite to the offer of an award. 

VIII. Other Information 

A. NOFA Training. Training for 

potential applicants on the requirements 

of the General Section, this NOFA, the 

Logic Model, and Grants.gov 

registration, will be provided by HUD 

via broadcast and webcast. Information 

on the training can be found in the 

General Section. The training schedule 

can be found on HUD’s Web site at 

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

fundsavail.cfm. 

B. Paperwork Reduction Act 

Statement. The information collection 

requirements in this NOFA have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2577–0191. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 43 hours per annum for the 

application and grant administration. 

This includes the time for collecting, 

reviewing, and reporting the data. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11467 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.006</GPH>
11468 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Historically Black Colleges and 

Universities (HBCU) Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Policy Development and 

Research, Office of University 

Partnerships. 

B. Funding Opportunity Title: 

Historically Black Colleges and 

Universities (HBCU) Program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Numbers: 

FR–5100-N–10; OMB Approval Number 

is 2528–0235. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: The CFDA 

Number for this program is 14.520. 

F. Dates: The application deadline 

date is May 23, 2007. Application must 

be received and validated by Grants.gov 

by 11:59:59 p.m. eastern time on the 

deadline date. Please be sure to read the 

General Section for electronic 

application submission and receipt 

requirements. 

G. Additional Overview Content 

Information: 

1. Purpose of the Program: To assist 

Historically Black Colleges and 

Universities (HBCU) to expand their 

role and effectiveness in addressing 

community development needs in their 

localities, including neighborhood 

revitalization, housing and economic 

development, principally for persons of 

low- and moderate-income consistent 

with the purposes of Title I of the 

Housing and Community Development 

Act of 1974, as amended. 

2. Award Information: In Fiscal Year 

(FY) 2007, approximately $8.9 million 

has been made available by the Revised 

Continuing Appropriations Resolution, 

2007 (Pub. L. 110–5; approved February 

15, 2007), of which up to $1 million has 

been allocated to provide technical 

assistance and an additional $22,275 in 

carryover funds. An applicant can 

request up to $600,000 for a three-year 

(36 months) grant performance period. 

In order to ensure that institutions that 

have never received a HUD HBCU 

Program grant (First Time HBCU 

applicants) receive awards in this 

competition, approximately $1.8 million 

will be made available to fund First 

Time HBCU applicants. In addition, 

approximately, $6.1 million will be 

made available to fund Previously 

Funded HBCU applicants. If funding 

designated for First Time HBCU 

applicants remains after all eligible First 

Time HBCU applicants are awarded, the 

remaining funds will be made available 

to fund eligible Previously Funded 

HBCU applicants. 

3. Eligible Applicants: Historically 

Black Colleges and Universities that 

meet the definition of Historically Black 

Colleges and Universities as determined 

by the Department of Education in 34 

CFR 608.2 in accordance with that 

Department’s responsibilities under 

Executive Order 13256, dated February 

12, 2002. Applicants must be 

institutions of higher education 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education. 

Full Text of Announcement 

I. Funding Opportunity Description 

The purpose of the Historically Black 

Colleges and Universities (HBCU) 

Program is to expand their role and 

effectiveness in addressing community 

development needs in their localities, 

including neighborhood revitalization, 

housing, and economic development, 

principally for persons of low- and 

moderate-income, consistent with the 

purpose of the Title I of Housing and 

Community Development Act of 1974, 

as amended. 

For the purposes of this program 

NOFA, the term ‘‘locality’’ includes any 

city, county, township, parish, village, 

or other general political subdivision of 

a state, or the U.S. Virgin Islands where 

the institution is located and the term 

‘‘target area’’ is the area within the 

locality in which the institution will 

implement its proposed HBCU grant. If 

an institution wants to provide services/ 

activities in a location other than the 

target area of that institution an 

applicant must provide justification for 

why they want to do so. 

A. Authority 

HUD’s authority for making funding 

available under this NOFA is the 

Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007). This 

program is being implemented through 

this NOFA and the policies governing 

its operation are contained herein. 

B. Modifications 

Listed below are major modifications 

from the Fiscal Year (FY) 2006 programfunding announcement: 

1. In FY 2007, there is only one 

category of funding. In FY 2006, there 

were two categories, one of which 

exclusively funded activities related to 

Hurricanes Katrina and Rita. No funding 

is being set aside for this purpose this 

year. 

2. Commitment letters, memoranda of 

understanding and/or agreements are 

not required to be submitted with the 

application, but the originals must be on 

file at the time of application 

submission. HUD will require 

applicants chosen to proceed to the next 

step in the selection process to submit 

the signed commitment letters, 

memoranda of understanding and/or 

agreements outlined in the application, 

within seven calendar days after initial 

contact from the Office of University 

Partnerships (OUP). OUP will provide 

specific instructions on how these 

documents must be submitted at that 

time. HUD will only request and 

consider the resources/organizations 

outlined in the application. If OUP does 

not receive those documents with the 

required information and within the 

allotted timeframe, an applicant will not 

receive points under this factor. 

3. The appendix section of an 

application must not exceed 15 pages in 

length (excluding forms, budget 

narrative and assurances). An applicant 

SHOULD NOT submit resumes, 

commitment letters, memoranda of 

understanding and/or agreements, or 

other back-up material. Each page must 

include the institution’s name and 

should be numbered. HUD will not 

consider the information on any excess 

pages. 

4. Applicants must budget for travel 

costs to attend at least one HUD 

sponsored HBCU conference/workshop 

every year of the three-year grant 

performance period. 

II. Award Information 

In Fiscal Year (FY) 2007, 

approximately $8.9 million is made 

available for this program, of which up 

to $1 million has been allocated to 

provide technical assistance and an 

additional $22,275 in carryover funds. 

An applicant can request up to $600,000 

for a three-year (36 months) grant 

performance period. 

In order to ensure that institutions 

that have never received a HUD HBCU 

Program grant (First Time HBCU 

applicants) receive awards in this 

competition, approximately $1.8 million 

will be made available to fund First 

Time HBCU applicants. In addition, 

approximately $6.1 million will be 

made available to fund Previously 

Funded HBCU applicants. If funding 

designated for First Time HBCU 

applicants remains after all eligible First 

Time HBCU applicants are awarded, the 

remaining funds will be made available 

to fund eligible Previously Funded 

HBCU applicants. 

III. Eligibility Information 

A. Eligible Applicants 

Historically Black Colleges and 

Universities as determined by the U.S. 

Department of Education in 34 CFR 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11469 

608.2 in accordance with that 

Department’s responsibilities under 

Executive Order 13256, dated February 

12, 2002. All applicants must be 

institutions of higher education 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education. 

B. Cost Sharing or Matching 

None Required. 

C. Other 

1. Eligible Activities. Eligible 

activities are listed in 24 CFR part 570, 

subpart C, particularly §§ 570.201 

through 570.206. Information regarding 

these activities can be found at: 

www.hudclips.org (click on the Code of 

Federal Regulations for detailed 

information). The 15 percent cap on the 

total grant amount that can be used on 

public service activities that benefit 

low- and moderate-income persons can 

be waived. Institutions seeking to 

devote more than 15 percent of the grant 

funds to public service activities must 

include a written request in their 

application addressed to Darlene F. 

Williams, Assistant Secretary for Policy 

Development and Research. The written 

request must include the following 

information: 1) the basis for the request; 

2) a description of the proposed public 

service activities; 3) the dollar amount 

dedicated to the proposed public service 

activities; and 4) a statement describing 

how the proposed activities meet the 

Community Development Block Grant 

eligibility requirements and at least one 

national objective. This letter must be 

included in the application. If an 

applicant devotes more than 15 percent 

of their grant funds to public service 

activities and the letter is not included 

and/or does not include the information 

requested above those activities may not 

be considered fundable and this 

exclusion may result in a lower score. 

a. Examples of eligible activities 

include, but are not limited to: 

(1) Acquisition of real property; 

(2) Clearance and demolition; 

(3) Rehabilitation of residential 

structures including lead-based paint 

hazard evaluation and reduction and 

making accessibility and visitabilty 

modifications in accordance with the 

requirements of Section 504 of the 

Rehabilitation Act of 1973; 

(4) Public facilities and 

improvements, such as water and sewer 

facilities and streets compliance with 

accessibility requirements including 

Section 504 of the Rehabilitation Act of 

1973, the Fair Housing Act, and the 

American with Disabilities Act of 1990; 

(5) Special economic development 

activities described at 24 CFR 570.203 

and assistance to facilitate economic 

development by providing technical or 

financial assistance for the 

establishment, stabilization, and 

expansion of microenterprises, 

including minority enterprises; 

(6) Assistance to community-based 

development organizations (CBDO) to 

carry out a CDBG neighborhood 

revitalization, community economic 

development, or energy conservation 

projects, in accordance with 24 CFR 

570.204. This could include activities in 

support of a HUD-approved local 

entitlement grantee, CDBG 

Neighborhood Revitalization Strategy 

(NRS) or HUD-approved State CDBG 

Community Revitalization Strategy 

(CRS); 

(7) Public service activities such as 

those general support activities that can 

help to stabilize a neighborhood and 

contribute to sustainable redevelopment 

of the area, including but not limited to 

such activities as those concerned with 

employment, crime prevention, child 

care, health care services, drug abuse, 

education, fair housing counseling, 

energy conservation, homebuyer down 

payment assistance, establishment of 

Neighborhood Network centers in 

federally assisted or insured housing, 

job training and placement, and 

recreational needs; 

(8) Payments of reasonable grant 

administrative costs related to planning 

and execution of the project (e.g., 

preparation/submission of HUD 

reports). Detailed explanations of these 

costs are provided in the OMB circular 

(A–21 Cost Principals for Educational 

Institutions) that can be accessed at the 

White House Web site, 

www.whitehouse.gov/omb/circulars/ 

index.html; and 

(9) Fair housing services designed to 

further the civil rights objectives of the 

Fair Housing Act (42 U.S.C. 3601–20) by 

making all persons, without regard to 

race, color, religion, sex, national origin, 

familial status and/or disability aware of 

the range of housing opportunities 

available to them. 

b. Eligible activities funded under this 

program meet both the Community 

Development Block Grant (CDBG) 

Program eligibility requirements and at 

least one of the national objectives. 

c. The three national objectives of the 

Community Development Block Grant 

program are listed in Rating Factor 3 in 

Section V.A.3 of this NOFA. 

Criteria for determining whether an 

activity addresses one or more national 

objective are provided at 24 CFR 

570.208. The CDBG publication entitled 

‘‘Community Development Block Grant 

Program Guide to National Objectives 

and Eligible Activities for Entitlement 

Communities’’ describes the CDBG 

regulations, and a copy can be obtained 

from HUD’s NOFA Information Center 

at 800–HUD–8929. Individuals with 

hearing or speech impairments may 

access this number via the toll-free 

Federal Information Relay Service at 

800–877–8339. 

2. Threshold Requirements 

Applicable to all Applicants. All 

applicants must comply with the 

threshold requirements as defined in the 

General Section and the requirements 

listed below. Applications that do not 

meet these requirements will be 

considered ineligible for funding and 

will be disqualified. 

a. The applicant must meet the 

eligibility requirements as defined in 

Section III.A. 

b. The maximum amount an applicant 

can request is $600,000 for a three-year 

(36 months) grant performance period. 

c. An applicant must have a DUNS 

number to receive HUD grant funds. 

(See the General Section). Only one 

application can be submitted per 

institution. If multiple applications are 

submitted all will be disqualified. 

However, different campuses of the 

same university system are eligible to 

apply as long as they have separate 

DUNS number, an administrative and 

budgeting structure independent of the 

other campuses in the system. 

d. Applicants must receive a 

minimum score of 75 points to be 

considered for funding. 

e. Electronic applications must be 

received and validated by grants.gov no 

later than 11:59:59 p.m. eastern time on 

the application deadline date. 

3. Program Requirements. In addition 

to the threshold requirements listed in 

Section III C. of the General Section, 

applicants must meet the following 

program requirements: 

a. All funds awarded are for a threeyear (36 months) grant performance 

period. 

b. Applicants must ensure that not 

less than 51 percent of the aggregated 

expenditures of the grant benefit lowand moderate-income persons under the 

criteria specified in 24 CFR 570.208(a) 

or 570.208(d)(5) or (6). 

c. Site Control. Where grant funds 

will be used for acquisition, 

rehabilitation, or new construction an 

applicant must demonstrate site control. 

Funds may be recaptured or deobligated 

from recipients that cannot demonstrate 

control of a suitable site within one year 

after the initial notification of award. 

d. Environmental Requirements. 

Selection for award does not constitute 

approval of any proposed sites. 

Following selection for award, HUD will 

perform an environmental review of 


rwilkins on PROD1PC63 with NOTICES_2
11470 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

properties proposed for assistance in 

accordance with 24 CFR part 50. The 

results of the environmental review may 

require that proposed activities be 

modified or proposed sites be rejected. 

Applicants are particularly cautioned 

not to undertake or commit funds for 

acquisition or development of proposed 

properties prior to HUD approval of 

specific properties or areas. An 

application constitutes an assurance 

that the institution will assist HUD to 

comply with part 50; will supply HUD 

with all available and relevant 

information to perform an 

environmental review for each proposed 

property; will carry out mitigating 

measures required by HUD or select 

alternate property; and will not acquire, 

rehabilitate, convert, demolish, lease, 

repair, or construct property, and not 

commit or expend HUD or local funds 

for these program activities with respect 

to any eligible property until HUD’s 

written approval of the property is 

received. In supplying HUD with 

environmental information, applicants 

should use the same guidance as 

provided in the HUD Notice CPD–05–07 

entitled, ‘‘Field Environmental Review 

Processing for Rural Housing and 

Economic Development (RHED) Grants’’

issued August 30, 2005. Further 

information and assistance on HUD’s 

environmental requirements is available 

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

intercept.cfm?/offices/cpd/lawsregs/ 

notices/2005/05–07.pdf. 

e. Labor Standards. Institutions and 

their sub-grantees, contractors and 

subcontractors must comply with the 

labor standards (Davis-Bacon) 

requirements referenced in 24 CFR 

570.603. 

f. Economic Opportunities for Lowand Very-Low Income Persons (Section 

3). The provisions of Section 3 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701u) apply to this 

NOFA. One of the purposes of the 

assistance is to give, to the greatest 

extent feasible, and consistent with 

existing federal, state, and local laws 

and regulations, job training, 

employment, contracting and other 

economic opportunities to Section 3 

residents and Section 3 business 

concerns. Regulations are located at 24 

CFR part 135. 

IV. Application and Submission 

Information 

A. Addresses To Request Application 

Package 

Applicants may download the 

instructions to the application found on 

the Grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information you 

may call the Grants.gov Support Desk 

toll free 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

Hearing- and speech-challenged 

individuals may access this number 

through TTY by calling the toll-free 

Federal Information Relay Service at 

800–877–8339. See the General Section 

for information regarding the 

registration process or ask for 

registration information from the 

Grants.gov Support Desk. 

B. Content and Form of Application 

Submission 

1. Forms. The following forms are 

required for submission. Copies of these 

forms are available on line at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

a. SF–424, Application for Federal 

Assistance; 

b. SF–424 Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

c. HUD–424-CB, ‘‘Grant Application 

Detailed Budget’’ (‘‘HUD Detailed 

Budget Form’’ on Grants.gov); 

d. SF–LLL, Disclosure of Lobbying 

Activities, if applicable; 

e. HUD–27300, Questionnaire for 

HUD’s Removal of Regulatory Barriers 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable; 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

g. HUD–96010, Program Logic Model; 

h. HUD–2990, Certification of 

Consistency with RC/EZ/EC–II Strategic 

Plan, if applicable; 

i. HUD–2991, Certification of 

Consistency with the Consolidated Plan, 

if applicable; 

j. HUD–40076, Response Sheet 

Performance Narrative, Previously 

Funded HBCU Applicant Only. 

k. HUD–40076, Budget-By-Activity; 

l. HUD–2993, Acknowledgement of 

Applicant Receipt. Complete this form if 

you have received a waiver to the 

electronic application submission 

requirement. Applicants are not 

required to include this form; 

m. HUD–2994–A, You Are Our Client 

Grant Applicant Survey. Applicants are 

not required to complete this form; and 

n. HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). This form must be used as 

the cover page to transmit third party 

documents and other information. 

Applicants are advised to download the 

application package, complete the SF–

424 first and it will pre-populate the 

Transmittal Cover page. The Transmittal 

Cover page will contain a unique 

identifier embedded in the page that 

will help HUD associate your faxed 

materials to your application. Please do 

not use your own fax sheet. HUD will 

not read any faxes that are sent without 

the HUD–96011 fax transmittal cover 

page. 

2. Certifications and Assurances. 

Please read the General Section for 

detailed information on all 

Certifications and Assurances. All 

applications submitted through 

Grants.gov constitute an 

acknowledgement and agreement to all 

required certifications and assurances. 

Please include in your application each 

item listed below. Applicants 

submitting paper copy applications 

should submit the application in the 

following order: 

a. SF–424, Application for Federal 

Assistance. Please remember the 

following: 

(1) The full grant amount requested 

from HUD (entire three-years) should be 

entered, not the amount for just one 

year; 

(2) Include the name, title, address, 

telephone number, facsimile number, 

and e-mail address of the designated 

contact. This is the person who will 

receive all correspondence, therefore, 

please ensure the accuracy of the 

information; 

(3) The Employer Identification/Tax 

ID number; 

(4) The DUNS Number; 

(5) The Catalog of Federal Domestic 

Assistance Number for this program is 

14.520; 

(6) The project’s proposed start date 

and completion date. For the purpose of 

this application, the program start date 

should be December 1, 2007; and 

(7) The signature of the Authorized 

Organization Representative (AOR) who 

by virtue of submitting an application 

via Grants.gov has been authenticated 

by the credential provider to submit 

applications on behalf of the Institution 

and approved by the eBusiness Point of 

Contact to submit an application via 

Grants.gov. The AOR must be able to 

make a legally binding agreement with 

HUD. 

b. Application Checklist. Applicants 

should use the checklist to ensure that 

they have all the required components 

of their application. Applicants that 

receive a waiver of the electronic 

application submission requirement 

must include a copy of the checklist in 

their application submission. 

Applicants submitting an electronic 

application should not submit the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11471 

checklist. The checklist can be located 

in Appendix A. 

c. Abstract. Applicants must include 

no more than a two-page summary of 

the proposed project. Please include the 

following: 

(1) A brief description of each 

proposed project activity, where it will 

take place (be located), the target 

population that will be assisted, and the 

impact this project is expected to have 

on the community and institution; 

(2) A statement that the institution is 

an eligible institution because it is a 

fully accredited institution, the name of 

the accrediting agency and an assurance 

that the accrediting agency is recognized 

by the U.S. Department of Education; 

(3) The designated contact person, 

including phone number, facsimile 

number, and e-mail address (This is the 

person who will receive all 

correspondence; therefore, please 

ensure the accuracy of the information); 

(4) The project director, if different 

from the designated contact person, for 

the project, including phone number, 

facsimile number, and e-mail address. 

d. Narrative statement addressing the 

Factors. HUD will use the narrative 

response to the ‘‘Rating Factors’’ to 

evaluate, rate, and rank applications. 

The narrative statement is the main 

source of information. Applicants are 

advised to review each factor carefully 

for program specific requirements. The 

response to each factor should be 

concise and contain only information 

relevant to the factor, yet detailed 

enough to address each factor fully. 

PLEASE DO NOT REPEAT MATERIAL 

IN RESPONSE TO THE FIVE FACTORS; 

INSTEAD, FOCUS ON HOW WELL THE 

PROPOSAL RESPONDS TO EACH OF 

THE FACTORS. Where there are 

subfactors each subfactor must be 

presented separately, with the short title 

of the subfactor presented. Make sure to 

address each subfactor and provide 

sufficient information about every 

element of the subfactor. The narrative 

section of an application must not 

exceed 50 pages in length (excluding 

forms, budget narrative, assurances, and 

abstract) and must be submitted on 81⁄2

by 11-inch paper, double-spaced on one 

side of the paper, with one inch margins 

(from the top, bottom, and left to right 

side of the document) and printed in 

standard Times New Roman 12-point 

font. Each page of the narrative must 

include the institution’s name and 

should be numbered. Note that although 

submitting pages in excess of the page 

limit will not disqualify an applicant, 

HUD will not consider the information 

on any excess pages. This exclusion 

may result in a lower score or failure to 

meet a threshold requirement. All 

applicants submitting electronic 

applications must attach their narrative 

responses to Rating Factors 1–5 as one 

attachment. PLEASE DO NOT ATTACH 

YOUR RESPONSE TO EACH FACTOR 

SEPARATELY. Please follow the 

instructions on file extension and file 

names in the General Section. 

e. Budget. The budget submission 

must include the following: 

(1) HUD–424–CB, ‘‘Grant Application 

Detailed Budget.’’ This form shows the 

total budget by year and by line item for 

the program activities to be carried out 

with the proposed HUD grant. Each year 

of the program should be presented 

separately. Applicants must also budget 

for travel costs (airfare, lodging and per 

diem) for two individuals to attend at 

least one HUD sponsored HBCU 

conference/workshop every year of the 

three-year grant performance period. To 

calculate travel expenses, applicants 

located in Eastern and Central time 

zones or the U.S. Virgin Islands should 

use San Francisco, CA as the site of all 

conferences/meetings. Applicants 

located in Mountain and Pacific time 

zones should use Washington, DC as the 

site of all conferences/workshops. 

Applicants must also submit this form 

to reflect the total cost (summary) for 

the entire grant performance period 

(Grand Total). 

(2) HUD–40076–HBCU, ‘‘Response 

Sheet, Budget-By-Activity’’ The form 

should include a listing of each activity 

and task necessary to be performed to 

implement the program, the overall 

costs for each activity, and the cost from 

each funding source. The budget-byactivity should clearly indicate the HUD 

grant amount and identify the source 

and dollar amount of the leveraged 

resources, if any. 

Make sure that the amounts shown on 

the SF–424, HUD–424–CB, HUD– 

40076–HBCU and all other required 

program forms are consistent and the 

budget totals are correct. Remember to 

check addition in totaling the categories 

on all forms so that all items are 

included in the total. If there is an 

inconsistency between any of the 

required budget forms, the HUD–424– 

CB will be used. All budget forms must 

be completed fully. If an application is 

selected for award, the applicant may be 

required to provide greater specificity to 

the budget during grant agreement 

negotiations. 

(3) Budget Narrative. A narrative must 

be submitted that explains how the 

applicant arrived at the cost estimates 

for any line item over $5,000 

cumulative. For example, an applicant 

proposes to construct a building using 

HUD funding totaling $200,000. The 

following costs estimate reflects this 

total. Foundation cost $75,000, 

electrical work $40,000, plumbing work 

$40,000, finishing work $35,000, and 

landscaping $10,000. The proposed cost 

estimates should be reasonable for the 

work to be performed and consistent 

with rates established for the level of 

expertise required to perform the work 

proposed in the geographical area. 

When necessary, quotes from various 

vendors or historical data should be 

used (please make sure they are kept on 

file and are available for review by HUD 

at any time). When an applicant 

proposes to use a consultant, the 

applicant must indicate whether there is 

a formal written agreement. For each 

consultant, please provide the name, if 

known, hourly or daily rate, and the 

estimated time on the project. 

Applicants must use a cost estimate 

based on historical data from the 

institution, and/or from a qualified firm 

(e.g., Architectural or Engineering firm), 

vendor, and/or qualified individual 

(e.g., independent architect or 

contractor) other than the institution for 

projects that involve rehabilitation of 

residential, commercial and/or 

industrial structures, and/or acquisition, 

construction, or installation of public 

facilities and improvements. Such an 

entity must be involved in the business 

of housing rehabilitation, construction 

and/or management. Equipment and 

contracts cannot be presented as a total 

estimated costs. For equipment, 

applicants must provide a list by type 

and cost for each item. Applicants using 

contracts must provide an individual 

description and cost estimate for each 

contract. Construction costs must be 

broken down to indicate how funds will 

be utilized (e.g., demolition, foundation, 

exterior walls, roofing, electrical work, 

plumbing, finishing work, etc.). 

(4) Indirect costs. Indirect costs, if 

applicable, are allowable based on an 

established approved indirect cost rate. 

Applicants must have on file and 

submit to HUD, if selected for funding, 

a copy of their indirect cost rate 

agreement. Applicants who are selected 

for funding that do not have an 

approved indirect cost rate agreement, 

established by the cognizant federal 

agency, will be required to establish a 

rate. In such cases, HUD will issue an 

award with a provisional rate and assist 

applicants in having a rate established. 

f. Appendix. Applicants receiving a 

waiver of the electronic submission 

requirements and submitting a paper 

copy of the application must place all 

required forms in this section. The 

appendix section of an application must 

not exceed 15 pages in length 

(excluding forms, budget narrative and 

assurances). An applicant SHOULD 


rwilkins on PROD1PC63 with NOTICES_2
11472 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

NOT submit resumes, commitment 

letters, memoranda of understanding 

and/or agreements, or other back-up 

materials. If this information is 

included, it will not be considered 

during the review process. Each page 

must include the applicant’s name and 

should be numbered. HUD will not 

consider the information on any excess 

pages. The additional items will also 

slow the transmission of your 

application. 

C. Submission Dates and Times 

A complete application package must 

be received and validated electronically 

by the Grants.gov portal no later than 

11:59:59 p.m. eastern time on or before 

the applications deadline date. In an 

effort to address any issues with 

transmission of your application, 

applicants are strongly encouraged to 

submit their applications at least 48 to 

72 hours prior to the application 

deadline. This will allow an applicant 

enough time to make the necessary 

adjustments to meet the submission 

deadline in the event Grants.gov rejects 

the application. Please see the General 

Section for further instructions. 

Electronic faxes using the Facsimile 

Transmittal Cover Sheet (Form HUD–

96011) contained in the electronic 

application must be received no later 

than 11:59:59 p.m. eastern time on the 

application submission deadline date. 

D. Intergovernmental Review 

This program is excluded from an 

Intergovernmental Review. 

E. Funding Restrictions 

Ineligible CDBG Activities are listed 

at 24 CFR 570.207. Ineligible activities 

include but are not limited to: 

1. Curriculum development and/or 

expansion of an institution’s existing 

curriculum; 

2. General government expenses; and 

3. Political activities. 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedure. Please read the 

General Section carefully and 

completely for the submission and 

receipt procedures for all applications 

because failure to comply may 

disqualify your application. 

2. Waiver of Electronic Submission 

Requirements. Applicants should 

submit their waiver requests in writing 

using e-mail or fax. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be submitted to: Susan 

Brunson, Office of University 

Partnerships, E-mail: 

Susan_S._Brunson@hud.gov, FAX: (202) 

708–0309. Paper applications will not 

be accepted from applicants that have 

not been granted a waiver. If an 

applicant is granted a waiver, the Office 

of University Partnerships will provide 

instructions for submission. All 

applicants submitting applications in 

paper format must have received a 

waiver to the electronic application 

submission requirement and the 

application must be received by HUD on 

or before the application deadline date. 

V. Application Review Information 

A. Criteria 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Experience (25 

Points). This factor addresses the extent 

to which the institution has the 

resources necessary to successfully 

implement the proposed activities in a 

timely manner. 

a. Knowledge and Experience For 

First Time Applicants (25 Points) For 

Previously Funded Applicants (10 

Points). In rating this subfactor, HUD 

will consider the extent to which the 

applicant clearly addresses the 

following: 

(1) Describe the knowledge and 

experience of the proposed project 

director and staff, including the day-today program manager, consultants 

(including technical assistance 

providers), and contractors in planning 

and managing the type of project for 

which funding is being requested; and 

(2) Clearly identify the following: key 

project team members, titles (e.g., 

project manager/coordinator, etc.), 

respective roles for the project staff, and 

a brief description of their relevant 

experience. 

If key personnel have not been hired, 

applicants must identify the position 

title, provide a description of duties and 

responsibilities, and describe the 

qualifications to be considered in the 

selection of personnel, including 

subcontractors and consultants. 

Experience will be judged in terms of 

recent and relevant knowledge and 

skills of the staff to undertake the 

proposed eligible program activities. 

HUD will consider experience within 

the last five (5) years to be recent and 

experience pertaining to similar 

activities to be relevant. 

b. Past Performance (15 points) for 

Previously Funded Grant Applicants 

Only. This subfactor will evaluate how 

well an applicant has performed 

successfully under HUD/HBCU grants. 

Applicants must demonstrate this by 

addressing the following information on 

the HUD–40076–HBCU ‘‘Response 

Sheet’’ (Performance Narrative) for all 

previously completed and open HUD/ 

HBCU grants: 

(1) A list of all HUD/HBCU grants 

received, including the dollar amount 

awarded and the amount expended as of 

the date of this application. The HUD–

40076–HBCU ‘‘Response Sheet’’

(Performance Narrative) form is located 

at the following Web site: http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. The form should 

be filled out completely; 

(2) A description of the achievement 

of specific tasks, measurable objectives, 

and specific outcomes consistent with 

the approved timeline/work plan; 

(3) A comparison of the amount of 

proposed leveraged funds and/or 

resources to the amount that was 

actually leveraged; 

(4) A detailed description of 

compliance with all reporting 

requirements, including timeliness of 

submission, whether reports were 

complete and addressed all information 

(both narrative and financial) as 

required by the grant agreement; and 

(5) A list detailing the date the 

project(s) was completed, was it 

completed in the original three-year 

grant performance period; if not 

completed why (including when it was 

or will be completed); 

HUD will also review an applicant’s 

past performance in managing funds, 

including, but not limited to: the ability 

to account for funding appropriately; 

timely use of funds received from HUD; 

meeting performance targets for 

completion of activities; timely 

submission of required progress reports 

and receipt of promised leveraged 

resources. In evaluating past 

performance, HUD reserves the right to 

deduct up to five (5) points from this 

rating score as a result of the 

information obtained from HUD’s 

records (i.e., progress and financial 

reports, monitoring reports, Logic Model 

submissions, and amendments). 

2. Rating Factor 2: Need/Extent of the 

Problem (15 Points). This factor 

addresses the extent to which there is a 

need for funding the proposed program 

activities and an indication of the 

importance of meeting the need(s). In 

addressing this factor, applicants should 

provide, at a minimum, the following 

and must cite statistics and/or analyses 

contained in one or more current data 

sources that are sound and reliable. 

(1) Describe the need(s); and 

(2) Describe the importance of 

meeting the proposed needs. 

In rating this factor, HUD will 

consider only current data that is 

specific to the area where the proposed 

project activities will be carried out. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11473 

Sources for localized data can be found 

at: www.ffiec.gov. 

HUD will also consider data collected 

within the last five (5) years to be 

current. To the extent that the targeted 

community’s Five Year Consolidated 

Plan and Analysis of Impediments to 

Fair Housing Choice (AI) identify the 

level of the problem and the urgency in 

meeting the need, applicants should 

include references to these documents 

in response to this factor. 

Other reliable data sources include, 

but are not limited to, Census reports, 

HUD Continuum of Care gap analysis 

and its E–MAP (to find additional 

information go to HUD’s Web site: 

http://www.hud.gov/emaps), law 

enforcement agency crime reports, 

Public Housing Agencies’

Comprehensive Plans, community 

needs analyses such as provided by the 

United Way, the applicant’s institution, 

and other sound, reliable and 

appropriate sources. Needs in terms of 

fulfilling court orders or consent 

decrees, settlements, conciliation 

agreements, and voluntary compliance 

agreements may also be addressed. 

3. Rating Factor 3: Soundness of 

Approach (40 Points). This factor 

addresses the quality and effectiveness 

of the proposed work plan and the 

commitment of the institution to sustain 

the proposed project activities. 

a. (33 Points) Quality of the Work 

Plan. This subfactor will be evaluated 

on the extent to which an applicant 

provides a clear detailed description of 

the proposed project activities, 

anticipated accomplishments, and the 

impact they will have on the target 

population at the end of the project. 

(1) (25 Points) Specific activities. The 

work plan must describe all proposed 

project activities and major tasks 

required to successfully implement 

them. The work plan must also identify 

the anticipated accomplishments and 

impact these activities will have on the 

targeted population. In addressing this 

subfactor, applicants must provide a 

clear description of each proposed 

project activity and address the 

following: 

(a) Describe each proposed project 

activity in measurable terms (e.g., the 

number of persons to be trained and 

employed; houses to be rehabilitated; or 

minority-owned businesses to be 

started, etc.); 

(b) List and describe how each 

activity meets one of the following 

Community Development Block Grant 

(CDBG) Program national objectives: 

• Benefit low- and moderate-income 

persons; 

• Aid in the prevention or 

elimination of slums or blight; or 

• Meet other community 

development needs having a particular 

urgency because existing conditions 

pose a serious and immediate threat to 

the health and welfare of the 

community, and other financial 

resources are not available to meet such 

needs. 

Criteria for determining whether an 

activity addresses one or more 

objectives are provided at 24 CFR 

570.208; 

(c) Describe the measurable impact 

that implementing each activity (by the 

end of the grant period) will have on the 

target population; 

(d) Identify the major tasks required 

(in sequential order) to successfully 

implement and complete each proposed 

project activity. Include target 

completion dates for each task (in 6 

month intervals, up to thirty-six (36) 

months); and 

(e) Identify the key staff, as described 

in Factor 1, who will be responsible and 

accountable for completing each task. 

(2) (8 Points) Describe clearly how 

each proposed activity will: 

(a) Expand the role of the institution 

in the community; 

(b) Address the needs identified in 

Factor 2; 

(c) Relate to and not duplicate other 

activities in the target area. Duplicative 

efforts will be acceptable only if an 

applicant can demonstrate through 

documentation that there is a 

population in need that is not being 

served; and 

(d) Involve citizens of the target area 

in the planning and implementation of 

the proposed project activity (e.g., 

development of an advisory committee 

that is representative of the target 

community). 

b. (3 Points) Involvement of the 

Faculty and Students. The applicant 

must describe how it proposes to 

integrate the institution’s students and 

faculty into proposed project activities. 

c. (2 Points) HUD Policy Priorities. As 

described in the General Section, to earn 

points under this subfactor, HUD 

requires applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

that help the Department achieve its 

goals and objectives in FY2008, when 

the majority of grant recipients will be 

reporting programmatic results and 

achievements. In addressing this 

subfactor, HUD will evaluate the extent 

to which a program will further and 

support HUD’s priorities. The quality of 

the responses provided to one or more 

of HUD’s priorities will determine the 

score an applicant can receive. 

Applicants must describe how each 

policy priority selected will be 

addressed. Applicants that just list a 

priority will receive no points. Please 

refer to the General Section for 

additional information about HUD’s 

policy priorities. 

The total number of points an 

applicant can receive under this 

subfactor is two (2). Each policy priority 

addressed has a point value of one (1) 

point with the exception of the policy 

priority to remove regulatory barriers to 

affordable housing, which has a point 

value of up to two (2) points. To receive 

these two (2) points, an applicant must: 

(1) Complete either Part A or Part B (not 

both), (2) include appropriate 

documentation, (3) identify a point of 

contact, (4) indicate how this priority 

will be addressed and (5) submit the 

completed questionnaire, (HUD–27300) 

‘‘HUD’s Initiative on Removal of 

Regulatory Barriers’’ found in the 

General Section. It is up to the applicant 

to determine which of the policy 

priorities they elect to address to receive 

the available two (2) points. 

d. (2 Points) Economic Opportunities 

for Low- and Very-Low Income Persons 

(Provision of Section 3). This subfactor 

will be evaluated on the extent to which 

an applicant describes how it proposes 

to: 

(1) Provide opportunities to train and 

employ Section 3 residents; and/or 

(2) Award contracts to Section 3 

contractors (see the regulations at 24 

CFR 135). Regulations regarding the 

provision of Section 3 of the Housing 

and Urban Development Act of 1968 (12 

U.S.C. 1701u) can be located at 24 CFR 

Part 135. 

4. Rating Factor 4: Leveraging 

Resources (8 Points). This factor 

addresses the ability of the applicant to 

secure resources and develop 

partnerships that can be combined with 

HUD’s grant funds to achieve the 

program’s purpose. 

In evaluating this factor, HUD will 

consider how well the applicant has 

established partnerships with other 

entities to secure additional resources to 

increase the effectiveness of the 

proposed project activities. Resources 

may include funding or in-kind 

contributions, such as services or 

equipment, allocated for the purpose(s) 

of the proposed project activities. 

Resources may be provided by 

governmental entities, public or private 

nonprofit organizations, for-profit 

private organizations, or other entities. 

Applicants may also establish 

partnerships with other program 

funding recipients to coordinate the use 

of resources in the target area. Overhead 

and other institutional costs (e.g., 

salaries, indirect costs, etc.) that the 

institution has waived may be counted. 


rwilkins on PROD1PC63 with NOTICES_2
11474 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Examples of potential sources for 

outside assistance include: 

• Federal, state, and local 

governments; 

• Local or national nonprofit 

organizations; 

• Financial institutions and/or 

private businesses; 

• Foundations; 

• Faith-based and other communitybased organizations. 

To address this factor, an applicant 

must provide an outline in the 

application and have the original 

written commitment letters, memoranda 

of understanding and/or agreements that 

show the extent and firm commitment 

of all proposed leveraged resources 

(including any commitment of resources 

from the applicant’s own institution) 

that address the following information 

for each leveraged resource/fund on file 

at the time of application submission: 

(1) The name of the organization and 

the executive officer authorizing the 

funds/goods and/or services (only 

applicable to the narrative section) 

(2) The cash amount contributed or 

dollar value of the in-kind goods and/ 

or services committed (if a dollar 

amount and its use is not shown, the 

value of the contribution will not be 

scored for award); 

(3) A specific description of how each 

contribution is to be used toward the 

proposed activities; 

(4) The date the contribution will be 

made available and a statement that 

describes the duration of the 

contribution; 

(5) Any terms or conditions affecting 

the commitment, other than receipt of a 

HUD Grant; and 

(6) The signature of the appropriate 

executive officer authorized to commit 

the funds and/or goods and/or services 

(only applicable to the written 

documentation). 

DO NOT submit commitment letters, 

memoranda of understanding and/or 

agreements at the time of application 

submission but have the originals on file 

at the time of submission. IF THIS 

INFORMATION IS INCLUDED, IT WILL 

NOT BE CONSIDERED DURING THE 

REVIEW PROCESS. Applicants chosen 

to proceed to the next step in the 

selection process will be required to 

submit the signed commitment letters, 

memoranda of understanding and/or 

agreements outlined in the application, 

within seven (7) calendar days after 

initial contact from the Office of 

University Partnerships (OUP). Letters, 

memoranda of understanding, or 

agreements must be submitted on the 

provider’s letterhead and should be 

addressed to Sherone Ivey, Associate 

Deputy Assistant Secretary for 

University Partnerships. The date of the 

letter, memorandum of understanding, 

or agreement from the CEO of the 

provider organization must be dated no 

earlier than nine months prior to this 

published NOFA. OUP will provide 

specific instructions on how these 

documents must be submitted when 

contact is made with the applicant. 

HUD will only request and consider the 

resources/organizations that are listed in 

the outline submitted in the application. 

If OUP does not receive those 

documents with the required 

information and within the allotted 

timeframe, an applicant will not receive 

points under this factor. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (12 Points). 

This factor reflects HUD’s goal to 

embrace high standards of management 

and accountability. It measures the 

applicant’s commitment to assess their 

performance to achieve the program’s 

proposed objectives and goals. 

Applicants are required to develop an 

effective, quantifiable, outcome oriented 

evaluation plan for measuring 

performance and determining that 

objectives and goals have been achieved 

by using the Logic Model. The Logic 

Model is a summary of the narrative 

statements presented in Factors 1–4. 

Therefore, it should be consistent with 

the information contained in the 

narrative statements. 

‘‘Outcomes’’ are benefits accruing to 

the community during or after 

participation in the HBCU program. 

Applicants must clearly identify the 

outcomes to be measured and achieved. 

Examples of outcomes include 

increased employment opportunities in 

the target community by a certain 

percentage, increased incomes/wages or 

other assets for persons trained, or 

enhanced family stability through the 

creation of affordable housing 

opportunities (e.g., increased assets to 

families and communities through the 

development of affordable housing). 

In addition, applicants must establish 

interim benchmarks and outputs that 

lead to the ultimate achievement of 

outcomes. ‘‘Outputs’’ are the direct 

products of the program’s activities. 

Examples of outputs are the number of 

new affordable housing units, the 

number of homes that have been 

renovated, and the number of facilities 

that have been constructed or 

rehabilitated. Outputs should produce 

outcomes for the program. At a 

minimum, an applicant must address 

the following activities in the evaluation 

plan: 

a. Measurable outputs to be 

accomplished (e.g., the number of 

persons to be trained and employed; 

houses to be built pursuant to 24 CFR 

570.207 or rehabilitated; minorityowned businesses to be started); 

b. Measurable outcomes the grant will 

have on the community in general and 

the target area or population; and 

c. The impact the grant will have on 

assisting the university to obtain 

additional resources to continue this 

type of work at the end of the grant 

performance period. 

The information must be placed on a 

HUD–96010, Program Outcome Logic 

Model form. HUD has developed a new 

approach to completing this form. 

Please carefully read the General 

Section for instructions; training is 

available. If an applicant utilizes 

‘‘other’’ from the Logic Model 

categories, then the applicant should 

describe briefly this ‘‘other’’ category 

within the Rating Factor 5 narrative. If 

a narrative is provided, those pages will 

be included in the page count. (Form 

HUD–96010 will be excluded from the 

page count.) 

B. Review and Selection Process 

1. Application Selection Process 

Two types of reviews will be 

conducted: 

a. A threshold review to determine an 

applicant’s basic eligibility; and 

b. A technical review for all 

applications that pass the threshold 

review to rate and rank the application 

based on the ‘‘Rating Factors’’ listed in 

Section V.A. Only those applications 

that pass the threshold review will 

receive a technical review. 

2. Rating Panels. To review and rate 

applications HUD may establish panels, 

which may include experts or 

consultants not currently employed by 

HUD to obtain certain expertise. 

3. Ranking. HUD will fund 

applications in rank order, until all 

available program funds are awarded. In 

order to be considered for funding, an 

applicant must receive a minimum 

score of 75 points out of a possible 100 

points for Factors 1 through 5; plus up 

to two bonus points that may be 

awarded for activities conducted in the 

RC/EZ/EC–II communities, as described 

in the General Section. If two or more 

applications have the same number of 

points, the application with the most 

points for Factor 3 shall be selected. If 

there is still a tie, the application with 

the most points for Factor 1 shall be 

selected. If there is still a tie, the 

application with the most points for 

Factors 2, 4 and then 5 shall be selected 

in that order until the tie is broken. 

HUD reserves the right to make 

selections out of rank order to provide 

for geographic distribution of grantees. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11475 

HUD also reserves the right to reduce 

the amount of funding requested in 

order to fund as many highly ranked 

applications as possible. Additionally, if 

funds remain after funding the highest 

ranked applications, HUD may fund 

part of the next highest-ranking 

application. If an applicant turns down 

an award offer, HUD will make an 

award to the next highest-ranking 

application. If funds remain after all 

selections have been made, the 

remaining funds will be carried over to 

the next funding cycle’s competition. 

4. Correction to Deficient 

Applications. See the General Section. 

C. Anticipated Announcement and 

Award Dates 

Announcements of awards are 

anticipated on or before September 30, 

2007. 

VI. Award Administration Information 

A. Award Notice 

After all selections have been made, 

HUD will notify all winning 

applications in writing. HUD may 

require winning applicants to 

participate in additional negotiations 

before receiving an official award. For 

further discussion on this matter, please 

refer to the General Section. 

B. Administrative and National Policy 

Requirements 

Refer to the General Section. 

1. Debriefing. The General Section 

provides the procedures for requesting a 

debriefing. All requests for debriefings 

must be made in writing to: Ophelia 

Wilson, Office of University 

Partnerships, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 8106, Washington, 

DC 20410–6000. 

2. Administrative. Grants awarded 

under this NOFA will be governed by 

the provisions of 24 CFR part 84 (Grants 

and Agreements with Institutions of 

Higher Education, Hospitals and Other 

Non-Profit Organizations), A–21 (Cost 

Principles for Educational Institutions) 

and A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations). Applicants can access 

the OMB circulars at the White House 

Web site at www.whitehouse.gov/omb/ 

circulars/index.html. 

3. OMB Circulars and 

Governmentwide Regulations 

Applicable to Financial Assistance 

Programs. The General Section provides 

further discussion on this matter. 

4. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects. See the 

General Section for further discussion. 

5. Procurement of Recovered 

Materials. The General Section provides 

further discussion on the matter. 

6. Code of Conduct. See the General 

Section for further discussion. 

C. Reporting 

All grant recipients under this NOFA 

are required to submit quarterly 

progress reports. The progress reports 

shall consist of two components, a 

narrative that must reflect the activities 

undertaken during the reporting period 

and a financial report that reflects costs 

incurred by budget line item, as well as 

a cumulative summary of costs incurred 

during the reporting. 

For each reporting period, as part of 

the required report to HUD, grant 

recipients must include a completed 

Logic Model form (HUD–96010), which 

identifies output and outcome 

achievements. 

For FY2007, HUD is considering a 

new concept for the Logic Model. The 

new concept is a Return on Investment 

(ROI) statement. HUD will be publishing 

a separate notice on the ROI concept. 

VII. Agency Contacts 

Applicants may contact Ophelia 

Wilson at (202) 708–3061, extension 

4390 or Susan Brunson at (202) 708–

3061, extension 3852. Persons with 

speech or hearing impairments may call 

the Federal Information Relay Service 

(TTY) at (800) 877–8339. Except for the 

‘‘800’’ number, these numbers are not 

toll-free. mail to: Applicants may also 

reach Ms. Wilson via e-mail at 

Ophelia_Wilson@hud.gov, and/or Ms. 

Brunson at Susan_S._Brunson@hud.gov. 

VIII. Other Information 

Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2528–

0235. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 356 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, quarterly, 

semi-annual and final reports. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

Appendix A—Application Checklist—

HBCU 

This checklist identifies application 

submission requirements. Applicants 

are requested to use this checklist when 

preparing an application to ensure 

submission of all required elements. 

Applicants submitting an electronic 

application do not have to submit the 

checklist. Applicants that receive a 

waiver of the electronic application 

submission requirement must include a 

copy of the checklist in their 

application. 

Check off to ensure these items have 

been included in the application: 

__SF–424 ‘‘Application For Federal 

Assistance’’

__Application Checklist (Applicants 

that submit paper applications must 

include the checklist in their 

applications) 

__Abstract (must include no more than 

a two-page summary of the proposed 

project) 

Indicate the page number where each 

of the Factors are located: 

Narrative Statement Addressing the 

Rating Factors. 

The narrative section of an 

application must not exceed 50 pages in 

length (excluding forms, budget 

narrative and abstract). This information 

must be submitted on 81⁄2 by 11-inch 

paper, double-spaced on one side of the 

paper, with one-inch margins (from the 

top, bottom, left, and right sides of the 

documents) and printed in standard 

Times New-Roman 12-point font. 

[Applicants that submit applications via 

Grants.gov should review the General 

Section for information about file names 

and extensions. File names should not 

contain spaces or special characters.] 

__Factor I 

__Factor II 

__HUD–40076, ‘‘Response Sheet 

Performance Narrative’’ (If applicable) 

__Factor III 

__Factor IV 

__Factor V 

__ HUD–96010 ‘‘Logic Model’’

Check off to ensure these items have 

been included in the application: 

__Appendix. The appendix section of an 

application must not exceed 15 pages in 

length (excluding forms, budget 

narrative and assurances). 

__Budget 

__HUD 424–CB ‘‘Grant Application 

Detailed Budget’’ (‘‘HUD Detailed 

Budget Form’’ on Grants.gov) 


rwilkins on PROD1PC63 with NOTICES_2
11476 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

__HUD–40076–HBCU ‘‘Budget-ByActivity’’

__Budget Narrative (No form provided 

and must be submitted for the total 

three-year grant period) 

Appendix B (All Required Forms) 

The following forms are required for 

submission. All required forms are 

contained in the electronic application 

package. 

__Application for Federal Assistance 

(SF–424) 

__Survey on Ensuring Equal 

Opportunity for Applicants (SF–424 

Supplement) (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov) 

__Grant Application Detailed Budget 

(HUD–424–CB) (‘‘HUD Detailed Budget 

Form’’ on Grants.gov) 

__Disclosure of Lobbying Activities (SF–

LLL), if applicable 

__Questionnaire for HUD’s Removal of 

Regulatory Barriers (HUD–27300), 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable 

__Applicant/Recipient Disclosure/ 

Update Report (HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

__Certification of Consistency with RC/ 

EZ/EC–II Strategic Plan (HUD–2990), if 

applicable 

__Certification of Consistency with the 

Consolidated Plan (HUD–2991) if 

applicable 

__Acknowledgement of Applicant 

Receipt (HUD–2993) Only applicants 

that submit paper applications 

__You Are Our Client Grant Applicant 

Survey (HUD–2994–A) 

__Response Sheet Performance 

Narrative (HUD–40076) if applicable 

__Budget-By-Activity (HUD–40076) 

__Program Logic Model (HUD–96010) 

__Third Party Documentation Facsimile 

Transmittal (HUD–96011) (‘‘Facsimile 

Transmittal Form’’ on Grants.gov) 

required as the cover page to third party 

documents transmitted by facsimile to 

HUD. See the General Section. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11477 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.007</GPH>
11478 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Hispanic-Serving Institutions Assisting 

Communities (HSIAC) Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Policy Development and 

Research, Office of University 

Partnerships. 

B. Funding Opportunity Title: 

Hispanic-Serving Institutions Assisting 

Communities (HSIAC) Program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Numbers: 

FR–5100–N–13; OMB Approval Number 

is 2528–0198. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: The CDFA 

Number for this program is 14.514. 

F. Dates: The application deadline 

date is May 23, 2007. Applications must 

be received and validated by Grants.gov 

by 11:59:59 p.m. eastern time on the 

deadline date. Please be sure to read the 

General Section for electronic 

application submission and receipt 

requirements. 

G. Additional Overview Content 

Information: 

1. Purpose of the Program: To assist 

Hispanic-Serving Institutions (HSI) 

expand their role and effectiveness in 

addressing community development 

needs in their localities, including 

neighborhood revitalization, housing, 

and economic development, principally 

for persons of low- and moderateincome, consistent with the purposes of 

Title I of the Housing and Community 

Development Act of 1974, as amended. 

2. Award Information: In Fiscal Year 

(FY) 2007, approximately $5.9 million 

has been made available for this 

program by the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5; approved February 15, 2007) 

and an additional $111,226 in carryover 

funds. An applicant can request up to 

$600,000 for a three-year (36 months) 

grant performance period. 

3. Eligible Applicants: Nonprofit 

Hispanic-serving institutions that meet 

the definition of an HSI of higher 

education established in Title V of the 

Higher Education Act of 1965 (20 U.S.C. 

1101), as amended. In order to meet this 

definition, at least 25 percent of the fulltime undergraduate students enrolled in 

an institution must be Hispanic. In 

addition, all applicants must be 

institutions of higher education granting 

two-or four-year degrees that are fully 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education. 

Institutions are not required to be on the 

list of eligible HSIs prepared by the U.S. 

Department of Education. However, an 

institution that is not on the list is 

required to provide a statement in the 

application that the institution meets 

the U.S. Department of Education’s 

statutory definition of an HSI as cited 

above. If an applicant is one of several 

campuses of the same institution, the 

applicant may apply separately from the 

other campuses as long as the campus 

has a separate DUNS number, 

administrative structure and budget, 

and meets the enrollment requirements 

outlined above. 

Full Text of Announcement 

I. Funding Opportunity Description 

The purpose of the Hispanic-Serving 

Institutions Assisting Communities 

(HSIAC) Program is to assist HispanicServing Institutions (HSI) of higher 

education expand their role and 

effectiveness in addressing community 

development needs in their localities, 

including neighborhood revitalization, 

housing and economic development, 

principally for persons of low- and 

moderate-income consistent with the 

purpose of the Title I of the Housing and 

Community Development Act of 1974, 

as amended. 

For the purpose of this program 

NOFA, the term ‘‘locality’’ includes any 

city, county, township, parish, village, 

or other general political subdivision of 

a state, Puerto Rico, or the U.S. Virgin 

Islands where the institution is located. 

A ‘‘target area’’ is the area within the 

locality in which the institution will 

implement its proposed HSIAC grant. 

A. Authority 

HUD’s authority for making this 

funding available under this NOFA is 

the Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007). This 

program is being implemented through 

this NOFA and the policies governing 

its operation are contained herein. 

B. Modifications 

Listed below are major modifications 

from the Fiscal Year (FY) 2006 programfunding announcement: 

1. Commitment letters, memoranda of 

understanding and/or agreements are 

not required to be submitted with the 

application, but the originals must be on 

file at the time of application 

submission. HUD will require 

applicants chosen to proceed to the next 

step in the selection process to submit 

the signed commitment letters, 

memoranda of understanding and/or 

agreements outlined in the application, 

within seven (7) calendar days after 

initial contact from the Office of 

University Partnerships (OUP). OUP 

will provide specific instructions on 

how these documents must be 

submitted at that time. HUD will only 

request and consider the resources/ 

organizations outlined in the 

application. If OUP does not receive 

those documents with the required 

information and within the allotted 

timeframe, an applicant will not receive 

points under this factor. 

2. The appendix section of an 

application must not exceed 15 pages in 

length (excluding forms, budget 

narrative and assurances). An applicant 

SHOULD NOT submit resumes, 

commitment letters, memoranda of 

understanding and/or agreements, or 

other back-up material. Each page must 

include the applicant’s name and 

should be numbered. HUD will not 

consider the information on any excess 

pages. 

3. Applicants must budget for travel 

costs to attend at least one HUD 

sponsored HSIAC conference/workshop 

every year of the three-year grant 

performance period. 

4. Public Law 109–242 (approved 

September 30, 2006) revised the 

definition of Hispanic-serving 

institution found in Title V of the 

Higher Education Act of 1965 (20 U.S.C. 

1101). The revision removed the 

requirement that not less than 50 

percent of the institution’s Hispanic 

students are low-income individuals. 

II. Award Information 

In Fiscal Year (FY) 2007, 

approximately $5.9 million is made 

available for this program and an 

additional $111,226 in carryover funds. 

An applicant can request up to $600,000 

for a three-year (36 months) grant 

performance period. 

III. Eligibility Information 

A. Eligible Applicants 

Nonprofit Hispanic-serving 

institutions that meet the definition of 

an HSI of higher education established 

in Title V of the Higher Education Act 

of 1965 (20 U.S.C. 1101), as amended. 

In order to meet this definition, at least 

25 percent of the full-time 

undergraduate students enrolled in an 

institution must be Hispanic. In 

addition, all applicants must be 

institutions of higher education granting 

two- or four-year degrees that are fully 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education. 

Institutions are not required to be on the 

list of eligible HSIs prepared by the U.S. 

Department of Education. However, an 

institution that is not on the list is 

required to provide a statement in the 

application that the institution meets 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11479 

the U.S. Department of Education’s 

statutory definition of an HSI as cited 

above. If an applicant is one of several 

campuses of the same institution, the 

applicant may apply separately from the 

other campuses as long as the campus 

has a separate DUNS number, 

administrative structure and budget, 

and meets the enrollment requirements 

outlined above. 

B. Cost Sharing or Matching 

None Required. 

C. Other 

1. Eligible Activities. Eligible 

activities are listed in 24 CFR part 570, 

subpart C, particularly §§ 570.201 

through 570.206. Information regarding 

these activities can be found at: 

www.hudclips.org (click on the Code of 

Federal Regulations for detailed 

information). 

a. Examples of eligible activities 

include, but are not limited to: 

(1) Acquisition of real property; 

(2) Clearance and demolition; 

(3) Rehabilitation of residential 

structures including lead-based paint 

hazard evaluation and reduction and 

making accessibility and visitabilty 

modifications in accordance with the 

requirements of Section 504 of the 

Rehabilitation Act of 1973; 

(4) Public facilities and 

improvements, such as water and sewer 

facilities and streets, compliance with 

accessibility requirements, including 

Section 504 of the Rehabilitation Act of 

1973, the Fair Housing Act, and the 

American with Disabilities Act of 1990; 

(5) Relocation payments and other 

assistance for permanently and 

temporarily relocated individuals, 

families, businesses, nonprofit 

organizations, and farm operations 

where the assistance is: 

(a) Required under the provisions of 

24 CFR 570.606(b) or (c); or 

(b) Determined by the grantee to be 

appropriate under the provisions of 24 

CFR 570.606(d); 

(6) Direct homeownership assistance 

to low- and moderate-income persons, 

as provided in section 105(a)(25) of the 

Housing and Community Development 

Act of 1974; 

(7) Special economic development 

activities described at 24 CFR 570.203 

and assistance to facilitate economic 

development by providing technical or 

financial assistance for the 

establishment, stabilization, and 

expansion of microenterprises, 

including minority enterprises; 

(8) Assistance to community-based 

development organizations (CBDO) to 

carry out a CDBG neighborhood 

revitalization, community economic 

development, or energy conservation 

project, in accordance with 24 CFR 

570.204. This could include activities in 

support of a HUD-approved local 

entitlement grantee, CDBG 

Neighborhood Revitalization Strategy 

(NRS) or HUD-approved State CDBG 

Community Revitalization Strategy 

(CRS); 

(9) Public service activities such as 

general support activities that can help 

to stabilize a neighborhood and 

contribute to sustainable redevelopment 

of the area, including but not limited to 

such activities as those concerned with 

employment, crime prevention, child 

care, health care services, drug abuse, 

education, housing counseling, energy 

conservation, homebuyer down 

payment assistance, establishing and 

maintaining Neighborhood Network 

centers in federally assisted or insured 

housing, job training and placement and 

recreational needs; 

(10) Up to 20 percent of the grant may 

be used for payments of reasonable 

grant administrative costs related to 

planning and execution of the project 

(e.g., preparation/submission of HUD 

reports). Detailed explanations of these 

costs are provided in OMB circular 

A–21 Cost Principals for Educational 

Institutions that can be accessed at the 

White House Web site at: 

www.whitehouse.gov/omb/circulars/ 

index.html; 

(11) Fair housing services designed to 

further civil rights objectives of the Fair 

Housing Act (42 U.S.C. 3601–20) by 

making all persons, without regard to 

race, color, religion, sex, national origin, 

familial status and/or disability aware of 

the range of housing opportunities 

available to them; and 

b. Each activity proposed for funding 

must meet the Community Development 

Block Grant (CDBG) program eligibility 

requirements and at least one of the 

three CDBG national objectives. The 

three national objectives of the CDBG 

program are listed in Rating Factor 3 in 

Section V.A.3 of this NOFA. 

Criteria for determining whether an 

activity addresses one or more national 

objectives are provided at 24 CFR 

570.208. 

c. The CDBG publication entitled 

‘‘Community Development Block Grant 

Program Guide to National Objectives 

and Eligible Activities for Entitlement 

Communities’’ describes the CDBG 

regulations, and a copy can be obtained 

from HUD’s NOFA Information Center 

at 800–HUD–8929. Individuals with 

hearing or speech impairments may 

access this number via the toll-free 

Federal Information Relay Service at 

800–877–8339. 

2. Threshold Requirements 

Applicable to all Applicants. All 

applicants must comply with the 

threshold requirements as defined in the 

General Section and the requirements 

listed below. Applications that do not 

meet these requirements will be 

considered ineligible for funding and 

will be disqualified. 

a. The applicant must meet the 

eligibility requirements as defined in 

Section III.A. 

b. The applicant may request up to 

$600,000. 

c. An applicant must have a DUNS 

number to receive HUD grant funds (See 

the General Section). Only one 

application can be submitted per 

campus. If multiple applications are 

submitted, all will be disqualified. 

However, different campuses of the 

same university system are eligible to 

apply as long as they have a separate 

DUNS number and an administrative 

and budgeting structure independent of 

the other campuses in the system. 

d. Institutions that received an HSIAC 

grant in FY2006 are not eligible to 

submit an application under this NOFA. 

If an institution received an HSIAC 

grant in FY2003, FY2004, or FY2005, 

the institution may apply under this 

NOFA as long as it proposes a different 

activity (activities), which has not been 

previously undertaken in their current 

project location, or proposes replicating 

their current project in a new location. 

e. Applicants must receive a 

minimum score of 75 points to be 

considered for funding. 

f. Electronic applications must be 

received and validated by Grants.gov no 

later than 11:59:59 p.m. eastern time on 

the application deadline date. 

3. Program Requirements. In addition 

to the program requirements listed in 

Section III.C of the General Section, 

applicants must meet the following 

program requirements: 

a. All funds awarded are for a threeyear (36 months) grant performance 

period. 

b. Applicants must ensure that not 

less than 51 percent of the aggregated 

expenditures of a grant award are used 

to benefit low- and moderate-income 

persons under the criteria specified in 

24 CFR 570.208(a) or 570.208(d)(5) or 

(6). 

c. Site Control. Where grant funds 

will be used for acquisition, 

rehabilitation, or new construction, an 

applicant must demonstrate site control. 

Funds may be recaptured or deobligated 

from recipients that cannot demonstrate 

control of a suitable site within one year 

after the initial notification of award. 

d. Environmental Requirements. 

Selection for award does not constitute 


rwilkins on PROD1PC63 with NOTICES_2
11480 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

approval of any proposed sites. 

Following selection for award, HUD will 

perform an environmental review of 

properties proposed for assistance in 

accordance with 24 CFR Part 50. The 

results of the environmental review may 

require that proposed activities be 

modified or proposed sites be rejected. 

Applicants are particularly cautioned 

not to undertake or commit funds for 

acquisition or development of proposed 

properties prior to HUD approval of 

specific properties or areas. An 

application constitutes an assurance 

that the institution will assist HUD to 

comply with part 50; will supply HUD 

with all available and relevant 

information to perform an 

environmental review for each proposed 

property; will carry out mitigating 

measures required by HUD or select 

alternate property; and will not acquire, 

rehabilitate, convert, demolish, lease, 

repair, or construct property, and not 

commit or expend HUD or local funds 

for these program activities with respect 

to any eligible property until HUD’s 

written approval of the property is 

received. In supplying HUD with 

environmental information, applicants 

should use the same guidance as 

provided in the HUD Notice CPD–05–07 

entitled, ‘‘Field Environmental Review 

Processing for Rural Housing and 

Economic Development (RHED) grants’’

issued August 30, 2005. The General 

Section provides further discussion of 

the environmental requirements. 

Further information and assistance on 

HUD’s environmental requirements is 

available at: http://hudstage.hud.gov/ 

utilities/intercept.cfm?/offices/cpd/ 

lawsregs/notices/2005/05-07.pdf. 

e. Labor Standards. Institutions and 

their sub-grantees, contractors, and 

subcontractors must comply with the 

labor standards (Davis-Bacon) 

requirements referenced in 24 CFR 

570.603. 

f. Economic Opportunities for Lowand Very-Low Income Persons (Section 

3). The provisions of Section 3 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701u) apply to this 

NOFA. One of the purposes of the 

assistance is to give, to the greatest 

extent feasible, and consistent with 

existing federal, state, and local laws 

and regulations, job training, 

employment, contracting and other 

economic opportunities to Section 3 

residents and Section 3 business 

concerns. Regulations are located at 24 

CFR Part 135. 

IV. Application and Submission 

Information. 

A. Addresses To Request Application 

Package 

Applicants may download the 

instructions to the application found on 

the Grants.gov Web site at http:// 

www.Grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information, you 

may call the Grants.gov Support Desk 

toll free at 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

See the General Section for information 

regarding the registration process or ask 

for registration information from the 

Grants.gov Support Desk. 

B. Content and Form of Application 

Submission 

1. Forms. The following forms are 

required for submission. Copies of these 

forms are available on line at http:// 

www.Grants.gov/applicants/ 

apply_for_grants.jsp. 

a. SF–424, Application for Federal 

Assistance; 

b. SF–424, Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

c. HUD–424–CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov); 

d. SF–LLL, Disclosure of Lobbying 

Activities, if applicable; 

e. HUD–27300, Questionnaire for 

HUD’s Removal of Regulatory Barriers 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable; 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

g. HUD–96010, Program Logic Model; 

h. HUD–2990, Certification of 

Consistency with RC/EZ/EC–II Strategic 

Plan, if applicable; 

i. HUD–2991, Certification of 

Consistency with the Consolidated Plan, 

if applicable; 

j. HUD–2993, Acknowledgement of 

Applicant Receipt. Complete this form 

only if you have received a waiver to the 

electronic application submission 

requirement. Applicants submitting 

electronically are not required to 

include this form; 

k. HUD–2994–A, You Are Our Client 

Grant Applicant Survey. Applicants are 

not required to complete this form. 

l. HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). This form must be used as 

the cover page to transmit third party 

documents and other information. 

Applicants are advised to download the 

application package, complete the SF–

424 first and it will pre-populate the 

Transmittal Cover page. The Transmittal 

Cover page will contain a unique 

identifier embedded in the page that 

will help HUD associate your faxed 

materials to your application. Please 

download the cover page and then make 

multiple copies to provide to any of the 

entities responsible for submitting faxed 

materials to HUD on your behalf. Please 

do not use your own fax sheet. HUD 

will not read any faxes that are sent 

without the HUD–96011 fax transmittal 

cover page. 

2. Certifications and Assurances. 

Please read the General Section for 

detailed information on all 

Certifications and Assurances. All 

applications submitted through 

Grants.gov constitute an 

acknowledgement and agreement to all 

required certifications and assurances. 

Please include in your application each 

item listed below. Applicants 

submitting paper copy applications 

should submit the application in the 

following order: 

a. SF–424, Application for Federal 

Assistance. Please remember the 

following: 

(1) The full grant amount requested 

from HUD (entire three years) should be 

entered, not the amount for just one 

year; 

(2) Include the name, title, address, 

telephone number, facsimile number, 

and e-mail address of the designated 

contact. This is the person who will 

receive all correspondence; therefore, 

please ensure the accuracy of the 

information; 

(3) The Employer Identification/Tax 

ID; 

(4) The DUNS Number; 

(5) The Catalog of Federal Domestic 

Assistance Number for this program is 

14.514; 

(6) The project’s proposed start date 

and completion date. For the purpose of 

this application, the program start date 

should be December 1, 2007; and 

(7) The signature of the Authorized 

Organization Representative (AOR) 

who, by virtue of submitting an 

application via Grants.gov, has been 

authenticated by the credential provider 

to submit applications on behalf of the 

Institution and approved by the 

eBusiness Point of Contact to submit an 

application via Grants.gov. The AOR 

must be able to make a binding legal 

agreement with HUD. 

b. Application Checklist. Applicants 

should use the checklist to ensure that 

they have all the required components 

of their application. Applicants 

submitting an electronic application 

should not submit the checklist. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11481 

Applicants that receive a waiver of the 

electronic application submission must 

include a copy of the checklist in their 

application submission. The checklist 

can be located in Appendix A. 

c. Abstract. Applicants must include 

no more than a two-page summary of 

the proposed project. Please include the 

following: 

(1) A clear description of each 

proposed project activity, where it will 

take place (be located), the target 

population that will be assisted, and the 

impact this project is expected to have 

on the community and institution; 

(2) A statement that the institution is 

an eligible institution because it is a 

two- or four-year fully accredited 

institution, the name of the accrediting 

agency and an assurance that the 

accrediting agency is recognized by the 

U.S. Department of Education; 

(3) A statement that the institution 

meets the definition of an Hispanic 

Serving Institution: at least 25 percent of 

the full-time undergraduate students 

enrolled in an institution must be 

Hispanic. 

(4) The designated contact person, 

including phone number, facsimile 

number, and e-mail address (This is the 

person who will receive all 

correspondence from HUD; therefore 

please ensure the accuracy of the 

information); 

(5) The project director, if different 

from the designated contact person, for 

the project, including phone number, 

facsimile number, and e-mail address. 

d. Narrative Statement Addressing the 

Factors. HUD will use the narrative 

response to the ‘‘Rating Factors’’ to 

evaluate, rate, and rank applications. 

The narrative statement is the main 

source of information. Applicants are 

advised to review each factor carefully 

for program specific requirements. The 

response to each factor should be 

concise and contain only information 

relevant to the factor, yet detailed 

enough to address each factor fully. 

PLEASE DO NOT REPEAT MATERIAL 

IN RESPONSE TO THE FIVE FACTORS; 

INSTEAD, FOCUS ON HOW WELL THE 

PROPOSAL RESPONDS TO EACH OF 

THE FACTORS. Where there are 

subfactors, each subfactor must be 

presented separately, with the short title 

of the subfactor presented. Make sure to 

address each subfactor and provide 

sufficient information about every 

element of the subfactor. The narrative 

section of an application must not 

exceed 50 pages in length (excluding 

forms, budget narrative, assurances, and 

abstract) and must be submitted on 81⁄2

by 11-inch paper, double-spaced on one 

side of the paper, with one inch margins 

(from the top, bottom and left to right 

side of the document) and printed in 

standard Times New Roman 12-point 

font. Each page of the narrative must 

include the applicant’s name and 

should be numbered. Note that although 

submitting pages in excess of the page 

limit will not disqualify an applicant, 

HUD will not consider the information 

on any excess pages. This exclusion 

may result in a lower score or failure to 

meet a threshold requirement. All 

applicants submitting electronic 

applications must attach their narrative 

responses to Rating Factors 1–5 as one 

attachment. PLEASE DO NOT ATTACH 

YOUR RESPONSE TO EACH FACTOR 

SEPARATELY. Please follow the 

instructions on file extension and file 

names in the General Section. 

e. Budget. The budget submission 

must include the following: 

(1) HUD–424–CB, ‘‘HUD Detailed 

Budget Form.’’ This form shows the 

total budget by year and by line item for 

the program activities to be carried out 

with the proposed HUD grant. Each year 

of the program should be presented 

separately. Applicants must also budget 

for travel costs (airfare, lodging and per 

diem) for two individuals to attend at 

least one HUD sponsored HSIAC 

conference/workshop every year of the 

three-year grant performance period. To 

calculate travel expenses, applicants 

located in Eastern and Central time 

zones or the U.S. Virgin Islands should 

use San Francisco, CA as the site of all 

conferences/workshops. Applicants 

located in Mountain and Pacific time 

zones or Puerto Rico should use 

Washington, DC as the site of all 

conferences/meetings. 

Applicants must also submit this form 

to reflect the total cost for the entire 

grant performance period (Grand Total). 

Make sure that the amounts shown on 

the SF–424, the HUD–424–CB, and on 

all other required program forms are 

consistent and the budget totals are 

correct. Remember to check addition in 

totaling the categories on all forms so 

that all items are included in the total. 

If there is an inconsistency between any 

of the required budget forms, the HUD–

424–CB will be used. All budget forms 

must be fully completed. If an 

application is selected for award, the 

applicant may be required to provide 

greater specificity to the budget during 

grant agreement negotiations. 

(2) Budget Narrative. A narrative must 

be submitted that explains how the 

applicant arrived at the cost estimates 

for any line item over $5,000 

cumulative. For example, an applicant 

proposes to construct a building using 

HUD funding totaling $200,000. The 

following costs estimate reflects this 

total. Foundation cost $75,000, 

electrical work $40,000, plumbing work 

$40,000, finishing work $35,000, and 

landscaping $10,000. The proposed cost 

estimates should be reasonable for the 

work to be performed and consistent 

with rates established for the level of 

expertise required to perform the work 

proposed in the geographical area. 

When necessary, quotes from various 

vendors or historical data should be 

used (please make sure they are kept on 

file and are available for review by HUD 

at any time). All direct labor or salaries 

must be supported with mandated city/ 

state pay scales, the Davis-Bacon rate, (if 

applicable) or other documentation. 

When an applicant proposes to use a 

consultant, the applicant must indicate 

whether there is a formal written 

agreement. For each consultant, please 

provide the name, if known, hourly or 

daily rate, and the estimated time on the 

project. Applicants must use cost 

estimates based on historical data from 

the institution and/or from a qualified 

firm (e.g., Architectural or Engineering 

firms), vendor, and/or qualified 

individual (e.g., independent architect 

or contractor) other than the institution 

for projects that involve rehabilitation of 

residential, commercial and/or 

industrial structures, and/or acquisition, 

construction, or installation of public 

facilities and improvements. Such an 

entity must be involved in the business 

of housing rehabilitation, construction 

and/or management. Equipment and 

contracts cannot be presented as a total 

estimated cost. For equipment, 

applicants must provide a list by type 

and cost for each item. Applicants using 

contracts must provide an individual 

description and cost estimate for each 

contract. Construction costs must be 

broken down to indicate how funds will 

be utilized (e.g., demolition, foundation, 

exterior walls, roofing, electrical work, 

plumbing, finishing work, etc.). 

(3) Indirect costs. Indirect costs, if 

applicable, are allowable based on an 

established approved indirect cost rate. 

Applicants must have on file, and 

submit to HUD if selected for award, a 

copy of their indirect cost rate 

agreement. Applicants who are selected 

for funding that do not have an 

approved indirect cost rate agreement, 

established by the cognizant federal 

agency, will be required to establish a 

rate. In such cases, HUD will issue an 

award with a provisional rate and assist 

applicants with the process of 

establishing a final rate. 

f. Appendix. Applicants receiving a 

waiver of the electronic submission 

requirements and submitting a paper 

copy of the application must place all 

required forms in this section. The 

appendix section of an application must 


rwilkins on PROD1PC63 with NOTICES_2
11482 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

not exceed 15 pages in length 

(excluding forms, budget narrative and 

assurances). An applicant SHOULD 

NOT submit resumes, commitment 

letters, memoranda of understanding 

and/or agreements, or other back-up 

materials. If this information is 

included, it will not be considered 

during the review process. Each page 

must include the applicant’s name and 

should be numbered. HUD will not 

consider the information on any excess 

pages. The additional items will also 

slow the transmission of your 

application. 

C. Submission Dates and Times 

A complete application package must 

be received and validated electronically 

by the Grants.gov portal no later than 

11:59:59 p.m. eastern time on or before 

the application deadline date. In an 

effort to address any issues with 

transmission of your application, 

applicants are strongly encouraged to 

submit their applications at least 48 to 

72 hours prior to the application 

deadline. This will allow an applicant 

enough time to make the necessary 

adjustments to meet the submission 

deadline in the event Grants.gov rejects 

the application. Please see the General 

Section for further instructions. 

Electronic faxes using the Facsimile 

Transmittal Cover Sheet (Form HUD–

96011) contained in the electronic 

application must be received no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. 

D. Intergovernmental Review 

This program is excluded from an 

Intergovernmental Review. 

E. Funding Restrictions 

Ineligible CDBG Activities are listed 

at 24 CFR 570.207. Ineligible activities 

include but are not limited to: 

a. Curriculum development and/or 

expansion of an institution’s existing 

curriculum; 

b. General government expenses; 

c. Political activities; and 

d. Planning and administrative 

activities that would result in a grantee 

exceeding the 20 percent cost 

limitations (e.g., preparation/submission 

of HUD reports). 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedure. Please read the 

General Section carefully and 

completely for the submission and 

receipt procedures for all applications 

because failure to comply may 

disqualify your application. 

2. Waiver of Electronic Submission 

Requirements. Applicants should 

submit their waiver requests in writing 

using e-mail or fax. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be submitted to: Susan 

Brunson, Office of University 

Partnerships, E-mail: 

Susan_S._Brunson@hud.gov, FAX: (202) 

708–0309. 

Paper applications will not be 

accepted from applicants that have not 

been granted a waiver. If an applicant is 

granted a waiver, the Office of 

University Partnerships will provide 

instructions for submission. All 

applicants submitting applications in 

paper format must have received a 

waiver to the electronic application 

submission requirement and the 

application must be received by HUD on 

or before the application deadline date. 

V. Application Review Information 

A. Criteria 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Experience (25 

Points). This factor addresses the extent 

to which the applicant has the resources 

necessary to successfully implement the 

proposed project in a timely manner. 

a. Knowledge and Experience For 

First Time Applicants (25 Points); For 

Previously Funded Applicants (10 

Points). In rating this subfactor, HUD 

will consider how well an applicant 

clearly addresses the following: 

(1) Describe the knowledge and 

experience of the proposed project 

director and staff, including the day-today program manager/coordinator, 

consultants (including technical 

assistance providers), and contractors in 

planning and managing the type of 

project for which funding is being 

requested; and 

(2) Clearly identify the following: key 

project team members, titles (e.g., 

project manager/coordinator, etc.), 

respective roles for the project staff, and 

a brief description of their relevant 

experience. 

If key personnel have not been hired, 

applicants must identify the position 

title, provide a description of duties and 

responsibilities, and describe the 

qualifications to be considered in the 

selection of personnel, including 

subcontractors and consultants. 

Experience will be evaluated in terms 

of recent and relevant knowledge and 

skills of the staff to undertake eligible 

program activities. HUD will consider 

experience within the last five (5) years 

to be recent and experience pertaining 

to similar activities to be relevant. 

b. Past Performance (15 Points) For 

Previously Funded Grant Applicants 

Only. This subfactor will evaluate how 

well an applicant has performed 

successfully under HUD/HSIAC grants. 

Applicants must demonstrate this by 

addressing the following information for 

all previously completed and open 

HUD/HSIAC grants: 

(1) A list of all HUD/HSIAC grants 

received, including the dollar amount 

awarded and the amount expended and 

obligated as of the date of this 

application; 

(2) A description of the achievement 

of specific tasks, measurable objectives, 

and specific outcomes consistent with 

the approved project management plan; 

(3) A list detailing the date the 

project(s) was completed, was it 

completed in the original three-year 

grant performance period; if not 

completed, why (including when it was 

or will be completed); 

(4) A comparison of the amount of 

proposed leveraged funds and/or 

resources to the amount that was 

actually leveraged; and 

(5) A detailed description of 

compliance with all reporting 

requirements, including timeliness of 

submission, whether reports were 

complete and addressed all information 

(both narrative and financial) as 

required by the grant agreement. 

HUD will also review an applicant’s 

past performance in managing funds, 

including, but not limited to: the ability 

to account for funding appropriately; 

timely use of funds received from HUD; 

meeting performance targets for 

completion of activities; timely 

submission of required progress reports 

and receipt of promised leveraged 

resources. In evaluating past 

performance, HUD reserves the right to 

deduct up to five (5) points from this 

rating score as a result of the 

information obtained from HUD’s 

records (i.e, progress and financial 

reports, monitoring reports, Logic Model 

submissions, and amendments). 

2. Rating Factor 2: Need/Extent of the 

Problem (10 Points). This factor 

addresses the extent to which there is a 

need for funding the proposed program 

activities and an indication of the 

importance of meeting the need(s) in the 

target area. The need(s) described must 

be relevant to the activities for which 

funds are being requested. In addressing 

this factor, applicants should provide, at 

a minimum, the following and must cite 

statistics and/or analyses contained in at 

least one or more current data sources 

that are sound and reliable. 

(1) Describe the need(s); and 

(2) Describe the importance of 

meeting the proposed needs. 

In rating this factor, HUD will 

consider only current data that is 

specific to the area where the proposed 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11483 

project activities will be carried out. 

Sources for localized data can be found 

at: www.ffiec.gov. 

HUD will consider data collected 

within the last five (5) years to be 

current. To the extent that the targeted 

community’s Five Year Consolidated 

Plan and Analysis of Impediments to 

Fair Housing Choice (AI) identify the 

level of the problem and the urgency in 

meeting the need, applicants should 

include references to these documents 

in the response to this factor. 

Other reliable data sources include, 

but are not limited to, Census reports, 

HUD Continuum of Care gap analysis 

and its E–MAP (www.hud.gov/emaps), 

law enforcement agency crime reports, 

Public Housing Agencies’

Comprehensive Plans, community 

needs analyses such as those provided 

by the United Way, the applicant’s 

institution, and other sound, reliable 

and appropriate sources. Needs in terms 

of fulfilling court orders or consent 

decrees, settlements, conciliation 

agreements, and voluntary compliance 

agreements may also be addressed. 

3. Rating Factor 3: Soundness of 

Approach (44 Points). This factor 

addresses the quality and effectiveness 

of the proposed work plan and the 

commitment of the institution to sustain 

the proposed activities. 

a. (37 Points) Quality of the Work 

Plan. This subfactor will be evaluated 

on the extent to which an applicant 

provides a clear detailed description of 

the proposed project activities, 

anticipated accomplishments and the 

impact they will have on the target 

population at the end of the project. 

(1) (32 Points) Specific Activities. The 

work plan must describe all proposed 

activities and major tasks required to 

successfully implement them. The work 

plan must also identify the anticipated 

measurable accomplishments and 

impact these activities will have on the 

targeted population. In addressing this 

subfactor, applicants must provide a 

clear description of each proposed 

activity and address the following: 

(a) Describe each proposed project 

activity in measurable terms (e.g., the 

number of persons to be trained and 

employed; houses to be built or 

rehabilitated; or minority owned 

businesses to be started, etc.); 

(b) List and describe how each 

activity meets one of the following 

Community Development Block Grant 

(CDBG) Program national objectives: 

• Benefit low- and moderate-income 

persons; 

• Aid in the prevention or 

elimination of slums or blight; or 

• Meet other community 

development needs having a particular 

urgency because existing conditions 

pose a serious and immediate threat to 

the health and welfare of the 

community, and other financial 

resources are not available to meet such 

needs. 

Criteria for determining whether an 

activity addresses one or more objective 

are provided at 24 CFR 570.208; 

(c) Describe the measurable impact 

that implementing each activity (by the 

end of the grant period) will have on the 

target population; 

(d) Identify the major tasks required 

(in sequential order) to successfully 

implement and complete each proposed 

project activity. Include target 

completion dates for these tasks (in 6 

month intervals, up to 36 months); 

(e) Identify the key staff, as described 

in Factor 1, who will be responsible for 

completing each task; and 

(f) Describe how the project director 

will work with the partners and citizens 

to accomplish the proposed project 

activities. 

(2) (5 Points) Describe clearly how 

each proposed activity will: 

(a) Expand the role of the institution 

in the community; 

(b) Address the needs identified in 

Factor 2; 

(c) Relate to and not duplicate other 

activities in the target area. Duplicative 

efforts will be acceptable only if an 

applicant can demonstrate through 

documentation that there is a 

population in need that is not being 

served; and 

(d) Involve citizens of the target area 

in the planning and implementation of 

the proposed project activity (e.g., 

development of an advisory committee 

that is representative of the target 

community). 

b. (3 Points) Involvement of the 

Faculty and Students. The applicant 

must describe how it proposes to 

integrate the institution’s students and 

faculty into proposed project activities. 

c. (2 Points) HUD Policy Priorities. As 

described in the General Section, to earn 

points under this subfactor, HUD 

requires applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

and that will help the Department 

achieve its goals and objectives in 

FY2008, when the majority of grant 

recipients will be reporting 

programmatic results and achievements. 

In rating this subfactor, HUD will 

evaluate the extent to which a program 

will further and support HUD’s 

priorities. The quality of the responses 

provided to one or more of HUD’s 

priorities will determine the score an 

applicant can receive. Applicants must 

describe how each policy priority 

selected will be addressed. Applicants 

that just list a priority will receive no 

points. 

The total number of points an 

applicant can receive under this 

subfactor is two (2). Each policy priority 

addressed has a point value of one (1) 

point with the exception of the policy 

priority to remove regulatory barriers to 

affordable housing, which has a point 

value of up to two (2) points. To receive 

these two (2) points, an applicant must: 

(1) Complete either Part A or Part B (not 

both), (2) include appropriate 

documentation, (3) identify a point of 

contact, (4) indicate how this priority 

will be addressed and (5) submit the 

completed questionnaire, (HUD–27300) 

‘‘HUD’s Initiative on Removal of 

Regulatory Barriers Communities 

Initiative’’ found in the General Section. 

It is up to the applicant to determine 

which of the policy priorities they elect 

to address to receive the available two 

(2) points. 

d. (2 Points) Economic Opportunities 

for Low- and Very-Low Income Persons 

(Provision of Section 3). This subfactor 

will be evaluated on the extent to which 

an applicant describes how it proposes 

to: 

(1) Provide opportunities to train and 

employ Section 3 residents; and/or 

(2) Award contracts to Section 3 

contractors (See the regulations at 24 

CFR 135.). Regulations regarding the 

provision of Section 3 of the Housing 

and Urban Development Act of 1968 (12 

U.S.C. 1701u) can be located at 24 CFR 

Part 135. 

4. Rating Factor 4: Leveraging 

Resources (9 Points). This factor 

addresses the ability of the applicant to 

secure resources and develop 

partnerships that can be combined with 

HUD’s grant funds to achieve the 

program’s purpose. 

HUD will consider how well an 

applicant has established partnerships 

with other entities to secure additional 

resources to increase the effectiveness of 

the proposed project activities. 

Resources may include funding or inkind contributions, such as services or 

equipment, allocated for the purpose(s) 

of the proposed project activities. 

Resources may be provided by 

governmental entities, public or private 

nonprofit organizations, for-profit 

private organizations, or other entities. 

Applicants may also establish 

partnerships with other program 

funding recipients to coordinate the use 

of resources in the target area. Overhead 

and other institutional costs (e.g., 

salaries, indirect costs, etc.) that the 

institution has waived may be counted. 

• Examples of potential sources for 

outside assistance include: 


rwilkins on PROD1PC63 with NOTICES_2
11484 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

• Federal, state, and local 

governments 

• Local or national nonprofit 

organizations 

• Financial institutions and/or 

private businesses 

• Foundations 

• Faith-based and other communitybased organizations. 

To address this factor, an applicant 

must provide an outline in the 

application and have the original 

written commitment letters, memoranda 

of understanding and/or agreements that 

show the extent and firm commitment 

of all proposed leveraged resources 

(including any commitment of resources 

from the applicant’s own institution) 

that address the following information 

for each leveraged resource/fund on file 

at the time of application submission: 

(1) The name of the organization and 

the executive officer authorizing the 

funds/goods and/or services (Only 

applicable to the narrative section); 

(2) The cash amount contributed or 

dollar value of the in-kind goods and/ 

or services committed (If a dollar 

amount and its use are not shown, the 

value of the contribution will not be 

scored for award); 

(3) A specific description of how each 

contribution is to be used toward the 

proposed activities; 

(4) A description of the current and/ 

or past working relationship that the 

institution has with the organization 

contributing the resources and the 

involvement it will have with this 

proposed project. 

(5) The date the contribution will be 

made available and a statement that 

describes the duration of the 

contribution; 

(6) Any terms or conditions affecting 

the commitment, other than receipt of a 

HUD Grant; and 

(7) The signature of the appropriate 

executive officer authorized to commit 

the funds and/or goods and/or services 

(Only applicable to the written 

documentation). 

Do not submit commitment letters, 

memoranda of understanding and/or 

agreements are not required at the time 

of application submission but have the 

originals on file at the time of 

submission. IF THIS INFORMATION IS 

INCLUDED, IT WILL NOT BE 

CONSIDERED DURING THE REVIEW 

PROCESS. Applicants chosen to 

proceed to the next step in the selection 

process will be required to submit the 

signed commitment letters, memoranda 

of understanding and/or agreements 

outlined in the application, within 

seven (7) calendar days after initial 

contact from the Office of University 

Partnerships (OUP). Letters, memoranda 

of understanding, or agreements must be 

submitted on the provider’s letterhead 

and should be addressed to Sherone 

Ivey, Associate Deputy Assistant 

Secretary for University Partnerships. 

The date of the letter, memorandum of 

understanding, or agreement from the 

CEO of the provider organization must 

be dated no earlier than nine months 

prior to this published NOFA. OUP will 

provide specific instructions on how 

these documents must be submitted 

when contact is made with the 

applicant. HUD will only request and 

consider the resources/organizations 

that are listed in the outline submitted 

in the application. If OUP does not 

receive those documents with the 

required information and within the 

allotted timeframe, an applicant will not 

receive points under this factor. 

In scoring this factor, HUD will award 

• Nine (9) points to an applicant that 

provides properly documented 

leveraging resources as listed in their 

application that are 15 percent or more 

of the amount requested under this 

program; 

• Seven (7) to eight (8) points to 

applicants that provide documentation 

that includes at least five of the seven 

required items outlined above and that 

represents 10 to 14 percent of the 

amount requested under this program; 

• Five (5) to six (6) points to 

applicants that provide documentation 

that includes at least four of the seven 

required items outlined above and that 

represents 10 to 14 percent of the 

amount requested under this program; 

• Three (3) to four (4) points to 

applicants that provide documentation 

that includes at least five of the seven 

required items outlined above and that 

represents 5 to 9 percent of the amount 

requested under this program; 

• One (1) to two (2) points to 

applicants that provide documentation 

that includes at least three of the seven 

required items outlined above and that 

represents 5 to 9 percent of the amount 

requested under this program; and 

• Zero (0) points to applicants that 

provide documented leveraging 

resources as listed above that are less 

than 5 percent of the amount requested. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (12 Points) 

This factor reflects HUD’s goal to 

embrace high standards of management 

and accountability. It measures the 

applicant’s commitment to assess their 

performance to achieve the program’s 

proposed objectives and goals. 

Applicants are required to develop an 

effective, quantifiable, outcome oriented 

evaluation plan for measuring 

performance and determining that 

objectives and goals have been achieved 

by using the HUD Logic Model. The 

Logic Model is a summary of the 

narrative statements presented in 

Factors 1–4. Therefore, the information 

submitted on the Logic Model should be 

consistent with the information 

contained in the narrative statements. 

‘‘Outcomes’’ are benefits accruing to 

institutions and/or communities during 

or after participation in the HSIAC 

program. Applicants must clearly 

identify the outcomes to be measured 

and achieved. Examples of outcomes 

include increased employment 

opportunities in the target community 

by a certain percentage, or enhanced 

family stability through the creation of 

affordable housing opportunities. 

In addition, applicants must establish 

interim benchmarks and outputs that 

lead to the ultimate achievement of 

outcomes. ‘‘Outputs’’ are the direct 

products of the program’s activities. 

Examples of outputs are the number of 

new affordable housing units, the 

number of homes that have been 

renovated, and the number of 

community facilities that have been 

constructed or rehabilitated. Outputs 

should produce outcomes for the 

program. At a minimum an applicant 

must address the following activities in 

the evaluation plan: 

a. Measurable outputs to be 

accomplished, e.g., the number of 

persons to be trained and employed; 

houses to be built (pursuant to 24 CFR 

570.207) or rehabilitated; minorityowned businesses to be started; 

b. Measurable outcomes the grant will 

have on the community in general and 

the target area or population; and 

c. The impact the grant will have on 

assisting the university to obtain 

additional resources to continue this 

type of work at the end of the grant 

performance period. 

The information must be placed on a 

HUD–96010, Program Outcome Logic 

Model form. HUD has developed a new 

approach to completing this form. 

Please carefully read the General 

Section for instructions, training is 

available. (Form HUD–96010 will be 

excluded from the page count.) If an 

applicant utilizes ‘‘other’’ from the 

Logic Model categories, then the 

applicant should describe briefly this 

‘‘other’’ category within the Rating 

Factor 5 narrative. If a narrative is 

provided, those pages will be included 

in the page count. 

B. Review and Selection Process 

1. Application Selection Process 

Two types of reviews will be 

conducted: 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11485 

a. A threshold review to determine an 

applicant’s basic eligibility; and 

b. A technical review for all 

applications that pass the threshold 

review to rate and rank the application 

based on the ‘‘Rating Factors’’ listed in 

Section V, A. Only those applications 

that pass the threshold review will 

receive a technical review and be rated 

and ranked. 

2. Rating Panels. To review and rate 

applications, HUD may establish panels, 

which may include experts or 

consultants not currently employed by 

HUD to obtain certain expertise. 

3. Ranking. HUD will fund 

applications in rank order, until all 

available program funds are awarded. In 

order to be considered for funding, an 

applicant must receive a minimum 

score of 75 points out of a possible 100 

points; plus up to two bonus points that 

may be awarded for activities conducted 

in the RC/EZ/EC–II communities, as 

described in the General Section. If two 

or more applications have the same 

number of points, the application with 

the most points for Factor 3 shall be 

selected. If there is still a tie, the 

application with the most points for 

Factor 1 shall be selected. If there is still 

a tie, the application with the most 

points for Factors 2, 4 and then 5 shall 

be selected, in that order, until the tie 

is broken. HUD reserves the right to 

make selections out of rank order to 

provide for geographic distribution of 

grantees. HUD also reserves the right to 

reduce the amount of funding requested 

in order to fund as many highly ranked 

applications as possible. Additionally, if 

funds remain after funding the highest 

ranked applications, HUD may fund 

part of the next highest-ranking 

application. If an applicant turns down 

an award offer, HUD will make an 

award to the next highest-ranking 

application. If funds remain after all 

selections have been made, the 

remaining funds will be carried over to 

the next funding cycle’s competition. 

4. Correction to Deficient 

Applications. See the General Section. 

C. Anticipated Announcement and 

Award Dates. Announcements of 

awards are anticipated on or before 

September 30, 2007. 

VI. Award Administration Information 

A. Award Notice 

After all selections have been made, 

HUD will notify all winning applicants 

in writing. HUD may require winning 

applicants to participate in additional 

negotiations before receiving an official 

award. For further discussion on this 

matter, please refer to the General 

Section. 

B. Administrative and National Policy 

Requirements 

Refer to Section in the General 

Section. 

1. Debriefing. The General Section 

provides the procedures for requesting a 

debriefing. All requests for debriefings 

must be made in writing to: Madlyn 

Wohlman-Rodriguez, Office of 

University Partnerships, Department of 

Housing and Urban Development, 451 

Seventh Street, SW., Room 8106, 

Washington, DC 20410–6000. 

Applicants may also write to Ms. 

Wohlman-Rodriguez via e-mail at 

Madlyn_Wohlmanrodriguez@hud.gov. 

2. Administrative. Grants awarded 

under this NOFA will be governed by 

the provisions of 24 CFR part 84 (Grants 

and Agreements with Institutions of 

Higher Education, Hospitals and Other 

Non-Profit Organizations), A–21 (Cost 

Principles for Educational Institutions) 

and A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations). Applicants can access 

the OMB circulars at the White House 

Web site at www.whitehouse.gov/omb/ 

circulars/index.html. 

3. OMB Circulars and 

Governmentwide Regulations 

Applicable to Financial Assistance 

Programs. The General Section provides 

further discussion. 

4. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors Labor Relations 

on Federal and Federally Funded 

Construction Projects. See the General 

Section for further discussion. 

5. Procurement of Recovered 

Materials. The General Section provides 

further information. 

6. Executive Order 13166, Improving 

Access to Services For Persons With 

Limited English Proficiency (LEP). See 

the General Section for further 

discussion. 

7. Code of Conduct. See the General 

Section for further discussion. 

C. Reporting 

All grant recipients under this NOFA 

are required to submit semi-annual 

progress reports. The progress reports 

shall consist of two components, a 

narrative that must reflect the activities 

undertaken during the reporting period 

and a financial report that reflects costs 

incurred by budget line items, as well as 

a cumulative summary of costs incurred 

during the reporting period. 

For each reporting period, as part of 

the required report to HUD, grant 

recipients must include a completed 

Logic Model (HUD–96010), which 

identifies output and outcome 

achievements. 

For FY2007, HUD is considering a 

new concept for the Logic Model. The 

new concept is a Return on Investment 

(ROI) statement. HUD will be publishing 

a separate notice on the ROI concept. 

VII. Agency Contacts 

Applicants may contact Madlyn 

Wohlman-Rodriguez at (202) 708–3061, 

extension 5939 or Susan Brunson, at 

(202) 708–3061, extension 3852. Persons 

with speech or hearing impairments 

may call the Federal Information Relay 

Service (TTY) at (800) 877–8339. Except 

for the ‘‘800’’ number, these numbers 

are not toll-free. mail to: Applicants may 

also reach Ms. Rodriguez via e-mail at 

Madlyn_Wohlmanrodriguez@hud.gov 

and/or Ms. Brunson at 

Susan_S._Brunson@hud.gov. 

VIII. Other Information 

Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2528–

0198. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 59 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application semi-annual 

and final reports. The information will 

be used for grantee selection and 

monitoring the administration of funds. 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

Appendix A—Application Checklist—

HSIAC 

This checklist identifies application 

submission requirements. Applicants 

are requested to use this checklist when 

preparing an application to ensure 

submission of all required elements. 

Applicants submitting an electronic 

application do not have to submit the 

checklist. Applicants that receive a 

waiver of the electronic application 

submission requirement must include a 

copy of the checklist in their 

application. 

Check off to ensure these items have 

been included in the application: 

llSF–424 ‘‘Application For Federal 

Assistance’’


rwilkins on PROD1PC63 with NOTICES_2
11486 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

llApplication Checklist (Applicants 

that submit paper applications must 

include the checklist in their 

applications) 

llAbstract (must include no more 

than a two-page summary of the 

proposed project) 

Indicate the page number where each 

of the Factors is located: 

llNarrative Statement Addressing the 

Rating Factors. The narrative section of 

an application must not exceed 50 pages 

in length (excluding forms, budget 

narrative and abstract). This information 

must be submitted on 81⁄2 by 11-inch 

paper, double-spaced on one side of the 

paper, with one-inch margins (from the 

top, bottom, left, and right sides of the 

documents) and printed in standard 

Times New-Roman 12-point font. 

[Applicants that submit applications via 

Grants.gov should review the General 

Section for information about file names 

and extensions. File names should not 

contain spaces or special characters.] 

llFactor I 

llFactor II 

llFactor III 

llFactor IV 

llFactor V 

llHUD–96010 ‘‘Logic Model’’

Check off to ensure these items have 

been included in the application: 

llAppendix. The appendix section of 

an application must not exceed 15 pages 

in length (excluding forms, budget 

narrative and assurances). 

llBudget 

llGrant Application Detailed Budget 

(HUD–424–CB) (‘‘HUD Detailed Budget 

Form’’ on Grants.gov). 

llBudget Narrative (No form 

provided, but must be submitted for the 

total three-year grant period. 

Appendix B (All Required Forms) 

The following forms are required for 

submission. All required forms are 

contained in the electronic application 

package. 

llApplication for Federal Assistance 

(SF–424); 

llSurvey on Ensuring Equal 

Opportunity for Applicants (SF–424 

Supplement) (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

llDisclosure of Lobbying Activities 

(SF–LLL), if applicable; 

llGrant Application Detailed Budget 

(HUD–424–CB) (‘‘HUD Detailed Budget’’

on Grants.gov); 

llQuestionnaire for HUD’s Removal 

of Regulatory Barriers (HUD–27300) 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable; 

llApplicant Recipient Disclosure 

Update Report (HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

llCertification of Consistency with 

RC/EZ/EC–II Strategic Plan (HUD–

2990), if applicable; 

llCertification of Consistency with 

the Consolidated Plan (HUD–2991), if 

applicable; 

llAcknowledgement of Applicant 

Receipt (Only applicants who submit 

paper applications (HUD–2993); 

llYou Are Our Client! Grant 

Applicant Survey (HUD–2994–A); 

llThird Party Documentation 

Facsimile Transmittal (HUD–96011) 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov), to be used as the cover page 

to transmit third party documents via 

facsimile, if applicable (See General 

Section); and 

llLogic Model (HUD–96010) 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11487 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.008</GPH>
11488 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Alaska Native/Native Hawaiian 

Institutions Assisting Communities 

(AN/NHIAC) Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Policy Development and 

Research, Office of University 

Partnerships. 

B. Funding Opportunity Title: Alaska 

Native/Native Hawaiian Institutions 

Assisting Communities (AN/NHIAC) 

Program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Numbers: 

FR–5100–N–12; OMB Approval Number 

is 2528–0206. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: The CFDA 

Number for this program is 14.515. 

F. Dates: The application deadline 

date is May 23, 2007. Applications must 

be received and validated by Grants.gov 

by 11:59:59 p.m. eastern time on the 

deadline date. Please be sure to read the 

General Section for electronic 

application submission and receipt 

requirements. 

G. Additional Overview Content 

Information: 

1. Purpose of the Program. To assist 

Alaska Native/Native Hawaiian 

Institutions (AN/NHI) of higher 

education expand their role and 

effectiveness in addressing community 

development needs in their localities, 

including neighborhood revitalization, 

housing, and economic development, 

principally for persons of low and 

moderate income, consistent with the 

purposes of Title I of the Housing and 

Community Development Act of 1974, 

as amended. 

2. Award Information. In Fiscal Year 

(FY) 2007, approximately $2.9 million 

has been made available for this 

program by the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5; approved February 15, 2007) 

and an additional $36,048 in carryover 

funds. An applicant can request up to 

$800,000 for a three-year (36 months) 

grant performance period. 

3. Eligible Applicants. Nonprofit 

Alaska Native and Native Hawaiian 

Institutions of Higher Education that 

meet the definitions of Alaska Native 

and Native Hawaiian Institutions of 

Higher Education established in Title 

III, Part A, Section 317 of the Higher 

Education Act of 1965, as amended by 

the Higher Education Amendments of 

1998 (Pub. L. 105–244; enacted October 

7, 1998). Institutions are not required to 

be on the list of eligible AN/NHIs 

prepared by the U.S. Department of 

Education. However, an institution that 

is not on the list is required to provide 

a statement in the application that the 

institution meets the U.S. Department of 

Education’s statutory definition of an 

AN/NHI institution. In order to meet the 

definition of an Alaska Native 

Institution, at least 20 percent of the 

undergraduate headcount enrollment 

must be Alaska Native students. If an 

applicant is a Native Hawaiian 

institution, at least 10 percent of the 

undergraduate headcount enrollment 

must be Native Hawaiian students in 

order to meet this definition. In 

addition, all applicants must be a twoor four-year institution, fully accredited 

by a national or regional accrediting 

agency recognized by the U.S. 

Department of Education. If an 

applicant is one of several campuses of 

the same institution, the applicant may 

apply separately from the other 

campuses as long as the campus has a 

separate DUNS number, administrative 

structure and budget, and meets the 

enrollment requirements outlined 

above. 

Full Text of Announcement 

I. Funding Opportunity Description 

The purpose of the Alaska Native/ 

Native Hawaiian Institutions Assisting 

Communities (AN/NHIAC) Program is 

to assist Alaska Native/Native Hawaiian 

Institutions (AN/NHI) of higher 

education expand their role and 

effectiveness in addressing community 

development needs in their localities, 

including neighborhood revitalization, 

housing, and economic development, 

principally for persons of low and 

moderate income, consistent with the 

purposes of Title I of the Housing and 

Community Development Act of 1974, 

as amended. 

A. Authority 

HUD’s authority for making funding 

available under this NOFA is the 

Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007). This 

program is being implemented through 

this NOFA and the policies governing 

its operation are contained herein. 

B. Modifications 

Listed below are major modifications 

from the FY2006 program-funding 

announcement: 

1. Commitment letters, memoranda of 

understanding and/or agreements are 

not required to be submitted with the 

application but the originals must be on 

file at the time of application 

submission. HUD will require 

applicants chosen to proceed to the next 

step in the selection process to submit 

the signed commitment letters, 

memoranda of understanding and/or 

agreements outlined in the application 

within seven (7) calendar days after 

initial contact from the Office of 

University Partnerships (OUP). OUP 

will provide specific instructions on 

how these documents must be 

submitted at that time. HUD will only 

request and consider the resources/ 

organizations outlined in the 

application. If OUP does not receive 

those documents with the required 

information and within the allotted 

timeframe, an applicant will not receive 

points under this factor. 

2. The appendix section of an 

application must not exceed 15 pages in 

length (excluding forms, budget 

narrative and assurances). An applicant 

SHOULD NOT submit resumes, 

commitment letters, memoranda of 

understanding and/or agreements, or 

other back-up material. Each page must 

include the applicant’s name and 

should be numbered. HUD will not 

consider the information on any excess 

pages. 

3. Applicants must budget for travel 

costs to attend at least one HUD 

sponsored AN/NHIAC conference/ 

workshop every year of the three-year 

grant performance period. 

II. Award Information 

In Fiscal Year (FY) 2007, 

approximately $2.9 million is made 

available for this program with an 

additional $36,048 in carryover funds. 

HUD will award grants under this 

program to Alaska Native Institutions 

(ANI) and Native Hawaiian Institutions 

(NHI). An applicant can request up to 

$800,000 for a three-year (36 months) 

grant performance period. 

III. Eligibility Information 

A. Eligible Applicants 

Nonprofit Alaska Native and Native 

Hawaiian Institutions of Higher 

Education that meet the definitions of 

Alaska Native and Native Hawaiian 

Institutions of Higher Education 

established in Title III, Part A, Section 

317 of the Higher Education Act of 

1965, as amended by the Higher 

Education Amendments of 1998 (Pub. L. 

105–244; enacted October 7, 1998). 

Institutions are not required to be on the 

list of eligible AN/NHIs prepared by the 

U.S. Department of Education. However, 

an institution that is not on the list is 

required to provide a statement in the 

application that the institution meets 

the U.S. Department of Education’s 

statutory definition of an AN/NHI 

institution. In order to meet the 

definition of an Alaska Native 

Institution, at least 20 percent of the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11489 

undergraduate headcount enrollment 

must be Alaska Native students. If an 

applicant is a Native Hawaiian 

institution, at least 10 percent of the 

undergraduate headcount enrollment 

must be Native Hawaiian students in 

order to meet this definition. In 

addition, all applicants must be a twoor four-year institution, fully accredited 

by a national or regional accrediting 

agency recognized by the U.S. 

Department of Education. If an 

applicant is one of several campuses of 

the same institution, the applicant may 

apply separately from the other 

campuses as long as the campus has a 

separate DUNS number, administrative 

structure and budget, and meets the 

enrollment requirements outlined 

above. 

B. Cost Sharing or Matching 

None required. 

C. Other 

1. Eligible Activities: Eligible 

activities are listed in 24 CFR Part 570, 

subpart C, particularly § 570.201 

through § 570.206. Information 

regarding these activities can be found 

at: www.hudclips.org (click on the Code 

of Federal Regulations for detailed 

information). 

Eligible activities include, but are not 

limited to: 

a. Acquisition of real property; 

b. Clearance and demolition; 

c. Rehabilitation of residential 

structures and compliance with the 

accessibility requirements contained in 

Section 504 of the Rehabilitation Act of 

1973; 

d. Acquisition, construction, 

reconstruction, rehabilitation, or 

installation of public facilities and 

improvements, such as water and sewer 

facilities and streets; including leadbased paint hazard evaluation and 

reduction and compliance with the 

accessibility requirements contained in 

Section 504 of the Rehabilitation Act of 

1973 and Americans with Disabilities 

Act of 1990; 

e. Direct homeownership assistance to 

low- and moderate-income persons, as 

provided in section 105(a) (25) of the 

Housing and Community Development 

Act of 1974; 

f. Special economic development 

activities described at 24 CFR 570.203 

and assistance to facilitate economic 

development by providing technical or 

financial assistance for the 

establishment, stabilization, and 

expansion of microenterprises, 

including minority enterprises; 

g. Assistance to community-based 

development organizations (CBDO) to 

carry out neighborhood revitalization, 

community economic development, or 

energy conservation projects, in 

accordance with 24 CFR 570.204. This 

could include activities in support of a 

HUD-approved local entitlement 

grantee, CDBG Neighborhood 

Revitalization Strategy (NRS) or HUDapproved State CDBG Community 

Revitalization Strategy (CRS); 

h. Public service activities such as 

general support activities that can help 

to stabilize a neighborhood and 

contribute to sustainable redevelopment 

of the area, including but not limited to 

such activities as those concerned with 

employment, crime prevention, child 

care, health care services, drug abuse, 

education, housing counseling, energy 

conservation, homebuyer down 

payment assistance, establishing and 

maintaining Neighborhood Network 

centers in federally assisted or insured 

housing, job training and placement and 

recreational needs; 

i. Fair housing services designed to 

further the civil rights objectives of the 

Fair Housing Act (42 U.S.C. 3601–20) by 

making all persons, without regard to 

race, color, religion, sex, national origin, 

familial status, and/or disability aware 

of the range of housing opportunities 

available to them; 

j. Up to 20 percent of the grant may 

be used for payments of reasonable 

grant administrative costs related to 

planning and execution of the project 

(e.g., preparation/submission of HUD 

reports, etc.). Detailed explanations of 

these costs are provided in the OMB 

circulars that can be accessed at the 

White House Web site at: 

www.whitehouse.gov/omb/circulars/ 

index.html; and 

Each activity proposed for funding 

must meet the Community Development 

Block Grant (CDBG) program are listed 

in Rating Factor 3 in Section V.A.3 of 

this NOFA. 

Criteria for determining whether an 

activity addresses one or more of these 

objectives are provided at 24 CFR 

570.208. 

The CDBG publication entitled 

‘‘Community Development Block Grant 

Program Guide to National Objectives 

and Eligible Activities for Entitlement 

Communities’’ describes the CDBG 

regulations, and a copy can be obtained 

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

cpd/communitydevelopment/library/ 

deskguid.cfm, or from HUD’s NOFA 

Information Center at 800–HUD–8929. 

Individuals with hearing or speech 

impairments may access this number 

via the toll-free Federal Information 

Relay Service at 800–877–8339. 

2. Threshold Requirements 

Applicable to all Applicants. All 

applicants must comply with the 

threshold requirements as defined in the 

General Section and the requirements 

listed below. Applications that do not 

meet these requirements will be 

considered ineligible for funding and 

will be disqualified. 

a. The applicant must meet the 

eligibility requirements as defined in 

Section III.A 

b. The applicant may request up to 

$800,000. 

c. An applicant must have a separate 

DUNS number to receive HUD grant 

funds (See the General Section). Only 

one application can be submitted per 

campus. If multiple applications are 

submitted, all will be disqualified. 

However, different campuses of the 

same university system are eligible to 

apply as long as they have a separate 

DUNS number and an administrative 

and budgeting structure independent of 

the other campuses in the system. 

d. Institutions that received grants in 

FY2006 are not eligible to submit an 

application under this NOFA. 

e. Applicants must receive a 

minimum score of 75 points to be 

considered for funding. 

f. Electronic applications must be 

received and validated by Grants.gov no 

later than 11:59:59 p.m. eastern time on 

the application deadline date. 

3. Program Requirements. In addition 

to the program requirements listed in 

Section III.C of the General Section, 

applicants must meet the following 

program requirements: 

a. All funds awarded are for a threeyear (36 months) grant performance 

period. 

b. Applicants must ensure that not 

less than 51 percent of the aggregated 

expenditures of a grant award are used 

to benefit low- and moderate-income 

persons under the criteria specified in 

24 CFR 570.208(a) or 570.208(d)(5) or 

(6). 

c. Site Control. Where grant funds 

will be used for acquisition, 

rehabilitation, or new construction, an 

applicant must demonstrate site control. 

Funds may be recaptured or deobligated 

from recipients that cannot demonstrate 

control of a suitable site within one year 

after the initial notification of award. 

d. Environmental Requirements. 

Selection for award does not constitute 

approval of any proposed sites. 

Following selection for award, HUD will 

perform an environmental review of 

properties proposed for assistance in 

accordance with 24 CFR part 50. The 

results of the environmental review may 

require that proposed activities be 

modified or proposed sites be rejected. 

Applicants are particularly cautioned 

not to undertake or commit funds for 

acquisition or development of proposed 


rwilkins on PROD1PC63 with NOTICES_2
11490 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

properties prior to HUD approval of 

specific properties or areas. An 

application constitutes an assurance 

that the institution will assist HUD to 

comply with part 50; will supply HUD 

with all available and relevant 

information to perform an 

environmental review for each proposed 

property; will carry out mitigating 

measures required by HUD or select 

alternate property; and will not acquire, 

rehabilitate, convert, demolish, lease, 

repair, or construct property, and not 

commit or expend HUD or local funds 

for these program activities with respect 

to any eligible property until HUD’s 

written approval of the property is 

received. In supplying HUD with 

environmental information, applicants 

should use the same guidance as 

provided in the HUD Notice CPD–05–07 

entitled, ‘‘Field Environmental Review 

Processing for Rural Housing and 

Economic Development (RHED) grants’’

issued August 30, 2005. The General 

Section provides further discussion of 

the environmental requirements. 

Further information and assistance on 

HUD’s environmental requirements is 

available at: http://hudstage.hud.gov/ 

utilities/intercept.cfm?/offices/cpd/ 

lawsregs/notices/2005/05-07.pdf. 

e. Labor Standards. Institutions and 

their subgrantees, contractors, and 

subcontractors must comply with the 

labor standards (Davis-Bacon) 

requirements referenced in 24 CFR 

570.603. 

f. Economic Opportunities for Lowand Very-Low Income Persons (Section 

3). The provisions of Section 3 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701u) apply to this 

NOFA. One of the purposes of the 

assistance is to give, to the greatest 

extent feasible, and consistent with 

existing federal, state, and local laws 

and regulations, job training, 

employment, contracting and other 

economic opportunities to Section 3 

residents and Section 3 business 

concerns. Regulations are located at 24 

CFR Part 135. 

IV. Application and Submission 

Information 

A. Address To Request Application 

Package 

Applicants may download the 

instructions to the application found on 

the Grants.gov Web site at http:// 

www.Grants.gov./applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information you 

may call the Grants.gov Support Desk 

toll free 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

See the General Section for information 

regarding the registration process or ask 

for registration information from the 

Grants.gov Support Desk. 

B. Content and Form of Application 

Submission 

1. Forms. The following forms are 

required for submission. Copies of these 

forms are available on line at 

www.grants.gov/applicants/ 

apply_for_grans.jsp. 

a. SF–424, Application for Federal 

Assistance; 

b. SF–424 Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

c. HUD–424–CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov); 

d. SF–LLL, Disclosure of Lobbying 

Activities, if applicable; 

e. HUD–27300, Questionnaire for 

HUD’s Removal of Regulatory Barriers 

(‘‘HUD Communities Initiative’’ on 

Grants.gov), if applicable; 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

g. HUD–2990, Certification of 

Consistency with RC/EZ/EC–II Strategic 

Plan, if applicable; 

h. HUD–96010, Program Logic Model; 

i. HUD–2993, Acknowledgement of 

Applicant Receipt. Complete this form 

only if you have received a waiver to the 

electronic application submission 

requirement. Applicants submitting 

electronically are not required to 

include this form; 

j. HUD–2994–A, You Are Our Client 

Grant Applicant Survey. Applicants are 

not required to complete this form. 

k. HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). This form must be used as 

the cover page to transmit third party 

documents and other information. 

Applicants are advised to download the 

application package, complete the SF–

424 first and it will pre-populate the 

Transmittal Cover page. The Transmittal 

Cover page will contain a unique 

identifier embedded in the page that 

will help HUD associate your faxed 

materials to your application. Please 

download the cover page and then make 

multiple copies to provide to any of the 

entities responsible for submitting faxed 

materials to HUD on your behalf. Please 

do not use your own fax sheet. HUD 

will not read any faxes that are sent 

without the HUD–96011 fax transmittal 

cover page; and 

2. Certifications and Assurances. 

Please read the General Section for 

detailed information on all 

Certifications and Assurances. All 

applications submitted through 

Grants.gov constitute an 

acknowledgement and agreement to all 

required certifications and assurances. 

Please include in your application each 

item listed below. Applicants 

submitting paper copy applications 

should submit the application in the 

following order: 

a. SF–424, Application for Federal 

Assistance. Please remember the 

following: 

(1) The full grant amount requested 

from HUD (entire three years) should be 

entered, not the amount for just one 

year; 

(2) Include the name, title, address, 

telephone number, facsimile number, 

and e-mail address of the designated 

contact; this is the person who will 

receive all correspondence; therefore, 

please ensure the accuracy of the 

information; 

(3) The Employer Identification/Tax 

ID number; 

(4) The DUNS Number; 

(5) The Catalog of Federal Domestic 

Assistance Number for this program is 

14.515; 

(6) The project’s proposed start date 

and completion date. For the purpose of 

this application, the program start date 

should be December 1, 2007; and 

(7) The signature of the Authorized 

Organization Representative (AOR) 

who, by virtue of submitting an 

application via Grants.gov, has been 

authenticated by the credential provider 

to submit applications on behalf of the 

Institution and approved by the 

eBusiness Point of Contact to submit an 

application via Grants.gov. The AOR 

must be able to make a legally binding 

agreement with HUD. 

b. Application Checklist. Applicants 

should use the checklist to ensure that 

they have all the required components 

of their application. Applicants 

submitting an electronic application 

should not submit the checklist. 

Applicants that receive a waiver of the 

electronic application submission 

requirement must include a copy of the 

checklist in their application 

submission. The checklist can be 

located in Appendix A. 

c. Abstract. Applicants must include 

no more than a two-page summary of 

the proposed project. Please include the 

following: 

(1) A clear description of each 

proposed project activity, where it will 

take place (be located), the target 

population that will be assisted, and the 

impact this project is expected to have 

on the community and institution; 

(2) A statement that the institution is 

an eligible institution because it is a 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11491 

two-or four-year fully accredited 

institution, the name of the accrediting 

agency and an assurance that the 

accrediting agency is recognized by the 

U.S. Department of Education; 

(3) A statement that the institution 

meets the definition of an Alaska Native 

Institution, or a Native Hawaiian 

Institution, as appropriate; 

(4) The designated contact person, 

including phone number, facsimile 

number, and e-mail address. (This is the 

person who will receive all 

correspondence; therefore, please 

ensure the accuracy of the information.); 

(5) The project director, if different 

from the designated contact person, for 

the project, including phone number, 

facsimile number, and e-mail address. 

d. Narrative statement addressing the 

Rating Factors. HUD will use the 

narrative response to the ‘‘Rating 

Factors’’ to evaluate, rate, and rank 

applications. The narrative statement is 

the main source of information. 

Applicants are advised to review each 

factor carefully for program specific 

requirements. The response to each 

factor should be concise and contain 

only information relevant to the factor, 

yet detailed enough to address each 

factor fully. PLEASE DO NOT REPEAT 

MATERIAL IN RESPONSE TO THE 

FIVE FACTORS; INSTEAD, FOCUS ON 

HOW WELL THE PROPOSAL 

RESPONDS TO EACH OF THE 

FACTORS. Where there are subfactors, 

each subfactor must be presented 

separately, with the short title of the 

subfactor presented. Make sure to 

address each subfactor and provide 

sufficient information about every 

element of the subfactor. The narrative 

section of an application must not 

exceed 50 pages in length (excluding 

forms, budget narrative, assurances, and 

abstract) and must be submitted on 81⁄2

by 11-inch paper, double-spaced on one 

side of the paper, with one inch margins 

(from the top, bottom and left to right 

side of the document) and printed in 

standard Times New Roman 12-point 

font. Each page of the narrative must 

include the applicant’s name and 

should be numbered. Note that although 

submitting pages in excess of the page 

limit will not disqualify an applicant, 

HUD will not consider the information 

on any excess pages. This exclusion 

may result in a lower score or failure to 

meet a threshold requirement. All 

applicants submitting electronic 

applications must attach their narrative 

responses to Rating Factors 1–5 as one 

attachment. PLEASE DO NOT ATTACH 

YOUR RESPONSE TO EACH FACTOR 

SEPARATELY. Please follow the 

instructions on file extension and file 

names in the General Section. 

e. Budget. The budget submission 

must include the following: 

(1) HUD–424–CB, ‘‘Grant Application 

Detailed Budget.’’ This form shows the 

total budget by year and by line item for 

the program activities to be carried out 

with the proposed HUD grant. Each year 

of the program should be presented 

separately. Applicants must also budget 

for travel cost (airfare, lodging and per 

diem) for two individuals to attend at 

least one HUD sponsored AN/NHIAC 

conference/workshop every year of the 

three-year grant performance period. To 

calculate travel expenses, applicants 

should use Washington, DC as the site 

of all conferences/workshops. 

Applicants must also submit this form 

to reflect the total cost for the entire 

grant performance period (Grand Total). 

Make sure that the amounts shown on 

the SF–424, the HUD–424–CB and on 

all other required program forms are 

consistent and the budget totals are 

correct. Remember to check addition in 

totaling the categories on all forms so 

that all items are included in the total. 

If there is any inconsistency between 

any of the required budget forms, the 

HUD–424–CB will be used. All budget 

forms must be fully completed. If an 

application is selected for award, the 

applicant may be required to provide 

greater specificity to the budget during 

grant agreement negotiations. 

(2) Budget Narrative. A narrative must 

be submitted that explains how the 

applicant arrived at the cost estimates 

for any line item over $5,000 

cumulative. For example, an applicant 

proposes to construct a building using 

HUD funding totaling $200,000. The 

following costs estimate reflects this 

total. Foundation cost $75,000, 

electrical work $40,000, plumbing work 

$40,000, finishing work $35,000, and 

landscaping $10,000. The proposed cost 

estimates should be reasonable for the 

work to be performed and consistent 

with rates established for the level of 

expertise required to perform the work 

proposed in the geographical area. 

When necessary, quotes from various 

vendors or historical data should be 

used (please make sure they are kept on 

file and are available for review by HUD 

at any time). When an applicant 

proposes to use a consultant, the 

applicant must indicate whether there is 

a formal written agreement. For each 

consultant, please provide the name, if 

known, hourly or daily rate, and the 

estimated time on the project. 

Applicants must use cost estimates 

based on historical data from the 

institution and/or from a qualified firm 

(e.g., Architectural or Engineering firm), 

vendor, and/or qualified individual 

(e.g., independent architect or 

contractor) other than the institution for 

projects that involve rehabilitation of 

residential, commercial and/or 

industrial structures, and/or acquisition, 

construction, or installation of public 

facilities, and improvements. Such an 

entity must be involved in the business 

of housing rehabilitation, construction, 

and/or management. Equipment and 

contracts cannot be presented as a total 

estimated cost. For equipment, 

applicants must provide a list by type 

and cost for each item. Applicants using 

contracts must provide an individual 

description and cost estimate for each 

contract. Construction costs must be 

broken down to indicate how funds will 

be utilized (e.g., demolition, foundation, 

exterior walls, roofing, electrical work, 

plumbing, finishing work, etc.) 

(3) Indirect costs. Indirect costs, if 

applicable, are allowable based on an 

established approved indirect cost rate. 

Applicants must have on file, and 

submit to HUD if selected for award, a 

copy of their indirect cost rate 

agreement. Applicants who are selected 

for funding that do not have an 

approved indirect cost rate agreement, 

established by the cognizant federal 

agency, will be required to establish a 

rate. In such cases, HUD will issue an 

award with a provisional rate and assist 

applicants with the process of 

establishing a final rate. 

f. Appendix. Applicants receiving a 

waiver of the electronic submission 

requirements and submitting a paper 

copy of the application must place all 

required forms in this section. The 

appendix section of the an application 

must not exceed 15 pages in length 

(excluding forms, budget narrative and 

assurances) An applicant SHOULD NOT 

submit resumes, commitment letters, 

memoranda of understanding and/or 

agreements, or other back-up materials. 

If this information is included, it will 

not be considered during the review 

process. Each page must include the 

applicant’s name and should be 

numbered. HUD will not consider the 

information on any excess pages. The 

additional items will also slow the 

transmission of your application. 

C. Submission Dates and Times 

A complete application package must 

be received and validated electronically 

by the Grants.gov portal no later than 

11:59:59 p.m. eastern time on or before 

the application deadline date. In an 

effort to address any issues with 

transmission of your applications, 

applicants are strongly encouraged to 

submit their applications at least 48 to 

72 hours prior to the application 

deadline. This will allow an applicant 

enough time to make the necessary 


rwilkins on PROD1PC63 with NOTICES_2
11492 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

adjustments to meet the submission 

deadline in the event Grants.gov rejects 

the application. Please see the General 

Section for further instructions. 

Electronic faxes using the Facsimile 

Transmittal Cover Sheet (Form HUD–

96011) contained in the electronic 

application must be received no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. 

D. Intergovernmental Review 

This program is excluded from an 

Intergovernmental Review. 

E. Funding Restrictions 

Ineligible CDBG Activities are listed 

at 24 CFR 570.207. Ineligible activities 

include but are not limited to: 

1. New construction of public 

housing; 

2. General government expenses; 

3. Political activities; 

4. Planning and administrative 

activities that would result in a grantee 

exceeding the 20 percent cost 

limitations (e.g., preparation/submission 

of HUD reports); 

5. Development and/or expansion of 

an institution’s existing curriculum 

when it is primarily to enhance the 

institution rather than to achieve the 

specific goals/objectives of the proposed 

project; and 

6. Construction, renovation, 

expansion of an institution’s own 

facilities. 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedure. Please read the 

General Section carefully and 

completely for the submission and 

receipt procedures for all applications 

because failure to comply may 

disqualify your application. 

2. Waiver of Electronic Submission 

Requirements. Applicants should 

submit their waiver requests in writing 

using e-mail or fax. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be submitted to: 

Susan Brunson, Office of University 

Partnerships, E-mail: 

Susan_S._Brunson@hud.gov, FAX: (202) 

708–0309. 

Paper applications will not be 

accepted from applicants that have not 

been granted a waiver. If an applicant is 

granted a waiver, the Office of 

University Partnerships will provide 

instructions for submission. All 

applicants submitting applications in 

paper format must have received a 

waiver to the electronic application 

submission requirement and the 

application must be received by HUD on 

or before the application deadline date. 

V. Application Review Information 

A. Criteria 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Experience (25 

Points) 

This factor addresses the extent to 

which the applicant has the resources 

necessary to successfully implement the 

proposed project in a timely manner. 

a. Knowledge and Experience. For 

First Time Applicants (25 Points) For 

Previously Funded Applicants (13 

Points). In rating this subfactor, HUD 

will consider the extent to which the 

applicant clearly addresses the 

following: 

(1) Describe the knowledge and 

experience of the proposed project 

director and staff, including the day-today program manager/coordinator, 

consultants (including technical 

assistance providers), and contractors in 

planning and managing the type of 

project for which funding is being 

requested; and 

(2) Clearly identify the following: key 

project team members, titles (e.g., 

project manager/coordinator, etc.), 

respective roles for the project staff, and 

a brief description of their relevant 

experience. 

If key personnel have not been hired, 

applicants must identify the position 

title, provide a description of duties and 

responsibilities, and describe the 

qualifications to be considered in the 

selection of personnel, including 

subcontractors and consultants. 

Experience will be judged in terms of 

recent and relevant knowledge and 

skills of the staff to undertake eligible 

program activities. HUD will consider 

experience within the last five (5) years 

to be recent and experience pertaining 

to similar activities to be relevant. 

b. Past Performance (12 Points) For 

Previously Funded Applicants Only. 

This subfactor will evaluate how well 

an applicant has performed successfully 

under HUD/AN/NHIAC grants. 

Applicants must demonstrate this by 

addressing the following information for 

all previously completed and open 

HUD/AN/NHIAC grants: 

(1) A list of all HUD/AN/NHIAC 

grants received, including the dollar 

amount awarded and the amount 

expended and obligated as of the date of 

this application; 

(2) A description of the achievement 

of specific tasks, measurable objectives, 

and specific outcomes consistent with 

the approved project management plan; 

(3) A list detailing the date the 

project(s) was completed, was it 

completed in the original three-year 

grant performance period; if not 

completed, why (including when it was 

or will be completed); 

(4) A comparison of the amount of 

proposed leveraged funds and/or 

resources to the amount that was 

actually leveraged; and 

(5) A detailed description of 

compliance with all reporting 

requirements, including timeliness of 

submission, whether reports were 

complete and addressed all information 

(both narrative and financial) as 

required by the grant agreement. 

HUD will also review an applicant’s 

past performance in managing funds, 

including, but not limited to: The ability 

to account for funding appropriately; 

timely use of funds received from HUD; 

meeting performance targets for 

completion of activities. In evaluating 

past performance, HUD reserves the 

right to deduct up to five (5) points from 

this rating score as a result of the 

information obtained from HUD’s 

records (i.e., progress and financial 

reports, monitoring reports, Logic Model 

submissions, and amendments). 

2. Rating Factor 2: Need/Extent of the 

Problem (10 Points) 

This factor addresses the extent to 

which there is a need for funding the 

proposed program activities and an 

indication of the importance of meeting 

the need(s) in the target area. The 

need(s) described must be relevant to 

the activities for which funds are being 

requested. In addressing this factor, 

applicants should provide, at a 

minimum, the following and must cite 

statistics and/or analyses contained in at 

least one or more current data sources 

that are sound and reliable. 

(1) Describe the need(s); and 

(2) Describe the importance of 

meeting the proposed needs. 

In rating this factor, HUD will 

consider only current data that is 

specific to the area where the proposed 

project activities will be carried out. 

Sources for localized data can be found 

at: www.ffiec.gov. 

HUD will consider data collected 

within the last five (5) years to be 

current. To the extent that the targeted 

community’s Five (5) Year Consolidated 

Plan and Analysis of Impediments to 

Fair Housing Choice (AI) identify the 

level of the problem and the urgency in 

meeting the need, applicants should 

include references to these documents 

in the response to this factor. 

Other reliable data sources include, 

but are not limited to, Census reports, 

HUD Continuum of Care gap analysis 

and its E-MAP (http://www.hud.gov/ 

emaps), law enforcement agency crime 

reports, Public Housing Agencies’

Comprehensive Plans, community 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11493 

needs analyses such as provided by the 

United Way, the applicant’s institution, 

and other sound, reliable and 

appropriate sources. Needs in terms of 

fulfilling court orders or consent 

decrees, settlements, conciliation 

agreements, and voluntary compliance 

agreements may also be addressed. 

3. Rating Factor 3: Soundness of 

Approach (44 Points) 

This factor addresses the quality and 

effectiveness of the proposed work plan 

and the commitment of the institution 

to sustain the proposed project 

activities. 

a. (37 Points) Quality of the Work 

Plan. This subfactor will be evaluated 

on the extent to which an applicant 

provides a clear detailed description of 

the proposed project activities, 

anticipated accomplishments and the 

impact they will have on the target 

population at the end of the project. 

(1) (32 Points) Specific Activities. The 

work plan must describe all proposed 

project activities and major tasks 

required to successfully implement 

them. The work plan must also identify 

the anticipated accomplishment and 

impact these activities will have on the 

target population. In addressing this 

subfactor applicants must provide a 

clear description of each proposed 

activity and address the following: 

(a) Describe each proposed project 

activity in measurable terms (e.g., the 

number of homes that will be renovated, 

the number of jobs created, etc.); 

(b) List and describe how each 

activity meets one of the following 

Community Development Block Grant 

(CDBG) Program national objectives: 

• Benefit low- and moderate-income 

person; 

• Aid in the prevention or 

elimination of slums or blight; or 

• Meet other community 

development needs having a particular 

urgency because existing conditions 

pose a serious and immediate threat to 

the health and welfare of the 

community, and other financial 

resources are not available to meet such 

needs. 

Criteria for determining whether an 

activity addresses one or more 

objectives are provided at 24 CFR 

570.208; 

(c) Describe the measurable outcomes 

that will be realized as a result of 

implementing each activity (by the end 

of the grant period) will have or expect 

to have on the target population; 

(d) Identify the major tasks required 

(in sequential order) to successfully 

implement and complete each proposed 

project activity. Include the target 

completion dates for these tasks (in 6 

month intervals, up to 36 months); 

(e) Identify key staff, as described in 

Factor 1, who will be responsible and 

accountable for completing each task; 

and 

(f) Describe how the project director 

will work with partners and citizens to 

accomplish the proposed project 

activities. 

(2) (5 Points) Describe clearly how 

each proposed activity will: 

(a) Expands the role of the institution 

in the community; 

(b) Address the needs identified in 

Factor 2; 

(c) Relate to and not duplicate other 

activities in the target area. Duplicative 

efforts will be acceptable only if an 

applicant can demonstrate through 

documentation that there is a 

population in need that is not being 

served; and 

(d) Involve citizens of the target area 

in the planning and implementation of 

the proposed project activity (e.g., 

development of an advisory committee 

that is representative of the target 

community). 

b. (3 Points) Involvement of the 

faculty and students. The applicant 

must describe how it proposes to 

integrate the institution’s students and 

faculty into the proposed project 

activities. 

c. (2 Points) HUD Policy Priorities. As 

described in the General Section, to earn 

points under this subfactor, HUD 

requires applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

and that help the Department achieve its 

goals and objectives in FY2008, when 

the majority of grant recipients will be 

reporting programmatic results and 

achievements. In rating this subfactor, 

HUD will evaluate the extent to which 

a program will further and support 

HUD’s priorities. The quality of the 

responses provided to one or more of 

HUD’s priorities will determine the 

score an applicant can receive. 

Applicants must describe how each 

policy priority selected will be 

addressed. Applicants that just list a 

priority will receive no points. 

The total number of points an 

applicant can receive under this 

subfactor is two (2). Each policy priority 

addressed has a point value of one (1) 

point with the exception of the policy 

priority to remove regulatory barriers to 

affordable housing, which has a point 

value of up to two (2) points. To receive 

these two (2) points, an applicant must: 

(1) complete either Part A or Part B (not 

both), (2) include appropriate 

documentation, (3) identify a point of 

contact, (4) indicate how this priority 

will be addressed and (5) submit the 

completed questionnaire, (HUD–27300) 

‘‘HUD’s Initiative on Removal of 

Regulatory Barriers’’ found in the 

General Section along with required 

documentation. It is up to the applicant 

to determine which of the policy 

priorities they elect to address to receive 

the available two (2) points. 

d. (2 Points) Economic Opportunities 

for Low- and Very-Low Income Persons 

(Provision of Section 3). This subfactor 

will be evaluated on the extent to which 

an applicant describes how it proposes 

to: 

(1) Provide opportunities to train and 

employ Section 3 residents; and/or 

(2) Award contracts to Section 3 

contractors (See the regulations at 24 

CFR). 

Regulations regarding the provision of 

Section 3 of the Housing and Urban 

Development Act of 1968 (12 U.S.C. 

1701u) can be located at 24 CFR Part 

135. 

4. Rating Factor 4: Leveraging Resources 

(9 Points) 

This factor addresses the ability of the 

applicant to secure resources and 

develop partnerships that can be 

combined with HUD’s grant funds to 

achieve the program’s purpose. 

HUD will consider the extent to 

which the applicant established 

partnerships with other entities to 

secure additional resources to increase 

the effectiveness of the proposed project 

activities. Resources may include 

funding or in-kind contributions, such 

as services or equipment, allocated for 

the purpose(s) of the project activities. 

Resources may be provided by 

governmental entities, public or private 

nonprofit organizations, for-profit 

private organizations, or other entities. 

Applicants may also establish 

partnerships with other program 

funding recipients to coordinate the use 

of resources in the target area. Overhead 

and other institutional costs (e.g., 

salaries, indirect costs, etc.) that the 

institution has waived may be counted. 

Examples of potential sources for 

outside assistance include: 

• Federal, state, and local 

governments 

• Public Housing Agencies 

• Local or national nonprofit 

organizations 

• Financial institutions and/or 

private businesses 

• Foundations 

• Faith-based and other communitybased organizations. 

To address this factor, an applicant 

must provide an outline in the 

application and have the original 

commitment letters, memoranda of 


rwilkins on PROD1PC63 with NOTICES_2
11494 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

understanding and/or agreements that 

show the extent and firm commitment 

of all proposed leveraged resources 

(including any commitment of resources 

from the applicant’s own institution) 

that address the following information 

for each leveraged resource/fund on file 

at the time of application submission: 

(1) The name of the organization and 

the executive officer authorizing the 

funds/goods and/or services (only 

applicable to the narrative section); 

(2) The cash amount contributed or 

dollar value of the in-kind goods and/ 

or services committed (If a dollar 

amount and its use is not shown, the 

value of the contribution will not be 

scored for award); 

(3) A specific description of how each 

contribution is to be used toward the 

proposed activities; 

(4) A description of the current and/ 

or past working relationship that the 

institution has with the organization 

contributing the resources and the 

involvement they will have with this 

proposed project. 

(5) The date the contribution will be 

made available and a statement that 

describes the duration of the 

contribution; 

(6) Any terms or conditions affecting 

the commitment, other than receipt of a 

HUD Grant; and 

(7) The signature of the appropriate 

executive officer authorized to commit 

the funds and/or goods and/or services. 

(Only applicable to the written 

documentation) Please remember that 

only items eligible for funding under 

this program can be counted. 

Do not submit commitment letters, 

memoranda of understanding and/or 

agreements at the time of application 

submission but have the originals on file 

at the time of submission. IF THIS 

INFORMATION IS INCLUDED, IT WILL 

NOT BE CONSIDERED DURING THE 

REVIEW PROCESS. Applicants chosen 

to proceed to the next step in the 

selection process for award will be 

required to submit the signed 

commitment letters, memoranda of 

understanding and/or agreements 

outlined in the application, within 

seven (7) calendar days after initial 

contact from the Office of University 

Partnerships (OUP). Letters, memoranda 

of understanding, or agreements must be 

submitted on the provider’s letterhead 

and should be addressed to Sherone 

Ivey, Associate Deputy Assistant 

Secretary for University Partnerships. 

The date of the letter, memorandum of 

understanding, or agreement from the 

CEO of the provider organization must 

be dated no earlier than nine months 

prior to this published NOFA. OUP will 

provide specific instructions on how 

these documents must be submitted 

when contact is made with the 

applicant. HUD will only request and 

consider the resources/organizations 

that are listed in the outline submitted 

in the application. If OUP does not 

receive those documents with the 

required information and within the 

allotted timeframe, an applicant will not 

receive points under this factor. 

In scoring this factor, HUD will 

award: 

• Nine (9) points to an applicant that 

provides properly documented 

leveraging resources as listed in their 

application that are 15 percent or more 

of the amount requested under this 

program; 

• Seven (7) to eight (8) points to 

applicants that provide documentation 

that includes at least five of the seven 

required items outlined above and that 

represents 10 to 14 percent of the 

amount requested under this program; 

• Five (5) to six (6) points to 

applicants that provide documentation 

that includes at least four of the seven 

required items outlined above and that 

represents 10 to 14 percent of the 

amount requested under this program; 

• Three (3) to four (4) points to 

applicants that provide documentation 

that includes at least five of the seven 

required items outlined above and that 

represents 5 to 9 percent of the amount 

requested under this program; 

• One (1) to two (2) points to 

applicants that provide documentation 

that includes at least three of the seven 

required items outlined above and that 

represents 5 to 9 percent of the amount 

requested under this program; and 

• Zero (0) points to applicants that 

provide documentation of leveraging 

resources as listed above that are less 

than 5 percent of the amount requested. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (12 Points) 

This factor reflects HUD’s goal to 

embrace high standards of management 

and accountability. It measures the 

applicant’s commitment to assess their 

performance to achieve the program’s 

proposed objectives and goals. 

Applicants are required to develop an 

effective, quantifiable, outcome oriented 

evaluation plan for measuring 

performance and determining that 

objectives and goals have been achieved 

by using the Logic Model. The Logic 

Model is a summary of the narrative 

statements presented in Factors 1–4. 

Therefore, the information submitted on 

the Logic Model should be consistent 

with the information contained in the 

narrative statements. 

‘‘Outcomes’’ are benefits accruing to 

institutions of higher education and/or 

communities during or after 

participation in the AN/NHIAC 

program. Applicants must clearly 

identify the outcomes to be measured 

and achieved. Examples of outcomes 

include increased community 

development in the target community 

by a certain percentage, increased 

employment opportunities in the target 

community by a certain percentage, 

increased incomes/wages or other assets 

for persons trained, and or enhanced 

family stability through the creation of 

affordable housing opportunities. 

In addition, applicants must establish 

interim benchmarks and outputs that 

lead to the ultimate achievement of 

outcomes. ‘‘Outputs’’ are the direct 

products of the program’s activities. 

Examples of outputs are the number of 

new affordable housing units, the 

number of homes that have been 

renovated, and the number of facilities 

that have been constructed or 

rehabilitated. Outputs should produce 

outcomes for the program. At a 

minimum, an applicant must address 

the following activities in the evaluation 

plan: 

a. Measurable outputs to be 

accomplished (e.g., the number of 

persons to be trained and employed; 

houses to be built pursuant to 24 CFR 

570.207 or rehabilitated; minorityowned businesses to be started); 

b. Measurable outcomes the grant will 

have on the community in general and 

the target area or population; and 

c. The impact the grant will have on 

assisting the university to obtain 

additional resources to continue this 

type of work at the end of the grant 

performance period. 

The information must be placed on a 

HUD–96010, Program Logic Model 

form. HUD has developed a new 

approach to completing this form. 

Please carefully read the General 

Section for instructions, training is 

available. (Form HUD–96010 will be 

excluded from the page count.) If an 

applicant utilizes ‘‘other’’ from the 

Logic Model categories, then the 

applicant should describe briefly this 

‘‘other’’ category within the Rating 

Factor 5 narrative. If a narrative is 

provided, those pages will be included 

in the page count. 

B. Review and Selection Process 

1. Application Selection Process 

Two types of reviews will be 

conducted: 

a. A threshold review to determine an 

applicant’s basic eligibility; and 

b. A technical review for all 

applications that pass the threshold 

review to rate and rank the application 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11495 

based on the ‘‘Rating Factors’’ listed in 

Section V.A. 

Only those applications that pass the 

threshold review will receive a 

technical review and be rated and 

ranked. 

2. Rating Panels 

To review and rate applications, HUD 

may establish panels, which may 

include experts or consultants not 

currently employed by HUD to obtain 

certain expertise. 

3. Ranking 

HUD will fund applications in rank 

order, until all available program funds 

are awarded. In order to be considered 

for funding, an applicant must receive a 

minimum score of 75 points out of a 

possible 100 points for Factors 1 

through 5, plus up to two bonus points 

that may be awarded for activities 

conducted in the RC/EZ/EC–II 

communities, as described in the 

General Section. If two or more 

applications have the same number of 

points, the application with the most 

points for Factor 3 shall be selected. If 

there is still a tie, the application with 

the most points for Factor 1 shall be 

selected. If there is still a tie, the 

application with the most points for 

Factors 2, 4 and then 5 shall be selected, 

in that order, until the tie is broken. 

HUD reserves the right to make 

selections out of rank order to provide 

for geographic distribution of grantees. 

HUD also reserves the right to reduce 

the amount of funding requested in 

order to fund as many highly ranked 

applications as possible. Additionally, if 

funds remain after funding the highest 

ranked applications, HUD may fund 

part of the next highest-ranking 

application. If an applicant turns down 

an award offer, HUD will make an 

award to the next highest-ranking 

application. If funds remain after all 

selections have been made, the 

remaining funds will be carried over to 

the next funding cycle’s competition. 

4. Correction to Deficient Applications 

See the General Section. 

C. Anticipated Announcement and 

Award Dates 

Announcements of awards are 

anticipated on or before September 30, 

2007. 

VI. Award Administration Information 

A. Award Notices 

After all selections have been made, 

HUD will notify all winning applicants 

in writing. HUD may require winning 

applicants to participate in additional 

negotiations before receiving an official 

award. For further discussion on this 

matter, please refer to the General 

Section. 

B. Administrative and National Policy 

Requirements 

Refer to the General Section. 

1. Debriefing. The General Section 

provides the procedures for requesting a 

debriefing. All requests for debriefings 

must be made in writing to: Sherone 

Ivey, Office of University Partnerships, 

Department of Housing and Urban 

Development; 451 Seventh Street, SW., 

Room 8106; Washington, DC 20410–

6000. Applicants may also write to Ms. 

Ivey via e-mail at 

Sherone_E._Ivey@hud.gov. 

2. Administrative. Grants awarded 

under this NOFA will be governed by 

the provisions of 24 CFR part 84 (Grants 

and Agreements with Institutions of 

Higher Education, Hospitals and Other 

Non-Profit Organizations), A–21 (Cost 

Principles for Educational Institutions) 

and A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations). Applicants can access 

the OMB circulars at the White House 

Web site at: www.whitehouse.gov/omb/ 

circulars/index.html. 

3. OMB Circulars and Governmentwide Regulations Applicable to 

Financial Assistance Programs. The 

General Section provides further 

discussion. 

4. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors Labor Relations 

on Federal and Federally Funded 

Construction Projects. See the General 

Section for further discussion. 

5. Procurement of Recovered 

Materials. See Section the General 

Section for further discussion. 

6. Executive Order 13166, Improving 

Access to Services For Persons With 

Limited English Proficiency (LEP). See 

the General Section for further 

discussion. 

7. Code of Conduct. See the General 

Section for further discussion. 

C. Reporting 

All grant recipients under this NOFA 

are required to submit quarterly 

progress reports. 

The progress reports shall consist of 

two components, a narrative that must 

reflect the activities undertaken during 

the reporting period and a financial 

report that reflects costs incurred by 

budget line item, as well as a 

cumulative summary of cost incurred 

during the reporting period. 

For each reporting period, as part of 

the required report to HUD, grant 

recipients must include a completed 

Logic Model form (HUD–96010), which 

identifies output and outcome 

achievements. 

For FY2007, HUD is considering a 

new concept for the Logic Model. The 

new concept is a Return on Investment 

(ROI) statement. HUD will be publishing 

a separate notice on the ROI concept. 

VII. Agency Contacts 

Applicants may contact Sherone Ivey 

at (202) 708–3061, extension 4200 or 

Susan Brunson at (202) 708–3061, 

extension 3852. Persons with speech or 

hearing impairments may call the 

Federal Information Relay Service TTY 

at (800) 877–8339. Except for the ‘‘800’’

number, these numbers are not toll-free. 

Applicants may also reach Ms. Ivey via 

e-mail at Sherone_E._Ivey@hud.gov, 

and/or Ms. Brunson at 

Susan_S._Brunson@hud.gov. 

VIII. Other Information: Paperwork 

Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2528–

0206. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 59 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, quarterly, 

and final reports. The information will 

be used for grantee selection and 

monitoring the administration of funds. 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

Appendix A—Application Checklist—

AN/NHIAC 

This checklist identifies application 

submission requirements. Applicants 

are requested to use this checklist when 

preparing an application to ensure 

submission of all required elements. 

Applicants submitting an electronic 

application do not have to submit the 

checklist. Applicants that receive a 

waiver of the electronic application 

submission requirement should include 

a copy of the checklist in their 

application. 

Check off to ensure these items have 

been included in the application: 


rwilkins on PROD1PC63 with NOTICES_2
11496 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

llSF–424 ‘‘Application for Federal 

Assistance’’

llApplication Checklist (Applicants 

that submit paper applications must 

include the checklist in their 

applications) 

llAbstract (must include no more 

than a two-page summary of the 

proposed project) 

Indicate the page number where each 

of the llFactors is located: 

llNarrative Statement Addressing the 

Rating Factors. The narrative section of 

an application must not exceed 50 pages 

in length (excluding forms, budget 

narrative and abstract). This information 

must be submitted on 81⁄2 by 11-inch 

paper, double-spaced on one side of the 

paper, with one-inch margins (from the 

top, bottom, left, and right sides of the 

documents) and printed in standard 

Times New-Roman 12-point font. 

[Applicants that submit applications via 

Grants.gov should review the General 

Section for information about file names 

and extensions. 

File names should not contain spaces 

or special characters. 

llFactor I 

llFactor II 

llFactor III 

llFactor IV 

llFactor V 

ll HUD–96010 ‘‘Logic Model’’

Check off to ensure these items have 

been included in the application: 

llAppendix. The appendix section of 

an application must not exceed 15 pages 

in length (excluding forms, budget 

narrative and assurances). 

llBudget 

llHUD–424–CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov) 

llBudget Narrative (No form 

provided, but must be submitted for the 

total three-year grant period) 

Appendix B (All Required Forms) 

The following forms are required for 

submission. All required forms are 

contained in the electronic application 

package. 

llApplication for Federal Assistance 

(SF–424) 

llSupplement, Survey on Ensuring 

Equal Opportunities for Applicants (SF–

424 Supplement) (‘‘Faith Based EEO 

Survey (SF–424 SUPP)’’ on Grants.gov) 

llDisclosure of Lobbying Activities 

(SF–LLL) 

llQuestionnaire for HUD’s Removal 

of Regulatory Barriers (HUD–27300) 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable 

llApplicant/Recipient Disclosure 

Update Report (HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

llAcknowledgement of Applicant 

Receipt (Only applicants who submit 

paper applications (HUD–2993) 

llYou Are Our Client Grant Applicant 

Survey (HUD–2994–A) 

llThird Party Documentation 

Facsimile Transmittal (HUD–96011) 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov), if applicable 

llLogic Model (HUD–96010) 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11497 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.009</GPH>
11498 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Tribal Colleges and Universities 

Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Policy Development and 

Research, Office of University 

Partnerships. 

B. Funding Opportunity Title: Tribal 

Colleges and Universities Program 

(TCUP). 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Numbers: 

FR–5100–N–11; OMB Approval 

Number: 2528–0215. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: The CFDA 

Number for this program is 14.519. 

F. Dates: The application deadline 

date is May 23, 2007. Applications must 

be received and validated by Grants.gov 

by 11:59:59 p.m. eastern time on the 

deadline date. Please be sure to read the 

General Section for electronic 

application submission and receipt 

requirements. 

G. Additional Overview Content 

Information: 

1. Purpose of the Program. To assist 

Tribal Colleges and Universities (TCU) 

to build, expand, renovate, and equip 

their own facilities, and to expand the 

role of the TCUs into the community 

through the provision of needed 

services such as health programs, job 

training, and economic development 

activities. 

2. Award Information: In Fiscal Year 

(FY) 2007, approximately $2.5 million 

has been made available for this 

program by the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5; approved February 15, 2007), 

and approximately $217,190 in 

carryover funds has been made 

available. An applicant can request up 

to $600,000 for a three-year (36 months) 

grant performance period. 

3. Eligible Applicants: Tribal Colleges 

and Universities that meet the definition 

of a TCU established in Title III of the 

1998 Amendments to the Higher 

Education Act of 1965 (Pub. L. 105–244, 

approved October 7, 1998). Applicants 

must be a two- or four-year, fully 

accredited institution or provide a 

statement in the abstract of the 

application that states the institution is 

a candidate for accreditation by a 

regional institutional accrediting 

association recognized by the U.S. 

Department of Education. If an 

applicant is one of several campuses of 

the same institution, the applicant may 

apply separately from the other 

campuses as long as the campus has a 

separate DUNS number, administrative 

structure and budget, and meets the 

definition of a TCU outlined above. 

Full Text of Announcement 

I. Funding Opportunity Description 

The purpose of this program is to 

assist Tribal Colleges and Universities 

(TCU) to build, expand, renovate, and 

equip their own facilities, and to expand 

the role of the TCUs into the community 

through the provision of needed 

services such as health programs, job 

training, and economic development 

activities. 

A. Authority 

HUD’s authority for making funding 

available under this NOFA is the 

Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007). This 

program is being implemented through 

this NOFA and the policies governing 

its operation are contained herein. 

B. Modifications 

Listed below are major modifications 

from the Fiscal Year (FY) 2006 programfunding announcement. 

1. Commitment letters, memoranda of 

understanding and/or agreements are 

not required to be submitted with the 

application, but the originals must be on 

file at the time of application 

submission. HUD will require 

applicants chosen to proceed to the next 

step in the selection process to submit 

the signed commitment letters, 

memoranda of understanding and/or 

agreements outlined in the application, 

within seven (7) calendar days after 

initial contact from the Office of 

University Partnerships (OUP). OUP 

will provide specific instructions on 

how these documents must be 

submitted at that time. HUD will only 

request and consider the resources/ 

organizations outlined in the 

application. If OUP does not receive 

those documents with the required 

information and within the allotted 

timeframe, an applicant will not receive 

points under this factor. 

2. The appendix section of an 

application must not exceed 15 pages in 

length (excluding forms, budget 

narrative and assurances). An applicant 

SHOULD NOT submit resumes, 

commitment letters, memoranda of 

understanding and/or agreements, or 

other back-up material. Each page must 

include the applicant’s name and 

should be numbered. HUD will not 

consider the information on any excess 

page. 

3. Applicants must budget for travel 

costs to attend at least one HUD 

sponsored TCUP conference/workshop 

every year of the three-year grant 

performance period. 

II. Award Information 

In Fiscal Year (FY) 2007, 

approximately $2.5 million is made 

available by the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5; approved February 15, 2007) 

with approximately $217,190 in 

additional carryover funds. An 

applicant can request up to $600,000 for 

a three-year (36 months) grant 

performance period. 

III. Eligibility Information 

A. Eligible Applicants 

Tribal Colleges and Universities that 

meet the definition of a TCU established 

in Title III of the 1998 Amendments to 

the Higher Education Act of 1965 (Pub. 

L. 105–244, enacted October 7, 1998). 

Applicants must be two- or four-year, 

fully accredited, or provide a statement 

in their application that verifies the 

institution is a candidate for 

accreditation, by a regional institutional 

accrediting association recognized by 

the U.S. Department of Education. If an 

applicant is one of several campuses of 

the same institution, the applicant may 

apply separately from the other 

campuses as long as the campus has a 

separate DUNS number, administrative 

structure and budget, and meets the 

definition of a TCU outlined above. 

B. Cost Sharing or Matching 

None Required. 

C. Other 

1. Eligible Activities. Eligible 

activities include building, expanding, 

renovating, and equipping facilities 

owned by the institution (a long-term 

lease for five years or more in duration 

is considered an acceptable form of 

ownership under this program). 

Buildings for which TCUP funding is 

used that also serve the community are 

eligible; however, the facilities must be 

predominantly (at least 51 percent of the 

time) for the use of the institution (e.g., 

students, faculty, and staff). In addition, 

public services and program delivery 

activities for the community such as 

health programs, job training and 

economic development are eligible 

activities. Examples of eligible activities 

include, but are not limited to: 

a. Building a new facility (e.g., 

classrooms, administrative offices, 

health and cultural centers, gymnasium, 

technology centers, etc.); 

b. Renovating an existing or acquired 

facility; 

c. Expanding an existing or acquired 

facility; 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11499 

d. Equipping university facilities (e.g., 

lab equipment, library books, furniture, 

etc.); 

e. Property acquisition; 

f. Health screening; 

g. Homeownership counseling/ 

training; 

h. Technical assistance to establish, 

expand or stabilize micro-enterprises; 

i. Crime, alcohol and/or drug-abuse 

prevention activities; 

j. Youth leadership development 

programs/activities; 

k. Tutoring/mentoring programs; 

l. Child care/development programs; 

m. Cultural activities/programs; and 

n. Up to 20 percent of the grant may 

be used for payments of reasonable 

grant administrative costs related to 

planning and execution of the project 

(e.g., preparation/submission of HUD 

reports, etc.). A detailed explanation of 

these costs is provided in the OMB 

circulars that can be accessed at the 

White House Web site at: http:// 

www.whitehouse.gov/omb/circulars/ 

index.html. 

Each activity proposed for funding 

must meet at least one of the 

Community Development Block Grant 

(CDBG) Program national objectives as 

described in Rating Factor 3 in Section 

V.A.3 of this NOFA. 

Criteria for determining whether an 

activity addresses one or more 

objectives are provided at 24 CFR 

570.208. The CDBG publication entitled 

‘‘Community Development Block Grant 

Program Guide to National Objectives 

and Eligible Activities for Entitlement 

Communities’’ describes the CDBG 

regulations, and a copy can be obtained 

from HUD’s NOFA Information Center 

at 800–HUD–8929. Individuals with 

hearing or speech impairments may 

access this number via the toll-free 

Federal Information Relay Service at 

800–877–8339. 

2. Threshold Requirements 

Applicable to All Applicants. All 

applicants must comply with the 

threshold requirements as defined in the 

General Section and the requirements 

listed below. Applications that do not 

meet these requirements will be 

considered ineligible for funding and 

will be disqualified. 

a. The applicant must meet the 

eligibility requirements as defined in 

Section III.A. 

b. The applicant may request up to 

$600,000. 

c. An applicant must have a separate 

DUNS number to receive HUD grant 

funds (See General Section). Only one 

application can be submitted per 

campus. If multiple applications are 

submitted, all will be disqualified. 

However, different campuses of the 

same university system are eligible to 

apply as long as they have a separate 

DUNS number and an administrative 

and budgeting structure independent of 

the other campuses in the system. 

d. Institutions that received grants in 

FY2006 are not eligible to apply under 

this NOFA. 

e. Applicants must receive a 

minimum score of 75 points to be 

considered for funding. 

f. Electronic applications must be 

received and validated by Grants.gov no 

later than 11:59:59 p.m. eastern time on 

the application deadline date. 

3. Program Requirements. In addition 

to the standard requirements listed in 

Section III.C. of the General Section, 

applicants must meet the following 

program requirements: 

a. All funds awarded are for a threeyear (36 months) grant performance 

period. 

b. While community-wide use of a 

facility (that is purchased, equipped, 

leased, renovated or built) is permissible 

under this program, the facility must be 

predominantly for the use of the 

institution (i.e., it must be used by the 

staff, faculty, and/or students at least 51 

percent of the time). 

c. If a TCU is a part or instrumentality 

of a federally recognized tribe, the 

applicant must comply with the Indian 

Civil Rights Act (25 U.S.C. 1301 et seq.) 

and all other applicable civil rights 

statutes and authorities as set forth in 24 

CFR 1000.12. If the TCU is not a part or 

instrumentality of a federally recognized 

tribe the applicant must comply with 

the Fair Housing Act (42 U.S.C. 3601–

19) and implementing regulations at 24 

CFR part 100 et seq., Title VI of the Civil 

Rights Act of 1964 (42 U.S.C. 2000d–

2000d–4) (Nondiscrimination in 

Federally Assisted Programs) and 

implementing regulations at 24 CFR part 

1, Section 504 of the Rehabilitation Act 

of 1973, as amended (29 U.S.C. 794) and 

implementing regulation at 24 CFR Part 

8, and Section 109 of Title One of the 

Housing and Community Development 

Act of 1974 (HCDA), as amended, with 

respect to nondiscrimination on the 

basis of age, sex, religion, or disability 

and implementing regulations at 24 CFR 

part 6. 

d. Labor Standards. Institutions and 

their subgrantees, contractors and 

subcontractors must comply with the 

labor standards (Davis-Bacon) 

requirements referenced in 24 CFR 

570.603. However, in accordance with 

HCDA section 107(e)(2), the Secretary 

waives the provisions of HCDA section 

110 with respect to the TCUP program 

for grants to a TCU that is part of a tribe, 

i.e., a TCU that is legally a department 

or other part of a tribal government, but 

not a TCU that is established under 

tribal law as an entity separate from the 

tribal government. If a TCU is not part 

of a tribe, the labor standards of HCDA 

section 110, as referenced in 24 CFR 

570.603, apply to activities under the 

grant to the TCU. 

e. Environmental Requirements. 

Selection for award does not constitute 

approval of any proposed sites. 

Following selection for award, HUD will 

perform an environmental review of 

activities proposed for assistance in 

accordance with 24 CFR part 50. The 

results of the environmental review may 

require that proposed activities be 

modified or proposed sites be rejected. 

Applicants are particularly cautioned 

not to undertake or commit funds for 

acquisition or development of proposed 

properties prior to HUD approval of 

specific properties or areas. An 

application constitutes an assurance 

that the institution will assist HUD to 

comply with part 50; will supply HUD 

with all available and relevant 

information to perform an 

environmental review for each proposed 

property; will carry out mitigating 

measures required by HUD or select 

alternate property; and will not acquire, 

rehabilitate, convert, demolish, lease, 

repair, or construct property and not 

commit or expend HUD or local funds 

for these program activities with respect 

to any eligible property until HUD’s 

written approval of the property is 

received. In supplying HUD with 

environmental information, applicants 

should use the same guidance as 

provided in the HUD Notice CPD–05–07 

entitled, ‘‘Field Environmental Review 

Processing for Rural Housing and 

Economic Development (RHED) grants’’

issued August 30, 2005. The General 

Section provides further discussion of 

the environmental requirements. 

Further information and assistance on 

HUD’s environmental requirements is 

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

offices/cpd/environment/index.cfm. 

f. Site Control. Where grant funds will 

be used for acquisition, rehabilitation, 

or new construction, an applicant must 

demonstrate site control. Funds may be 

recaptured or deobligated from 

recipients that cannot demonstrate 

control of a suitable site within one year 

after the initial notification of award. 

g. Economic Opportunities for Lowand Very-Low Income Persons (Section 

3). The provisions of Section 3 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701u) apply to this 

NOFA. One of the purposes of the 

assistance is to give, to the greatest 

extent feasible, and consistent with 

existing federal, state, and local laws 

and regulations, job training, 


rwilkins on PROD1PC63 with NOTICES_2
11500 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

employment, contracting and other 

economic opportunities to Section 3 

residents and Section 3 business 

concerns. Regulations are located at 24 

CFR part 135. 

IV. Application and Submission 

Information 

A. Address To Request Application 

Package 

Applicants may download the 

instructions to the application found on 

the Grants.gov Web site at http:// 

www.Grants.gov./applicants/apply_ 

for_grants.jsp. If you have difficulty 

accessing the information you may call 

the Grants.gov Support Desk toll free 

800–518–GRANTS or e-mail your 

questions to Support@Grants.gov. See 

the General Section for information 

regarding the registration process or ask 

for registration information from the 

Grants.gov Support Desk. 

B. Content and Form of Application 

Submission 

1. Forms. The following forms are 

required for submission. Copies of these 

forms are available on line at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

a. SF–424, Application for Federal 

Assistance. 

b. SF–424 Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

c. HUD–424–CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov); 

d. SF–LLL, Disclosure of Lobbying 

Activities, if applicable; 

e. HUD–27300, Questionnaire for 

HUD’s Removal of Regulatory Barriers 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable; 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

g. HUD–2993, Acknowledgement of 

Applicant Receipt. Complete this form 

only if you have received a waiver to the 

electronic application submission 

requirement. Applicants submitting 

electronically are not required to 

include this form; 

h. HUD–2994–A, You Are Our Client 

Survey (Optional); 

i. HUD–96010, Program Logic Model; 

j. HUD–2990, Certification of 

Consistency with RC/EZ/EC–II Strategic 

Plan, if applicable; 

k. HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). This form must be used as 

the cover page to transmit third party 

documents and other information. 

Applicants are advised to download the 

application package, complete the SF–

424 first and it will pre-populate the 

Transmittal Cover page. The Transmittal 

Cover page will contain a unique 

identifier embedded in the page that 

will help HUD associate your faxed 

materials to your application. Please 

download the cover page and then make 

multiple copies to provide to any of the 

entities responsible for submitting faxed 

materials to HUD on your behalf. Please 

do not use your own fax cover sheet. 

HUD will not read any faxes that are 

sent without the HUD–96011 fax 

transmittal cover page; and 

2. Certifications and Assurances. 

Please read the General Section for 

detailed information on all the 

Certifications and Assurances. All 

applications submitted through 

Grants.gov constitute an 

acknowledgement and agreement to all 

required certifications and assurances. 

Please include in your application each 

item listed below. Applicants 

submitting paper copy applications 

should submit the application in the 

following order: 

a. SF–424, Application for Federal 

Assistance. Please remember the 

following: 

(1) The full grant amount requested 

from HUD (entire three-years) should be 

entered, not the amount for just one 

year; 

(2) Include the name, title, address, 

telephone number, facsimile number, 

and e-mail address of the designated 

contact. This person will receive all 

correspondence from HUD; therefore, 

please ensure the accuracy of the 

information; 

(3) The Employer Identification/Tax 

ID number; 

(4) The DUNS Number; 

(5) The Catalog of Federal Domestic 

Assistance Number for this program is 

14.519; 

(6) The project’s proposed start and 

completion dates. For the purpose of 

this application the program start date 

should be December 1, 2007; and 

(7) The signature of the Authorized 

Organization Representative (AOR) 

who, by virtue of submitting an 

application via Grants.gov, has been 

authenticated by the credential provider 

to submit applications on behalf of the 

Institution and approved by the 

eBusiness Point of Contact to submit an 

application via Grants.gov. The AOR 

must be able to make a legally binding 

agreement with HUD. 

b. Application Checklist. Applicants 

should use the checklist to ensure that 

they have all the required components 

of their application. Applicants 

submitting an electronic application 

should not submit the checklist in their 

application. Applicants receiving a 

waiver of the electronic application 

submission requirement should include 

a copy of the checklist in their 

application submission. The checklist is 

located in Appendix A. 

c. Abstract. Applicants must include 

no more than a two-page summary of 

the proposed project. Please include the 

following: 

(1) A clear description of each 

proposed project activity, where it will 

take place (be located), the target 

population that will be assisted, and the 

impact this project is expected to have 

on the institution; 

(2) A statement that the institution is 

an eligible institution because it is a 

two- or four-year fully accredited 

institution, the name of the accrediting 

agency and an assurance that the 

accrediting agency is recognized by the 

U.S. Department of Education; or the 

applicant is a candidate for 

accreditation by a regional instructional 

accrediting association recognized by 

the U.S. Department of Education, 

including the name of the accrediting 

agency; 

(3) The designated contact person, 

including phone number, facsimile 

number, and e-mail address (This is the 

person who will receive all 

correspondence from HUD; therefore, 

please ensure the accuracy of the 

information); 

(4) The project director, if different 

from the designated contact person for 

the project, including phone number, 

facsimile number, and e-mail address. 

d. Narrative statement addressing the 

Rating Factors. HUD will use the 

narrative response to the ‘‘Rating 

Factors’’ to evaluate, rate, and rank 

applications. The narrative statement is 

the main source of information. 

Applicants are advised to review each 

factor carefully for program specific 

requirements. The response to each 

factor should be concise and contain 

only information relevant to the factor, 

yet detailed enough to address the factor 

fully. PLEASE DO NOT REPEAT 

MATERIAL IN RESPONSE TO THE 

FIVE FACTORS; INSTEAD, FOCUS ON 

HOW WELL THE PROPOSAL 

RESPONDS TO EACH OF THE 

FACTORS. Where there are subfactors, 

each subfactor must be presented 

separately, with the short title of the 

subfactor presented. Make sure to 

address each subfactor and provide 

sufficient information about every 

element of the subfactor. The narrative 

section of an application must not 

exceed 50 pages in length (excluding 

forms, budget narrative, assurances, and 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11501 

abstract) and must be submitted on 81⁄2

by 11-inch paper, double-spaced on one 

side of the paper, with one inch margins 

(from the top, bottom and left to right 

side of the document) and printed in 

standard Times New Roman 12-point 

font. Each page of the narrative must 

include the institution’s name and 

should be numbered. Note that although 

submitting pages in excess of the page 

limit will not disqualify an applicant, 

HUD will not consider the information 

on any excess pages. This exclusion 

may result in a lower score or failure to 

meet a threshold requirement. All 

applicants submitting electronic 

applications must attach their narrative 

responses to Rating Factors 1–5 as one 

attachment. PLEASE DO NOT ATTACH 

YOUR RESPONSE TO EACH FACTOR 

SEPARATELY. Please follow the 

instructions on file extension and file 

names in the General Section. 

e. Budget. The budget submission 

must include the following: 

(1) HUD–424–CB, ‘‘HUD Detailed 

Budget.’’ This form shows the total 

budget by year and by line item for the 

program activities to be carried out with 

the proposed HUD grant. Each year of 

the program should be presented 

separately. Applicants must also budget 

for travel cost (airfare, lodging and per 

diem) for two individuals to attend at 

least one HUD sponsored TCUP 

conference/workshop every year of the 

three-year grant performance period. To 

calculate travel expenses, applicants 

should use Washington, DC as the site 

of all conference/workshop. Applicants 

must also submit this form to reflect the 

total cost for the entire grant 

performance period (Grand Total). 

Make sure that the amounts shown on 

the SF–424, HUD–424–CB, and all other 

required program forms are consistent 

and the budget totals are correct. 

Remember to check the addition in 

totaling the categories on all forms so 

that all items are included in the total. 

If there is any inconsistency between 

any of the required budget forms, the 

HUD–424–CB will be used. All budget 

forms must be fully completed. If an 

application is selected for award, the 

applicant may be required to provide 

greater specificity to the budget during 

grant agreement negotiations. 

(2) Budget Narrative. Applicants must 

submit a narrative that explains how the 

applicant arrived at the cost estimates 

for any line item over $5,000 

cumulative. For example, an applicant 

proposes to construct an addition to an 

existing building, which will cost 

approximately $200,000. The following 

cost estimate reflects this total: 

Foundation cost $75,000, electrical 

work $40,000, plumbing work $40,000, 

interior finishing work $35,000 and 

landscaping $10,000. The proposed cost 

estimates should be reasonable for the 

work to be performed and consistent 

with rates established for the level of 

expertise required to perform the work 

proposed in the geographical area. 

When necessary, quotes from various 

vendors or historical data should be 

used (please make sure they are kept on 

file and are available for review by HUD 

at any time). All direct labor or salaries 

must be supported with mandated city/ 

state pay scales, Davis-Bacon wage 

rates/tribally designated wage rate (as 

appropriate) or other documentation. 

When an applicant proposes to use a 

consultant, the applicant must indicate 

whether there is a formal written 

agreement. For each consultant, please 

provide the name, if known, hourly or 

daily fee, and the estimated time on the 

project. Applicants must use cost 

estimates based on historical data from 

the institution and/or from a qualified 

firm (e.g., Architectural or Engineering 

firm), vendor and/or qualified 

individual (e.g., independent architect 

or contractor) other than the institution 

for projects that involve rehabilitation of 

residential, commercial and/or 

industrial structures, and/or acquisition, 

construction, or installation of public 

facilities and improvements. Such an 

entity must be involved in the business 

of rehabilitation, construction, and/or 

management. Equipment and contracts 

cannot be presented as a total estimated 

figure. For equipment, applicants must 

provide a list by type and cost for each 

item. Applicants using contracts must 

provide an individual description and 

cost estimate for each contract. 

Construction costs must be broken 

down to indicate how funds will be 

utilized (e.g., demolition, foundation, 

exterior walls, roofing, electrical work, 

plumbing, finishing work, etc.). 

(3) Indirect costs. Indirect costs, if 

applicable, are allowable based on an 

established approved indirect cost rate. 

Applicants must have on file, and 

submit to HUD if selected for award, a 

copy of their indirect cost rate 

agreement. Applicants who are selected 

for funding that do not have an 

approved indirect cost rate agreement, 

established by the cognizant federal 

agency, will be required to establish a 

rate. In such cases, HUD will issue an 

award with a provisional rate and assist 

applicants with the process of 

establishing a final rate. 

f. Appendix. Applicants receiving a 

waiver of the electronic submission 

requirements and submitting a paper 

copy of the application must place all 

required forms in this section. The 

appendix section of an application must 

not exceed 15 pages in length 

(excluding forms, budget narrative and 

assurances). An applicant SHOULD 

NOT submit resumes, commitment 

letters, memoranda of understanding 

and/or agreements, or other back-up 

materials. If this information is 

included, it will not be considered 

during the review process. Each page 

must include the applicant’s name and 

should be numbered. HUD will not 

consider the information on any excess 

pages. The additional items will also 

slow the transmission of your 

application. 

C. Submission Dates and Times 

A complete application package must 

be received and validated electronically 

by the Grants.gov portal no later than 

11:59:59 p.m. eastern time on or before 

the application deadline date. In an 

effort to address any issues with 

transmission of your application, 

applicants are strongly encouraged to 

submit their applications at least 48 to 

72 hours prior to the application 

deadline. This will allow an applicant 

enough time to make the necessary 

adjustments to meet the submission 

deadline in the event Grants.gov rejects 

the application. Please see the General 

Section for further instructions. 

Electronic faxes using the Facsimile 

Transmittal Cover Sheet (Form HUD–

96011) contained in the electronic 

application must be received no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. 

D. Intergovernmental Review 

This program is excluded for an 

Intergovernmental Review. 

E. Funding Restrictions 

Ineligible activities for funding under 

this program include, but are not 

limited to the following: 

1. Renovation of a facility in which 

the facility is not used at least 51 

percent of the time by the institution; 

2. Rental space to another entity that 

operates a small business assistance 

center; 

3. Building of a new facility, where 

the activities are for non-students or the 

activities are run primarily by an 

outside entity; 

4. Planning and administrative 

activities that would result in an 

applicant exceeding the 20 percent cost 

limitations (e.g., preparation/submission 

of HUD reports); and 

5. Curriculum development and/or 

expansion on an institution’s existing 

curriculum. 


rwilkins on PROD1PC63 with NOTICES_2
11502 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedure. Please read the 

General Section carefully and 

completely for the electronic 

submission and receipt procedures for 

all applications because failure to 

comply may disqualify your 

application. 

2. Waiver of Electronic Submission 

Requirements. Applicants should 

submit their waiver requests in writing 

using e-mail or fax. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be submitted to: 

Susan Brunson, Office of University 

Partnerships. E-mail: 

Susan_S._Brunson@hud.gov. FAX: (202) 

708–0309. 

Paper applications will not be 

accepted from applicants that have not 

been granted a waiver. If an applicant is 

granted a waiver, the Office of 

University Partnerships will provide 

instructions for submission. All 

applicants submitting applications in 

paper format must have received a 

waiver to the electronic application 

submission requirement and the 

application must be received by HUD on 

or before the application deadline date. 

V. Application Review Information 

A. Criteria 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Experience (25 

points). This factor addresses the extent 

to which the applicant has the resources 

necessary to successfully implement the 

proposed activities in a timely manner. 

a. Knowledge and Experience. For 

First Time Applicants (25 points), For 

Previously Funded Applicants (15 

points). In rating this subfactor, HUD 

will consider the extent to which the 

applicant clearly addresses the 

following: 

(1) Describe the knowledge and 

experience of the proposed project 

director and staff, including the day-today program manager/coordinator, 

consultants (including technical 

assistance providers), and contractors in 

planning and managing the type of 

project for which funding is being 

requested; and 

(2) Clearly identify the following: key 

project team members, titles (e.g., 

project manager/coordinator, etc.), 

respective roles for the project staff, and 

a brief description of their relevant 

experience. 

If key personnel have not been hired, 

applicants must identify the position 

title, provide a description of duties and 

responsibilities, and describe the 

qualifications to be considered in the 

selection of personnel, including 

subcontractors and consultants. 

Experience will be judged in terms of 

recent and relevant knowledge and 

skills of the staff to undertake eligible 

program activities. HUD will consider 

experience within the last five (5) years 

to be recent and experience pertaining 

to similar activities to be relevant. 

b. Past Performance (10 points) For 

Previously Funded Grant Applicants 

Only. This subfactor will evaluate how 

well an applicant has performed 

successfully under HUD/TCUP grants. 

Applicants must demonstrate this by 

addressing the following information for 

all previously completed and open 

HUD/TCUP grants: 

(1) A list of all HUD/TCUP grants 

received, including the dollar amount 

awarded and the amount expended and 

obligated as of the date of this 

application; 

(2) A description of the achievement 

of specific tasks, measurable objectives, 

and specific outcomes consistent with 

the approved project management plan; 

(3) A list detailing the date the 

project(s) was completed, was it 

completed in the original three-year 

grant performance period; if not 

completed, why (including when it was 

or will be completed); 

(4) A comparison of the amount of 

proposed leveraged funds and/or 

resources to the amount that was 

actually leveraged; and 

(5) A detailed description of 

compliance with all reporting 

requirements, including timeliness of 

submission, whether reports were 

complete and addressed all information 

(both narrative and financial) as 

required by the grant agreement. 

HUD will also review an applicant’s 

past performance in managing funds, 

including, but not limited to: the ability 

to account for funding appropriately; 

timely use of funds received from HUD; 

meeting performance targets for 

completion of activities. In evaluating 

past performance, HUD reserves the 

right to deduct up to five (5) points from 

this rating score as a result of the 

information obtained from HUD’s 

records (i.e., progress and financial 

reports, monitoring reports, Logic Model 

submission, and amendments). 

2. Rating Factor 2: Need/Extent of the 

Problem (10 points). This factor 

addresses the extent to which there is a 

need for funding the proposed project 

activities and an indication of the 

importance of meeting the need(s). The 

need(s) described must be relevant to 

activities for which funds are being 

requested. In addressing this factor, 

applicants should provide, at a 

minimum, the following and must cite 

statistics and/or analyses contained in at 

least one or more current data sources 

that are sound and reliable. 

(1) Describe the need(s); and 

(2) Describe the importance of 

meeting the proposed needs. 

In rating this factor, HUD will 

consider only current data that is 

specific to the area where the proposed 

project activities will be carried out. 

Reliable sources of data may include 

information that describes the need, 

such as a need to have a building 

renovated because it is 50 years old and 

is deteriorating; a new computer lab has 

been built, but the computers are 

obsolete; a library has been expanded, 

but the books are outdated, local/Tribal 

crime statistics, Indian Housing Plans, 

etc. When presenting data, include the 

source and date of the information. 

3. Rating Factor 3: Soundness of 

Approach (44 points). This factor 

addresses the quality and effectiveness 

of the proposed work plan and the 

commitment of the institution to sustain 

the proposed project activities. 

a. (40 Points) Quality of Work Plan. 

HUD will evaluate this subfactor based 

on the extent to which an applicant 

provides a clear detailed description of 

the proposed project activities, 

anticipated accomplishments and the 

impact they will have on the target 

population at the end of the project. 

(1) (35 points) Specific Activities. The 

work plan must describe all proposed 

project activities and major tasks 

required to successfully implement 

them. The work plan must also identify 

the anticipated accomplishments and 

impact these activities will have on the 

targeted population. In addressing this 

subfactor, applicants must provide a 

clear description of each proposed 

project activity and address the 

following: 

(a) Describe each proposed project 

activity in measurable terms (e.g., fifty 

or more students will be receiving 

computer literacy training, the number 

of new classes that will be taught as a 

result of building a new structure); 

(b) Identify the major tasks in 

sequential order necessary to 

successfully implement and complete 

each proposed project activity. Include 

the target completion dates for the tasks 

(6 month intervals, up to 36 months); 

(c) List and describe how each activity 

meets one of the following Community 

Development Block Grant (CDBG) 

Program national objectives: 

• Benefit low- and moderate-income 

persons; 

• Aid in the prevention or 

elimination of slums or blight; or 

• Meet other community 

development needs having a particular 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11503 

urgency because existing conditions 

pose a serious and immediate threat to 

the health and welfare of the 

community, and other financial 

resources are not available to meet such 

needs. 

Criteria for determining whether an 

activity addresses one or more objective 

are provided at 24 CFR 570.208; 

(d) Describe the measurable 

objectives/outcomes that will be 

realized as a result of implementing the 

proposed project; and 

(e) Identify the key staff, as described 

in Factor 1, who will be responsible for 

completing each task. 

(2) (5 points) Describe clearly how 

each proposed project activity will: 

(a) Address the needs identified in 

Factor 2; and 

(b) Relate to and not duplicate other 

activities in the target area. 

b. (2 points) Involvement of the 

Faculty and Students. The applicant 

must describe how it proposes to 

integrate the institution’s students and 

faculty into the proposed project 

activities. 

c. (2 points) HUD Policy Priorities. As 

described in the General Section, to earn 

points under this subfactor, HUD 

requires applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

and that help the Department achieve its 

goals and objectives in FY 2008, when 

the majority of grant recipients will be 

reporting programmatic results and 

achievement. In addressing this 

subfactor, HUD will evaluate the extent 

to which a program will further and 

support HUD priorities. The quality of 

the responses provided to one or more 

of HUD’s priorities will determine the 

score an applicant can receive. 

Applicants must describe how each 

policy priority is addressed. Applicants 

that just list a priority will receive no 

points. 

The total number of points an 

applicant can receive under this 

subfactor is two . Each policy priority 

addressed has a point value of one 

point, with the exception of the policy 

priority related to removal of regulatory 

barriers to affordable housing, which 

has a value of up to two points. To 

receive these two (2) points, an 

applicant must: (1) Complete either Part 

A or Part B (not both), (2) include 

appropriate documentation, (3) identify 

a point of contact, (4) indicate how this 

priority will be addressed, and (5) 

submit the completed questionnaire, 

(HUD–27300) ‘‘HUD’s Initiative on 

Removal of Regulatory Barriers’’ found 

in the General Section along with 

required documentation. It is up to the 

applicant to determine which of the 

policy priorities they elect to address to 

receive the available two (2) points. 

4. Rating Factor 4: Leveraging 

Resources (9 points). This factor 

addresses the ability of the applicant to 

secure resources that can be combined 

with HUD’s grant funds to achieve the 

program’s purpose. 

HUD will consider the extent to 

which the applicant established 

partnerships with other entities to 

secure additional resources to increase 

the effectiveness of the proposed 

program activities. Resources may 

include funding or in-kind 

contributions, such as services or 

equipment, allocated for the purpose(s) 

of the proposed project. Resources can 

be provided by governmental entities 

(e.g., Tribal, federal, and/or state 

governments), public or private 

nonprofit organizations, for-profit 

private organizations, or other entities. 

Overhead and other institutional costs 

(e.g., salaries, indirect costs) that the 

institution has waived can be counted. 

Examples of potential sources for 

outside assistance include: 

• Tribal, federal, state, and local 

governments 

• Tribally Designated Housing 

Entities 

• Local or national nonprofit 

organizations 

• Banks and/or private businesses 

• Foundations 

• Faith-based and other communitybased organizations. 

To address this factor, an applicant 

must provide an outline in the 

application and have the original 

written commitment letters, memoranda 

of understanding and/or agreements that 

show the extent and firm commitment 

of all proposed leveraged resources 

(including any commitment of resources 

from the applicant’s own institution) 

that address the following information 

for each leveraged resource/fund on file 

at the time of application submission: 

(1) The name of the organization and 

the executive officer authorizing the 

funds/goods and/or services (Only 

applicable to the narrative section) 

(2) The cash amount contributed or 

dollar value of the in-kind goods and/ 

or services committed (If a dollar 

amount and its use is not shown, the 

value of the contribution will not be 

scored for award); 

(3) A specific description of how each 

contribution is to be used toward the 

proposed activities; 

(4) A description of the current and/ 

or past working relationship that the 

institution has with the organization 

contributing the resources and the 

involvement it will have with this 

proposed project. 

(5) The date the contribution will be 

made available and a statement that 

describes the duration of the 

contribution; 

(6) Any terms or conditions affecting 

the commitment, other than receipt of a 

HUD Grant; and 

(7) The signature of the appropriate 

executive officer authorized to commit 

the funds and/or goods and/or services. 

(Only applicable to the written 

documentation) Please remember that 

only items eligible for funding under 

this program can be counted. 

DO NOT submit commitment letters, 

memoranda of understanding and/or 

agreements are not required at the time 

of application submission but have the 

originals on file at the time of 

submission. IF THIS INFORMATION IS 

INCLUDED, IT WILL NOT BE 

CONSIDERED DURING THE REVIEW 

PROCESS. Applicants chosen to 

proceed to the next step in the selection 

process will be required to submit the 

signed commitment letters, memoranda 

of understanding and/or agreements 

outlined in the application, within 

seven (7) calendar days after initial 

contact from the Office of University 

Partnerships (OUP). OUP will provide 

specific instructions on how these 

documents must be submitted at that 

time. Letters, memoranda of 

understanding, or agreements must be 

submitted on the provider’s letterhead 

and should be addressed to Sherone 

Ivey, Associate Deputy Assistant 

Secretary for University Partnerships. 

The date of the letter, memorandum of 

understanding, or agreement from the 

CEO of the provider organization must 

be dated no earlier than nine months 

prior to this published NOFA. OUP will 

provide specific instructions on how 

these documents must be submitted 

when contact is made with the 

applicant. HUD will only request and 

consider the resources/organizations 

outlined in the application. If OUP does 

not receive those documents with the 

required information and within the 

allotted timeframe, an applicant will not 

receive points under this factor. 

In scoring this factor, HUD will 

award: 

• Nine (9) points to an applicant that 

provides properly documented 

leveraging resources as listed in their 

application that are 10 percent or more 

of the amount requested under this 

program; 

• Seven (7) to eight (8) points to 

applicants that provide documentation 

that includes at least five of the seven 

required items outlined above and that 

represents 7 to 9 percent of the amount 

requested under this program; 


rwilkins on PROD1PC63 with NOTICES_2
11504 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

• Five (5) to six (6) points to 

applicants that provide documentation 

that includes at least four of the seven 

required items outlined above and that 

represents 7 to 9 percent of the amount 

requested under this program; 

• Three (3) to four (4) points to 

applicants that provide documentation 

that includes at least five of the seven 

required items outlined above and that 

represents 4 to 6 percent of the amount 

requested under this program; 

• One (1) to two (2) points to 

applicants that provide documentation 

that includes at least three of the 

required seven items outlined above and 

that represents 4 to 6 percent of the 

amount requested under this program; 

and 

• Zero (0) points to applicants that 

provide document leveraging resources 

as listed above that are less than 4 

percent of the amount requested. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (12 points). 

This factor reflects HUD’s goal to 

embrace high standards of management 

and accountability. It measures the 

applicant’s commitment to assess their 

performance to achieve the program’s 

proposed objectives and goals. 

Applicants are required to develop an 

effective, quantifiable, outcome oriented 

evaluation plan for measuring 

performance and determining that 

objectives and goals have been achieved 

by using the Logic Model. The Logic 

Model is a summary of the narrative 

statements presented in Factors 1–4. 

Therefore, the information submitted on 

the Logic Model should be consistent 

with the information contained in the 

narrative statements. 

‘‘Outcomes’’ are benefits accruing to 

institutions of higher education during 

or after participation in the TCUP 

program. Applicants must clearly 

identify the outcomes to be measured 

and achieved. Examples of outcomes 

include an increased number of campus 

facilities (e.g., newly built or renovated), 

an increased number of classroom 

spaces available, or an increased student 

enrollment and graduation rate. 

In addition, applicants must establish 

interim benchmarks and outputs that 

lead to the ultimate achievement of 

outcomes. ‘‘Outputs’’ are the direct 

products of the project ’s activities. 

Examples of outputs are the number of 

new facilities renovated, or the number 

of new dormitories built. Outputs 

should produce outcomes for the 

project. At a minimum, an applicant 

must address the following activities in 

the evaluation plan: 

a. Short- and long-term objectives to 

be achieved; 

b. Measurable outcomes the grant will 

have on the university or the target 

population; 

This information must be included 

under this section on a HUD–96010, 

Program Logic Model form. HUD has 

developed a new approach to 

completing this form. Please carefully 

read the General Section for 

instructions, training is available. (Form 

HUD–96010 will be excluded from the 

page count.) If an applicant utilizes 

‘‘other’’ from the Logic Model 

categories, then the applicant should 

describe briefly this ‘‘other’’ category 

within the Rating Factor 5 narrative. If 

a narrative is provided, those pages will 

be included in the page count. 

B. Review and Selection Process 

1. Application Selection Process 

Two types of reviews will be 

conducted: 

a. A threshold review to determine an 

applicant’s basic eligibility; and 

b. A technical review for all 

applications that pass the threshold 

review to rate and rank the application 

based on the ‘‘Rating Factors ‘‘ listed in 

Section V.A. above. 

Only those applications that pass the 

threshold review will receive a 

technical review and be rated and 

ranked. 

2. Rating Panels. To review and rate 

applications, HUD may establish panels 

that may include experts or consultants 

not currently employed by HUD to 

obtain certain expertise. 

3. Ranking. HUD will fund 

applications in rank order, until all 

available program funds are awarded. In 

order to be considered for funding, an 

applicant must receive a minimum 

score of 75 points out of a possible 100 

points; plus up to two bonus points that 

may be awarded for activities conducted 

in the RC/EZ/EC–II communities, as 

described in the General Section. If two 

or more applications have the same 

number of points, the application with 

the most points for Factor 3 shall be 

selected. If there is still a tie, the 

application with the most points for 

Factor 1shall be selected. If there is still 

a tie, the application with the most 

points for Factor 2, 4, and then 5 shall 

be selected in that order, until the tie is 

broken. HUD reserves the right to select 

out of rank order to provide for 

geographic distribution of grantees. 

HUD also reserves the right to reduce 

the amount of funding requested in 

order to fund as many highly ranked 

applications as possible. Additionally, if 

funds remain after funding the highest 

ranked applications, HUD may fund 

part of the next highest-ranking 

application. If an applicant turns down 

the award offer, HUD will make an 

award to the next highest-ranking 

application. If funds remain after all 

selections have been made, the 

remaining funds will be carried over to 

the next funding cycle’s competition. 

4. Corrections to Deficient 

Applications. See the General Section. 

C. Anticipated Announcement and 

Award Dates. 

Announcements of awards are 

anticipated on or before September 30, 

2007. 

VI. Award Administration Information 

A. Award Notice 

After all selections have been made, 

HUD will notify all winning applicants 

in writing. HUD may require winning 

applicants to participate in additional 

negotiations before receiving an official 

award. For further discussion on this 

matter, please refer to the General 

Section. 

B. Administrative and National Policy 

Requirements 

Refer to the General Section. 

1. Debriefing. The General Section 

provides the procedures for requesting a 

debriefing. All requests for debriefings 

must be made in writing to: Sherone 

Ivey, Office of University Partnerships, 

Department of Housing and Urban 

Development, 451 Seventh Street, SW, 

Room 8106; Washington, DC 20410–

6000. Applicants may also write to Ms. 

Ivey via e-mail at 

Sherone_E._Ivey@hud.gov. 

2. Administrative. Grants awarded 

under this NOFA will be governed by 

the provisions of 24 CFR part 84 (Grants 

and Agreements with Institutions of 

Higher Education, Hospitals and Other 

Non-Profit Organizations), A–21 (Cost 

Principles for Educational Institutions) 

and A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations). Applicants can access 

the OMB circulars at the White House 

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

omb/circulars/index.html. 

3. OMB Circulars and 

Governmentwide Regulations 

Applicable to Financial Assistance 

Programs. The General Section provides 

discussion of OMB circulars and 

governmentwide regulations. 

4. Code of Conduct. See the General 

Section for further discussion. 

5. Procurement of Recovered 

Materials. See the General Section for 

further discussion. 

6. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Toward 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11505 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects. See the 

General Section for further discussion if 

applicable. 

7. Executive Order 13166, Improving 

Access to Services For Persons With 

Limited English Proficiency (LEP). See 

the General Section for further 

discussion. 

C. Reporting 

All grant recipients under this NOFA 

are required to submit quarterly 

progress reports. The progress reports 

shall consist of two components, a 

narrative that must reflect the activities 

undertaken during the reporting period 

and a financial report that reflects costs 

incurred by budget line item, as well as 

a cumulative summary report during the 

reporting period. 

For each reporting period, as part of 

the required report to HUD, grant 

recipients must include a completed 

Logic Model (HUD–96010), which 

identifies output and outcome 

achievements. 

For FY2007, HUD is considering a 

new concept for the Logic Model. The 

new concept is a Return on Investment 

(ROI) statement. HUD will be publishing 

a separate notice on the ROI concept. 

VII. Agency Contacts 

Applicants may contact Sherone Ivey 

at (202) 708–3061, extension 4200, or 

Susan Brunson at (202) 708–3061, 

extension 3852. Persons with speech or 

hearing impairments may call the 

Federal Information Relay Service TTY 

at (800) 877–8339. Except for the ‘‘800’’

number, these numbers are not toll-free. 

Applicants may also reach Ms. Ivey via 

e-mail at Sherone_E._Ivey@hud.gov, and 

Ms. Brunson at 

Susan_S._Brunson@hud.gov. 

VIII. Other 

Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2528–

0215. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 68 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, quarterly 

and final report. The information will be 

used for grantee selection and 

monitoring the administration of funds. 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

Appendix A—Application Checklist—

TCUP 

This checklist identifies application 

submission requirements. Applicants 

are requested to use this checklist when 

preparing an application to ensure 

submission of all required elements. 

Applicants submitting an electronic 

application do not have to submit the 

checklist. Applicants that receive a 

waiver of the electronic application 

submission requirement should include 

a copy of the checklist in their 

application. 

Check off to ensure these items have 

been included in the application: 

llSF–424 ‘‘Application For Federal 

Assistance’’

llApplication Checklist (Applicants 

that submit paper applications must 

include the checklist in their 

applications) 

llAbstract (must include no more 

than a two-page summary of the 

proposed project) 

Indicate the page number where each 

of the Factors is located: 

Narrative Statement Addressing the 

Rating Factors. The narrative section of 

an application must not exceed 50 pages 

in length (excluding forms, budget 

narrative and abstract). This information 

must be submitted on 81⁄2 by 11-inch 

paper, double-spaced on one side of the 

paper, with one-inch margins (from the 

top, bottom, and left and right sides of 

the documents) and printed in standard 

Times New-Roman 12-point font. 

Applicants that submit applications via 

Grants.gov should review the General 

Section for information about file names 

and extensions. File names should not 

contain spaces or special characters. 

llFactor–I 

llFactor–II 

llFactor–III 

llFactor–IV 

llFactor–V 

llHUD–96010 Logic Model 

Check off to ensure these items have 

been included in the application: 

llAppendix. The appendix section of 

an application must not exceed 15 pages 

in length (excluding forms, budget 

narrative and assurances). 

llBudget 

llHUD 424–CB ‘‘Grant Application 

Detailed Budget’’ (‘‘HUD Detailed 

Budget Form’’ on Grants.gov). 

llBudget Narrative (No form 

provided, but must be submitted for the 

total three-year grant period. 

Appendix B—All Required Forms 

The following forms are required for 

submission. All required forms are 

contained in the electronic application 

package. 

llApplication for Federal Assistance 

(SF–424); 

llSurvey on Ensuring Equal 

Opportunity for Applicants (SF–424 

Supplement); (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov). 

llDisclosure of Lobbying Activities 

(SF–LLL); if applicable 

llQuestionnaire for HUD’s Removal 

of Regulatory Barriers (HUD–27300) 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable; 

llApplicant/Recipient Disclosure 

Update Report (HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

llCertification of Consistency with 

RC/EZ/EC–II Strategic Plan (HUD–

2990), if applicable; 

llAcknowledgement of Applicant 

Receipt (Only applicants who submit 

paper applications (HUD–2993); 

llClient Comments and Suggestions 

(HUD–2994); 

llYou Are Our Client Survey (HUD–

2994–A); and 

llLogic Model (HUD–96010). 

llThird Party Documentation 

Facsimile Transmittal (HUD–96011) 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) required as the cover page to 

third party documents transmitted by 

facsimile to HUD. 


rwilkins on PROD1PC63 with NOTICES_2
11506 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.010</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11507 

Fair Housing Initiatives Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Fair Housing and Equal 

Opportunity 

B. Funding Opportunity Title: Fair 

Housing Initiatives Program (FHIP) 

C. Announcement Type: Initial 

Announcement 

D. Funding Opportunity Number: The 

OMB Approval Number is 2529–0033. 

The Federal Register number for this 

NOFA is FR–5100–N–24. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): Private 

Enforcement Initiative (PEI); Education 

and Outreach Initiative (EOI) 14.408. 

F. Dates: The application deadline 

date shall be on or before May 3, 2007. 

Applications must be received and 

validated by Grants.gov no later than 

11:59:59 pm on the application deadline 

date. Please see the General Section of 

the SuperNOFA (the General Section) 

for information on electronic deadline 

and timeliness requirements. 

G. Optional, Additional Overview 

Content Information: 

1. Funding Breakdown. This year 

there are two initiatives, Private 

Enforcement and Education and 

Outreach Initiatives. The following is a 

breakdown of each Initiative: 

a. Private Enforcement Initiative (PEI) 

(1) General Component, and 

(2) Performance Based Funding 

Component 

b. Education and Outreach Initiative 

(EOI) 

(1) Regional/Local/Community-Based 

(a) General Component 

(b) Clinical Law School Component. 

This Component is being established to 

train and develop legal practitioners in 

the fair housing arena. Applicants are 

Minority Serving Institution agencies (as 

determined by the Department of 

Education’s Web site) with an 

accredited American Bar Association 

law school and is geared to the 

development and implementation of a 

legal curriculum as it relates to fair 

housing. 

(2) National-Based Media Campaign 

Component. 

2. Electronic Applications. For 

FY2007, FHIP electronic applications 

will be available on http:// 

www.Grants.gov// 

Fand_grant_opportunities.jsp and 

http://www.grants.gov// 

Apply_for_grants.jsp. For further 

instructions on electronic application 

submission requirements using 

Grants.gov, please read the General 

Section. 

3. Fair Housing Initiatives Program 

(FHIP) Funding. FHIP funds are used to 

increase compliance with the Fair 

Housing Act (the Act) and with 

substantially equivalent State and local 

fair housing laws. Approximately $18.1 

million in FY 2007 funds and any 

potential recapture is allocated to two 

(2) initiatives as follows: 

a. Private Enforcement Initiative (PEI) 

$14 million; 

b. Education and Outreach Initiative 

(EOI) $4.1 million. 

4. Award Agreements. HUD expects to 

award a cost reimbursable cooperative 

agreement or grant agreement to each 

applicant selected for award. Upon 

completion of negotiations, HUD 

reserves the right to use the funding 

instrument it determines is most 

appropriate. 

5. Eligible Applicants. Eligible 

applicants are Qualified Fair Housing 

Enforcement Organizations (QFHOs) 

and Fair Housing Enforcement 

Organizations (FHOs), see 24 CFR 

125.103; public or private, for-profit or 

not-for-profit organizations or 

institutions and other public or private 

entities that are formulating or carrying 

out programs to prevent or eliminate 

discriminatory housing practices 

(including entities that will be 

established as a result of receiving an 

award under this FHIP NOFA); agencies 

of State or local governments; and 

agencies that participate in the Fair 

Housing Assistance Program (FHAP). 

6. Private Enforcement Initiative—

Performance-Based Funding 

Component. Applicants awarded 

funding under the PEI–(PBFC) for FY 

2007 will not be eligible to submit 

applications for additional FHIP 

funding for FY2008 and FY 2009. 

Applicants awarded funding under this 

component will be eligible to apply for 

additional PEI funding in FY2010. 

Applicants awarded PBFC funding in 

FY 2005 and 2006 are not eligible to 

submit applications for additional PEI 

funding for a three-year period. Should 

the grantee’s performance for FY2007 be 

assessed by your HUD Government 

Technical Representative (GTR) as 

anything less than an ‘‘Excellent’’ then 

the grantee will be ineligible to receive 

PBFC funding in the second year 

(FY2008). The same applies if the 

grantee receives less than an 

‘‘Excellent’’ performance assessment in 

FY2008 then they will be ineligible to 

receive PBFC funding in the third year 

(FY2009), but may apply for FHIP funds 

under another component as 

appropriate. 

7. Start Date. For planning purposes, 

assume a start date no later than October 

19, 2007. 

Full Text of Announcement 

I. Funding Opportunity Description 

Authority. Section 561 of the Housing 

and Community Development Act of 

1987, as amended, (42 U.S.C. 3616) 

established the FHIP. The implementing 

regulations are found at 24 CFR Part 

125. If you are interested in applying for 

funding under the FHIP, please review 

carefully the General Section of the 

SuperNOFA (hereafter, the General 

Section), the FHIP Authorizing Statute 

(Sec. 561 of the Housing and 

Community Development Act of 1987, 

as amended), and the FHIP Regulations 

(24 CFR 125.103–501). 

A. FHIP Initiatives and Components 

The FHIP assists fair housing 

activities that increase compliance with 

the Act and with substantially 

equivalent fair housing laws 

administered by State and local 

government agencies under the Fair 

Housing Assistance Program (FHAP). 

1. Private Enforcement Initiative (PEI). 

This Initiative assists private, taxexempt fair housing enforcement 

organizations in the investigation and 

enforcement of alleged violations of the 

Act and substantially equivalent State 

and local fair housing laws. Under this 

Initiative, there are two Components, 

the General Component and the 

Performance-Based Funding 

Component. 

2. Education and Outreach Initiative 

(EOI). This Initiative assists 

organizations that inform the public 

about their rights and obligations under 

the Act and substantially equivalent 

State and local fair housing laws. 

Applications are solicited for this 

Initiative under the EOI-Regional/Local/ 

Community-Based Program (R/L/C–B) 

and the EOI—National-Based Program 

in which activities are conducted on a 

nationwide basis. 

Applicants who apply under EOI 

R/L/C–B may apply under one or more 

of the following Components, as 

follows: EOI General Component and 

the EOI Clinical Law School 

Component. Applicants who apply 

under EOI–National-Based Program may 

apply under the Media Campaign 

Component. 

All applications submitted under EOI 

are required to describe a referral 

process that will result in referrals of 

fair housing complaints to HUD or Fair 

Housing Assistance Program (FHAP) 

substantially equivalent agencies. If 

funded, you will be required to develop 

your complaint referral process. 


rwilkins on PROD1PC63 with NOTICES_2
11508 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

B. Other 

1. Program Definitions. The 

definitions that apply to this FHIP 

section of the NOFA are as follows: 

a. Broad-based proposals are those 

that address more than one type of 

housing transaction covered under the 

Act. Examples of covered housing 

transactions include the: rental, sales, or 

financing of housing. (See also Full 

Service Projects below). 

b. Complainant means the person, 

including the Assistant Secretary for 

Fair Housing and Equal Opportunity at 

HUD, who files a complaint under 

Section 810 of the Fair Housing Act. 

c. Disability Advocacy Groups means 

organizations that traditionally have 

provided for the civil rights of persons 

with disabilities. This would include 

organizations such as Independent 

Living Centers and cross-disability legal 

services groups. Such organizations 

must be experienced in providing 

services to persons with a broad range 

of disabilities, including physical, 

cognitive, and psychiatric/mental 

disabilities. Such organizations must 

demonstrate actual involvement of 

persons with disabilities throughout 

their activities, including on staff and 

board levels. 

d. Enforcement proposals are 

potential complaints under the Act that 

are timely, jurisdictional, and welldeveloped, that could reasonably be 

expected to become enforcement actions 

if an impartial investigation found 

evidence supporting the allegations and 

the case proceeded to a resolution with 

HUD or FHAP agency involvement. 

e. Fair Housing Act means Title VIII 

of the Civil Rights Act of 1968 as 

amended by the Fair Housing 

Amendments Act of 1988 (42 U.S.C. 

3600–3620). 

f. Fair Housing Assistance Program 

(FHAP) agencies mean State and local 

fair housing enforcement government 

agencies that receive FHAP funds 

because they administer laws deemed 

substantially equivalent to the Act, as 

described in 24 CFR 115. 

g. Fair Housing Enforcement 

Organization (FHO) means an 

organization engaged in fair housing 

activities as defined in 24 CFR 125.103. 

h. Full-service projects must include 

the following enforcement-related 

activities in the project application: 

interviewing potential victims of 

discrimination; taking complaints; 

testing; evaluating testing results; 

conducting preliminary investigations; 

conducting mediation; enforcing 

meritorious claims through litigation or 

referral to administrative enforcement 

agencies; and disseminating information 

about fair housing laws. 

i. Grassroots organizations (See 

General Section). 

j. Jurisdiction means that the 

complaint must be timely filed; the 

complainant must have standing; the 

respondent and the dwelling involved 

(where the complaint involves a 

provision or denial of a dwelling) must 

be covered by the Act; and the subject 

matter and the basis of the alleged 

discrimination, must constitute illegal 

practices as defined by the Act. 

k. Meritorious claims means 

enforcement activities by an 

organization that resulted in lawsuits, 

consent decrees, legal settlements, HUD 

or substantially equivalent agency 

(under 25 CFR 115.6) conciliations and 

organization initiated settlements with 

the outcome of monetary awards for 

compensatory and/or punitive damages 

to plaintiffs or complaining parties, or 

other affirmative relief, including the 

provision of housing (24 CFR 125.103). 

l. Mortgages with unacceptable terms 

or conditions or resulting from 

unacceptable practices means a 

mortgage or a group or category of 

mortgages with one or more of the terms 

and conditions as specified under 24 

CFR Part 81.2. 

m. Operating budget means an 

organization’s total planned budget 

expenditures from all sources, including 

the value of in-kind and monetary 

contributions, in the period for which 

funding is requested. 

n. Qualified Fair Housing 

Enforcement Organization (QFHO) 

means an organization engaged in fair 

housing activities as defined in 24 CFR 

125.103. 

o. Regional/Local/Community-Based 

Activities are defined at 24 CFR 

125.301(a) and (d). 

p. Rural Areas means the following: 

(1) A non-urban place having fewer 

than 2,500 inhabitants (within or 

outside of the metropolitan areas). 

(2) A county or parish with an urban 

population of 20,000 inhabitants or less. 

(3) Any place with a population not 

in excess of 20,000 and not located in 

a Metropolitan Statistical Area. 

q. Traditional Civil Rights 

Organizations mean non-profit 

organizations or institutions and/or 

private entities with a history and 

primary mission of securing Federal 

civil rights protection for groups and 

individuals protected under the Act or 

substantially equivalent State or local 

laws and that are engaged in programs 

to reduce discriminatory housing 

practices. 

r. Underserved Areas mean 

jurisdictions where there are no Fair 

Housing Initiatives Program or Fair 

Housing Assistance Program agencies 

and where either no public or private 

fair housing enforcement organizations 

exist or the jurisdiction is not 

sufficiently served by one or more 

public or private enforcement fair 

housing organizations and there is a 

need for service. 

s. Underserved Populations mean 

groups of individuals who fall within 

one or more of the categories protected 

under the Act and who are: 

(1) of an immigrant population 

(especially racial and ethnic minorities 

who are not English-speaking or limited 

English proficient); 

(2) in rural populations, 

(3) the homeless, 

(4) persons with disabilities (i.e., 

physical) who can be historically 

documented to have been subject to 

discriminatory practices not having 

been the focus of Federal, State or local 

fair housing enforcement efforts, or 

(5) areas that are heavily impacted 

with minorities and there is inadequate 

protection and ability to provide service 

from the State or local government or 

private fair housing organizations. 

II. Award Information 

For Fiscal Year 2007, $20 million is 

appropriated for the Fair Housing 

Initiatives Program (FHIP). This 

appropriated amount may be 

supplemented by recaptured funds. Of 

this amount, approximately $18.1 

million is being made available on a 

competitive basis to eligible 

organizations responding to this FHIP 

NOFA. See the chart in Section III.A. for 

a breakdown by Initiative/Component. 

A. Award Instrument. The type of 

funding instrument HUD may offer a 

successful applicant which sets forth 

the relationship between HUD and the 

grantee will be a grant or cooperative 

agreement, where the principal purpose 

is the transfer of funds, property, 

services, or anything of value to the 

applicant to accomplish a public 

purpose. The agreement will identify 

the eligible activities to be undertaken, 

financial controls, and special 

conditions, including sanctions for 

violations of the agreement. HUD will 

determine the type of instrument under 

which the award will be made and 

monitor progress to ensure that the 

grantee has achieved the objectives set 

out in the agreement. Failure to meet 

such objectives may be the basis for 

HUD determining the agreement to be in 

default and exercising available 

sanctions, including suspension, 

termination, and/or the recapture of 

funds. Also, HUD may refer violations 

or suspected violations to enforcement 

offices within HUD, the Department of 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11509 

Justice, or other enforcement 

authorities. 

If funds are awarded as a Cooperative 

Agreement, HUD will also exercise the 

right to have substantial involvement 

by: conducting quarterly reviews and 

approval of all proposed deliverables 

documented in the applicant’s Work 

Plan or Statement of Work (SOW), and 

determining whether the agency meets 

all certification and assurance 

requirements. HUD will conduct this 

performance assessment, in part, by 

using the Logic Model (HUD–96010) 

submitted by the applicant and 

approved by HUD in the award 

agreement (rating Factor 5). If upon 

completion of this assessment by the 

Government Technical Representative 

(GTR) a determination is made that the 

quarterly requirements have not been 

met, the grantee will be obligated to 

provide additional information or make 

modifications to its work plan and 

activities, as necessary, in a timeframe 

to be established by the GTR. 

B. Project Starting Period. For 

planning purposes, assume a start date 

no later than October 19, 2007. 

III. Eligibility Information 

A. Eligible Applicants and Activities 

The following chart details each FHIP 

Initiative/Component and the 

approximate Funding Available along 

with Eligible Applicants and Activities: 

Initiative/component 

Allocation 

amount 

available 

Applicant eligibility Project period Award caps Applicant eligible activities 

Private Enforcement Initiative 

(PEI) General Component: 

Assists private, tax-exempt 

fair housing enforcement organizations in the investigation and enforcement of alleged violations of the Fair 

Housing Act and substantially 

equivalent State and local 

fair housing laws. 

$1,000,000 Fair Housing Enforcement Organizations (FHOs) with at 

least one year of experience in complaint intake, 

complaint investigation, testing for fair housing violations, and meritorious 

claims in the two years prior 

to the filing of the application (24 CFR 125.401(b)(2) 

and Qualified Fair Housing 

Enforcement Organizations 

(QFHOs) with at least two 

years of enforcement related experience as noted 

above, and meritorious 

claims in the three years 

prior to filing this application 

(24 CFR 125.103).

12–18 

months.

$275,000 ...... Eligible activities include: (1) 

Complaint intake of allegations of housing discrimination, testing evaluating testing results, or providing 

other investigative and complaint support for administrative and judicial enforcement of fair housing laws: 

(2) Investigation of individual complaints and systemic housing discrimination 

for further enforcement 

processing by HUD through 

testing and other investigative methods; (3) Mediation 

or other voluntary resolution 

of allegations of fair housing 

discrimination after a complaint has been filed; and 

(4) litigating fair housing 

cases including procuring 

expert witnesses. 

Private Enforcement Initiative 

(PEI) Performance Based 

Funding Component Assists 

private, tax-exempt fair housing enforcement organizations in the investigation and 

enforcement of alleged violations of the Fair Housing Act 

and substantially equivalent 

State and local fair housing 

laws. 

$13,000,000 QFHOs and FHOs (with at 

least one year of enforcement related experience) 

who have received excellent 

performance reviews for 

FHIP PEI awards made in 

any two FY’s (FY pertains 

to the year for which the 

funding was appropriated) 

beginning with FY 2003 

through FY 2005; and have 

received a minimum score 

of 95 on the most recent of 

the 2 performance reviews 

from their Government 

Technical Representative.

36 months .... $275,000 per 

year for a 

three-year 

duration, 

based upon 

appropriations.

Eligible PBFC 

applicants 

must receive a 

minimum 

score of 95 

from the 

FY ’07 

Technical 

Evaluation 

Panel 

(TEP) to be 

considered 

for funding.

See PEI above. 


rwilkins on PROD1PC63 with NOTICES_2
11510 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Initiative/component 

Allocation 

amount 

available 

Applicant eligibility Project period Award caps Applicant eligible activities 

EOI General Component Open 

to applicants for all other fair 

housing education and outreach activities. In addition to 

all other education and outreach activities, applicants 

may also address the fair 

housing needs of persons 

with disabilities, the education of consumers about 

fair housing, financial literacy, 

credit management, and how 

to avoid high cost loans and 

abusive lending practices 

that violate the Fair Housing 

Act. 

$2,600,000 QFHOs, FHOs, public or private for profit or not for 

profit organizations or institutions, or other public or 

private entities that carry 

out programs to prevent or 

eliminate discriminatory 

housing practices. This includes agencies of State or 

local governments and 

agencies that participate in 

the Fair Housing Assistance 

Program (FHAP). See FHIP 

NOFA–Eligibility Information.

12–18 

months.

100,000 ........ For a list of Eligible Activities 

See EOI above. 

EOI—Clinical Law School Component Applications are solicited for this component to organize and operate a fair 

housing legal-clinical education program that will benefit the public by producing 

well-trained clinicians and 

lawyers who are capable of 

educating and informing the 

public on fair housing rights 

and obligations. 

$500,000 Same as EOI above. In addition, applicant must: (1) Be 

recognized by the American 

Bar Association as having 

an accredited law school; 

(2) Be legally authorized by 

the State in which it is located to provide a bachelor’s degree program and 

a law degree program; and 

(3) Be designated by the 

Secretary of the U.S. Department of Education as a 

Minority Serving Institution 

College or University.

12–18 

months.

500,000 ........ See above. 

EOI—National-Based Program—Media Campaign 

Component. Applicants who 

submit applications under the 

EOI National-Based Media 

Campaign must provide a 

centralized coordination effort 

for the development, implementation, and distribution of 

a fair housing media campaign designed for the 40th 

Anniversary of the signing of 

the Fair Housing Act as part 

of FY2008’s Fair Housing 

Month Activities. 

1,000,000 Same as EOI above. In addition, applicants must have 

five years of experience as 

an advertisement/media organization, and must include in its proposal a subcontract with an established 

fair housing organization.

12 months .... $1,000,000 ... See above. 

Eligibility of Successor Organizations 

for PEI. HUD recognizes that QFHOs 

and FHOs may merge with each other or 

other organizations. The merger of a 

QFHO or an FHO with a new 

organization, that has a separate 

Employer Identification Number (EIN), 

does not confer QFHO or FHO status 

upon the successor. To determine 

whether the successor organization 

meets the eligibility requirements for 

this Initiative, HUD will look at the 

enforcement-related experience of the 

successor organization (based upon the 

successor organization’s EIN). The 

successor organization is not eligible to 

apply under this Initiative unless it 

establishes in its application that it is a 

private, tax-exempt organization with 

the requisite two years of enforcement 

related experience for a QFHO or one 

year experience for an FHO. 

B. Cost Sharing or Matching. No 

matching funds are required for the 

Education and Outreach or Private 

Enforcement Initiatives. 

C. Other 

1. Threshold Requirements 

Program Requirements for All 

Initiatives. In addition to the civil rights 

and other threshold requirements found 

in the General Section, FHIP program 

applications must also meet the 

following requirements: 

a. Protected Classes. All FHIP-funded 

projects must address housing 

discrimination based upon race, color, 

religion, sex, disability, familial status, 

or national origin. All services and 

activities must be available to the 

protected class members. 

b. Tax Exempt Status. Applicants for 

the PEI Initiative are ineligible for 

funding if they are not a 501(c)(3) taxexempt organization as determined by 

the Internal Revenue Service (IRS) prior 

to the application deadline date. 

c. Name Check Review. See the 

General Section. 

d. Poor Performance. All applicants 

are ineligible for funding if they are a 

previous FHIP grantee that has received 

a ‘‘Poor’’ performance rating for its most 

recent performance rating from its 

Government Technical Representative 

(GTR). HUD will assess performance 

ratings for applicants who have received 

FHIP funding in FY 2003 through FY 

2005. If the applicant has received a 

‘‘poor’’ performance rating for its most 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11511 

recent performance rating from its GTR, 

its application is ineligible for the FY 

2007 competition. An applicant that 

does not agree with its determination of 

ineligibility for the FY 2007 competition 

because of ‘‘poor’’ performance must 

address to HUD’s satisfaction the factors 

resulting in the ‘‘poor’’ performance 

rating before the FHIP application 

deadline date. If the ‘‘poor’’

performance rating is not resolved to the 

Department’s satisfaction before the 

application deadline date, the 

application is ineligible for the FY 2007 

FHIP NOFA competition. HUD is 

interested in improving the performance 

level of all grantees; therefore, 

applicants who are deemed ineligible 

because of a ‘‘poor’’ performance rating 

have the right and are encouraged to 

seek technical assistance from HUD to 

correct their performance in order to be 

eligible for future NOFA competition. 

Applicants who have received a ‘‘poor’’

performance prior to FY 2004 must 

provide written documentation that 

they have implemented remedies to 

address those issues and concerns that 

contributed to a ‘‘poor’’ performance 

rating. This written documentation 

should be an addendum to the abstract. 

e. Suits Against the United States. An 

application is ineligible for funding if, 

as a current or past recipient of FHIP 

funds, the organization used any funds 

provided by HUD for the payment of 

expenses in connection with litigation 

against the United States (24 CFR 

125.104(f)). 

f. Other Litigation. An application is 

ineligible for funding if the organization 

used funds provided by HUD under this 

Program to settle a claim, satisfy a 

judgment, or fulfill a court order in any 

defensive litigation (24 CFR 125.104). 

g. Maximum award. Applicants are 

ineligible for funding if they request 

funding in excess of the maximum 

allowed under the Initiative or 

Component for which they are applying. 

In addition, inconsistencies in the 

amount requested and/or 

miscalculations that result in amounts 

over the maximum award will be 

considered excessive; therefore the 

application will be considered 

ineligible. 

h. Dun and Bradstreet Numbering 

System (DUNS) Numbering 

Requirement. Refer to General Section 

for information regarding the DUNS 

requirement. You will need a DUNS 

number to complete your electronic 

application as it is a mandatory field on 

the electronic application. The 

Grants.gov registration also requires use 

of the DUNS number. 

i. Majority of Eligible Activities. 

Greater than 50 percent of the activities 

and costs within the Statement of Work 

(SOW) and budget are fair housing 

related activities. 

j. Fair Housing Assistance Program 

(FHAP). FHAP agencies who are under 

a suspension based on agency 

performance, as designated under 24 

CFR Part 115.211(b) at time of 

application are ineligible for funding. 

k. Minimum Technical Evaluation 

Panel (TEP) Score. Applicants must 

receive a minimum TEP score of 75 to 

be considered for funding. 

l. Application Preference. Applicants 

may submit multiple applications to the 

FHIP. For those applicants who submit 

multiple applications the following 

applies: EOI applicants may receive an 

EOI General, and a EOI Clinical Law 

School Component, or EOI NationalBased Program Media Campaign 

Component award. 

m. Independence of Awards. The 

application submitted must be 

independent and capable of being 

implemented without reliance on the 

selection of other applications. 

n. Training funds. The proposed 

budget must set aside funds to 

participate in HUD mandatory 

sponsored or approved training in the 

amount of $7,000 for EOI and PEI 

components; and $7,000 annually for a 

36-month duration for PBFC. 

Do not include amounts over the 

$7,000 (as appropriate) for the training 

set-aside in this category. If applicants 

do not include these funds in the budget 

and are selected for an award, HUD will 

modify the budget, reallocating the 

appropriate amount for training. 

o. Accessibility Requirements. All 

activities, facilities, and materials 

funded by this program must be 

accessible and visitable to persons with 

disabilities (24 CFR 8.2, 8.4, 8.6, and 

8.54). 

p. Fair Housing Act. HUD expects 

applicants to address housing 

discrimination covered under the Act. 

HUD has determined there is a need to 

ensure equal opportunity and access to 

housing in communities across the 

nation. 

q. Research Activities. Applicants are 

ineligible for funding if between 90–

100% of their project is aimed at 

research. 

r. Limited English Proficient (LEP). 

Applicants obtaining an award from 

HUD must provide access to program 

benefits and information to LEP 

individuals through translation and 

interpretive services in accordance with 

HUD’s published LEP Guidance. 

s. OMB Circular. For-profit awardees 

are not allowed to earn a profit and 

must adhere to OMB Circular A–133. 

t. Single Audit Requirement. All 

applicants who have expended 

$500,000 or more in Federal financial 

assistance within a fiscal year single 

year (this can be a program or fiscal 

year) must be audited in accordance 

with the OMB–A133 requirements as 

established in 24 CFR 84 and 85. 

u. Reimbursement Requirement. All 

PEI grantees are required to reimburse 

the Federal government for the amount 

of the grant from all settlements, 

conciliations, and agreements obtained 

as a result of the use of FHIP funds. As 

an alternative to returning these funds 

to HUD, grantees may choose to use the 

funds as program income to further fair 

housing activities. However, the use of 

funds for this purpose must be preapproved in writing by the Government 

Technical Representative assigned to 

the grant. 

v. Clinical Law School Component. To 

qualify as an applicant under this 

Component, an institution must: 

(1) Be recognized by the American Bar 

Association as having an accredited law 

school; 

(2) Be legally authorized by the State 

in which it is located to provide a 

bachelor’s degree program and a law 

degree program; 

(3) Be designated by the Secretary of 

the U.S. Department of Education as a 

Minority Serving Institution College or 

University, and 

(4) Have a high enrollment of needy 

students defined by 34 C.F.R 607.3. 

Applicants must submit documentation 

from the U.S. Department of Education 

establishing eligibility (except for item 

(1) above). 

w. National Based Program—Media 

Campaign Component Applications. 

Applicants who submit applications 

under the Media Campaign Component 

must have as their primary 

responsibility advertisement and media 

and have at least five years of 

experience as an advertisement/media 

or public relations organization. In 

addition, applicants must include as 

part of its proposal a subcontract with 

an established fair housing organization. 

Applicants that fail to meet this 

requirement or include such subcontract 

arrangements in their proposals will be 

ineligible for funding. 

2. Other Program Requirements by 

Initiative. Under the PBFC, applicants 

must receive a minimum FY 2007 TEP 

score of 95 to be considered for funding. 

3. Performance Measures and 

Products. For all Initiatives and 

Components. Applicants must submit a 

Logic Model (Form HUD 96010), which 

provides outputs and outcomes in their 

application. Applicants are also to 

identify the tools they will use to 


rwilkins on PROD1PC63 with NOTICES_2
11512 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

identify program progress against their 

proposed outputs and outcomes. See 

reporting requirements for reporting 

using the Logic Model and the 

frequency of the reporting. The form is 

located in the Instruction Download at 

http://www.grants.gov/applicants/ 

apply__ for_grants.jsp for the FHIP 

program. An example of a completed 

Logic Model is included within this 

NOFA. The eLogic Model form is a 

Microsoft Excel TM form, which provides 

a drop down list from which you select 

the responses that best fit your proposed 

program of activities/outputs and 

outcomes. The form, in HTML fillable 

format and a text Logic Model Master 

file, is available on the Web site at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp for applicants that 

do not have access to Microsoft ExcelTM. 

Training will be provided by satellite 

broadcast and webcast. The training 

materials and schedule will be available 

at the above HUD Web site. Applicants 

should check the site for dates and 

times for HUD training on the Logic 

Model. For FY2007, HUD is considering 

a new concept for the Logic Model. The 

new concept is a Return on Investment 

(ROI) statement. HUD will be publishing 

a separate notice on the Return on 

Investment (ROI) concept. 

4. Testing Requirements for PEI 

applicants. All applicants that propose 

testing must review the FHIP Regulation 

at 24 CFR Part 125. 

a. Review and Approval of Testing 

Methodology. If your application 

proposes testing, other than rental 

housing testing, HUD may require 

copies of the following documents to be 

reviewed and approved by HUD prior to 

your carrying out the testing activities. 

(1) The testing methodology to be 

used; 

(2) The training materials to be 

provided for testing; and 

(3) Other forms, protocols, cover 

letters, etc., used in the conduct of 

testing and reporting of results. 

If HUD has approved your testing 

methodology for FY 2005 and FY 2006, 

there is no need to submit your testing 

methodology, unless you are revising 

the methodology that was approved by 

HUD. If changes are being made, or you 

have not had your testing methodology 

previously approved by HUD, you must 

submit information in your application. 

b. Retainer Fees. FHIP recipients are 

under specific restrictions regarding 

establishment of retainer agreements 

and recovery of legal fees from HUD 

funded cases. Data on fees settlements 

and verdicts are public record and must 

be provided to HUD on an annual basis. 

Either the grantee or the individual(s) 

on whose behalf any action is filed 

cannot waive these provisions. For 

additional information on these 

provisions, please see http:// 

www.hud.gov/offices/fheo/library/ 

index.cfm. 

IV. Application and Submission 

Information 

A. Requesting an Application Package 

This section describes how you may 

obtain application forms and additional 

information about the FHIP program. 

Copies of the published General 

Section, FHIP NOFA and application 

forms may be downloaded from the 

Grants.gov Web site at http:// 

www.grants.gov or if you have difficulty 

accessing the information you may 

receive customer support from 

Grants.gov by calling their help line at 

(800) 518–GRANTS or sending an email to support@grants.gov. If you do 

not have internet access and you need 

to obtain a copy of the NOFA you can 

contact HUD’s NOFA Information 

Center toll-free at (800) HUD–8929. 

Persons with hearing or speech 

impairments may access the Information 

Center by calling the Federal 

Information Relay Service at (800) 877–

8339. 

B. Content and Form of Application 

Submission 

All applicants must read and adhere 

to Initiative-specific information. 

Applicants are encouraged to review the 

chart titled ‘‘Summary of Initiatives/ 

Components.’’ To submit documents 

using the facsimile method, see the 

General Section for specific procedures 

governing facsimile submission. 

1. For All Applicants. The maximum 

narrative page requirement is ten (10) 

pages per factor. The narrative pages 

must be double-spaced. This includes 

all narrative text, titles and headings. 

(However, you may single-space 

footnotes, quotations, references, 

captions, charts, forms, tables, figures 

and graphs). You are required to use 12- 

point type size. You must respond fully 

to each factor to obtain maximum 

points. Failure to provide narrative 

responses to all factors other than factor 

five or omitting requested information 

will result in less than the maximum 

points available for the given rating 

factor or sub-factor. Failure to provide 

double-spaced, 12-point type size 

narrative responses will result in five 

points being deducted from your overall 

score (one point per factor). 

2. The chart below gives a brief 

description of all items to be included 

within the application: 

Complete application package contains Required content Required form or format 

Application for Federal Assistance ..................... (per required form) ........................................... Form SF–424. 

Survey for Ensuring Equal Opportunity for Applicants.(per required form) ........................................... SF–424 Supplement (‘‘Faith Based EEO Survey (SF–424 SUPP)’’ on Grants.gov). 

Budget information ............................................. (per required form) ........................................... Form SF–424CB and SF–424CBW) (‘‘HUD 

Detailed Budget Form and Worksheet’’ on 

Grants.gov). 

Disclosure of Lobbying Activities ........................ (per required form) ........................................... SF–LLL, if applicable. 

Applicant-Recipient Disclosure Update Report .. (per required form) ........................................... HUD–2880 (‘‘HUD Applicant Recipient Disclosure Report’’ on Grants.gov). 

Certification of Consistency with RC/EZ/EC–IIs 

Strategic Plan.

(per required form) ........................................... HUD–2990. 

Acknowledgement of applicant receipt (required 

only if you are granted waiver to the electronic application requirement).

(per required form) ........................................... HUD–2993. 

You are our client grant application survey (optional).(per required form) ........................................... HUD–2994–A). 

Program Outcome Logic Model ......................... (per required form) ........................................... HUD–96010. 

Third Party Documentation Facsimile Transmittal.(per required form) ........................................... HUD–96010 (‘‘Facsimile Transmittal Form’’ on 

Grants.gov). 

Facsimile Transmittal Form ................................ (per required form) ........................................... HUD–96011. 

Race and Ethnic Data Reporting Form .............. (per required form) ........................................... HUD–27061. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11513 

Complete application package contains Required content Required form or format 

America’s Affordable Communities Initiative ...... (per required form) ........................................... HUD–27300 (‘‘HUD Communities Initiative 

Form’’ on Grants.gov). 

Narrative ............................................................. Described in Section IV.B. of this announcement.Format described in Section IV.B of this announcement. 

Letters from third parties contributing to cost 

sharing.

Third parties’ affirmations of amounts of their 

commitments.

No specific form or format. 

Addendum to Abstract—Correction of Poor Performance (as appropriate).Written documentation that performance 

issues and concerns have been cured.

No specific form or format. 

Project Abstract .................................................. Short summary of project activities, areas of 

concentration and persons to be served. 

Preference for funding.

No specific form or format. 

C. Submission Dates and Times. 

Applications must be received and 

validated by http://www.grants.gov/ 

applicants/apply_for_grants.jsp no later 

than 11:59:59 p.m. eastern time on the 

application deadline date of May 3, 

2007, to be considered timely filed. 

Validation may take up to 72 hours to 

complete. Grants.gov will reject 

applications that do not meet the 

deadline requirement. See the General 

Section for further details. 

D. Intergovernmental Review. 

Intergovernmental Review is not 

applicable to this program. 

E. Funding Restrictions 

1. PEI Limitations for Education & 

Outreach—There is a 10% limit on the 

amount of education and outreach 

related activities that can be funded in 

an enforcement award. If you exceed the 

limit, points will be deducted in the 

rating process and if awarded, funds 

will be adjusted to maintain the 

required limitation. 

2. Administrative Costs. Eligible 

administrative costs include leases for 

office space, under the following 

conditions: 

(1) The lease must be for existing 

facilities not requiring rehabilitation or 

construction; 

(2) No repairs or renovations of the 

property may be undertaken with 

Federal funds; and 

(3) Properties in the Coastal Barrier 

Resource System designated under the 

Coastal Barrier Resources Act (16 U.S.C. 

3501) cannot be leased with Federal 

funds. 

F. Other Submission Requirements. 

Electronic delivery via http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp is HUD’s required 

method for application submission. 

Applicants interested in applying for 

FHIP funding must submit their 

applications electronically or request a 

waiver from the Assistant Secretary of 

FHEO. The request must state the basis 

for the waiver request. HUD’s regulation 

on waivers, found in 24 CFR part 5, 

states that waivers can be granted for 

cause. Applicants must submit their 

waiver requests, in writing at least 15 

days prior to the application deadline, 

to Ms. Kim Kendrick, Assistant 

Secretary for Fair Housing and Equal 

Opportunity, 451 7th Street, SW., Room 

5100, Washington, DC 20410. A copy of 

all waiver requests must simultaneously 

be submitted to Myron P. Newry, 

Director, FHEO–FHIP Support Division, 

(same address as above), Room 5226, or 

by e-mail to Myron_P._Newry@HUD.gov. 

If granted a waiver, the notification will 

provide instructions on where to submit 

the application and how many copies 

are required. HUD will not accept a 

paper application without a waiver 

being granted. If you receive a waiver of 

the electronic application submission 

requirement, your application must be 

received by HUD no later than 11:59:59 

p.m. on the application deadline date. 

V. Application Review Information 

A. Criteria for Regional/Local 

Community Based Applications 

1. Rating Factor 1: Capacity of 

Applicant and Relevant Organizational 

Experience (25 Points). You must 

describe staff expertise and your 

organization’s ability to complete the 

proposed activities within the grant 

period. 

In General. You must describe your 

staffing plan and the extent to which 

you plan to add staff (employees) or 

contractors. If your application proposes 

using subcontractors and these 

subcontractor activities amount to more 

than 10 percent of your total activities, 

you must submit a separate budget for 

each subcontractor. Failure to include a 

separate budget will result in lower 

points being assessed to your 

application. 

a. Number and expertise of staff (this 

includes subcontractors and 

consultants). (5) Points for current FHIP 

grantees; (10) Points for New 

Applicants. You must complete a 

summary of staff expertise that will 

show sufficient, qualified staff who will 

be available to complete the proposed 

activities. This summary should 

include: Names of staff person(s), time 

each will spend on project, years of fair 

housing/civil rights experience for each 

person, titles of staff persons, and a brief 

paragraph on each staff member which 

outlines his or her experience. Do not 

include resumes or other documents. 

Those that submit resumes or other 

lengthy documents on staff experience 

will have points deducted from their 

application based on exceeding the tenpage submission requirement. 

To receive maximum points, your 

day-to-day program manager must 

devote a minimum of 75% of his/her 

time to the project. This individual must 

be stationed in the metropolitan area 

where the project will be carried out. 

This information must be included in 

the response to this factor. For day-today managers who do not have at least 

75% of their time devoted to the project, 

no points will be awarded under this 

sub-factor. For example, if the Executive 

Director is responsible for managing the 

overall program administrative 

activities, the application should reflect 

the Executive Director’s time as 75%. 

You may not designate more than one 

person to fit this 75% criterion. Your 

application must also clearly identify 

those persons that are on staff at the 

time this application is submitted and 

those persons who will be assigned at a 

later date and indicate whether the staff 

person is assigned to work full-time or 

part-time (if part-time, indicate the 

percentage of time each person is 

assigned to the project). 

If you are applying for the EOIClinical Law School Component, you 

must: 

(1) Show that you will have sufficient, 

qualified staff or faculty who will be 

available to 

(2) Have experience in recruitment of 

law students (submit a projection of the 

number of students expected to 

participate in and complete the 

program), marketing (submit a plan to 

promote the fair housing curriculum 

and clinical law program), and fair 

housing. 


rwilkins on PROD1PC63 with NOTICES_2
11514 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(3) Implement the curriculum design 

at a MSI (Minority Serving Institution) 

with an ABA-accredited law school. 

(a) You must also identify all of the 

administrators of the clinical program 

and describe their function, 

qualifications, and experience; 

(b) Identify persons who will 

constitute the faculty for the program 

and describe their functions, 

qualifications, and experience; and 

(c) Identify and describe the functions 

and qualifications of any other program 

staff. 

(4) You must describe the knowledge 

and experience of the proposed overall 

Faculty Administrator and day-to-day 

program manager (whose duties and 

responsibilities include managing all 

program and administrative activities as 

outlined in the SOW and ensuring that 

all timelines are met), in planning and 

managing a fair housing legal-clinical 

program. Indicate the percentage of time 

that key personnel will devote to your 

project. 

b. Organizational experience. (10) 

Points for current FHIP grantees; (15) 

Points for new applicants. In responding 

to this sub-factor, you, the applicant, 

must show that your organization has: 

(1) conducted a past project or 

projects similar in scope and complexity 

to the project proposed in this 

application (whether FHIP-funded or 

not), or 

(2) engaged in activities that, although 

not similar, are readily transferable to 

the proposed project. You must provide 

a listing of all affiliate and/or subsidiary 

organizations, and identify which of 

these organizations will assist you in the 

development and/or implementation of 

any portion of your proposed FY2007 

FHIP funded project. If you do not have 

any affiliates or subsidiaries, you should 

state this in your application. 

(3) If you are an existing FHIP grantee, 

you must provide details about the 

progress and outcomes of your previous 

grant. 

(a) EOI applicants must show that 

they have engaged in projects that are 

Regional/Local/Community based. 

Experience will be judged in terms of 

recent, relevant and successful 

experience of your staff to undertake 

eligible activities. In rating this factor, 

HUD will consider experience within 

the last three years to be recent, 

experience pertaining to the specific 

activities to be relevant, and experience 

producing measurable accomplishments 

to be successful. The more recent the 

experience and the more experience 

your own staff members who work on 

the project have in successfully 

conducting and completing similar 

activities, the greater the number of 

points you will receive for this rating 

factor. 

(b) If you are applying for funding 

under PEI, you must provide the 

following information when responding 

to this sub-factor: 

(i) If you propose to conduct testing 

(other than rental or accessibility 

testing), provide a brief narrative that 

documents that you have conducted 

successful testing in those areas. 

(ii) Discuss your compliance with the 

requirement to either reimburse the 

Federal government for compensation 

received from FHIP-funded enforcement 

activities or use the compensation as 

program income to further fair housing 

activities. If you have not reimbursed 

the Federal government or used the 

funds as program income to further fair 

housing activities, explain why you 

have not. Also, state whether you 

reported to HUD any likely 

compensation that may result in such 

reimbursement or use for furthering fair 

housing. Two (2) points will be 

deducted for this sub-factor if you have 

not complied with the requirement. 

(c) If you are submitting an 

application under the EOI—Clinical 

Law School Component, you are 

responsible for the development of a 

comprehensive concept and design of 

an Action Plan for the Clinical Law 

School. The Action Plan must include a 

design concept and academic structural 

approach that will be used in assessing 

your capacity to develop and operate a 

Fair Housing Legal-Clinical Program. 

In order to assess your capacity to 

design and implement a fair housing 

course curriculum, please provide 

documented information that your 

organization has conducted a past 

clinical project or projects similar in 

scope and complexity to the clinical 

project being proposed. You must 

describe the knowledge and experience 

of the proposed overall faculty and staff 

and indicate whether this staff has had 

prior knowledge and experience in 

establishing and implementing a 

clinical law project similar to the one 

being proposed. Further, you must show 

that faculty and staff have expertise in 

implementing a newly designed clinical 

curriculum at a MSI with an ABAaccredited law school. 

c. Performance on past project(s). (10) 

Points for current FHIP grantees; (0) 

Points for new applicants. HUD will 

assess your organization’s past 

performance in conducting activities 

relevant to your application. For current 

FHIPs, past performance will be 

assessed based on your most recent 

performance assessment received from 

your HUD Government Technical 

Representative (GTR) for the past two 

(2) complete fiscal years (FY 2004 

through FY2005). 

This information will be provided to 

the Technical Evaluation Panel (TEP) by 

HUD staff. Based on past performance, 

the following points will be deducted 

from your score under this rating subfactor: 

(1) 10 points out of 10 possible points 

will be deducted if you received a ‘‘fair 

performance’’ assessment; 

(2) 5 points out of 10 possible points 

will be deducted if you received a ‘‘good 

performance’’ assessment; and 

(3) 0 points will be deducted if you 

received an ‘‘excellent performance’’

assessment. 

2. Rating Factor 2: Need/Distress/ 

Extent of the Problem (20 Points). 

This factor addresses the extent to 

which there is a need for funding the 

proposed activities to address 

documented fair housing problems in 

target area(s). You will be evaluated on 

the information that you submit that 

describes the fair housing need in the 

geographic area you propose to serve, its 

urgency and how your project is 

responsive to that need. Applicants 

should document and use any relevant 

information from HUD’s Housing 

Discrimination Study 2000 (HDS2000) 

to respond to this factor. 

a. Documentation of Need. To justify 

the need for your project, PEI and EOI 

applicants must describe the following: 

(1) The fair housing need, including: 

(a) Geographic area to be served and 

your proximity and experience within 

the area; 

(b) Populations that will be served—

your project may focus on a specific 

population and/or protected class; 

however, you must state that your 

project will serve all persons protected 

by the Act; and 

(c) The presence of housing 

discrimination, high segregation indices 

or other evidence of discrimination 

prohibited by the Act within the project 

area. 

(2) The urgency of the identified need. 

For example: 

(a) The potential consequences to 

persons if your application is not 

selected for funding; 

(b) The extent to which other 

organizations provide the services 

identified in your application; 

(c) Other sources that support the 

need and urgency for this project. (Do 

not include these sources within your 

application.) Please provide Web site 

information where these sources may be 

found. Applicants that provide detailed 

studies, including detailed consolidated 

plans for their referenced project area 

will have points deducted from this 

factor based upon the ten-page 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11515 

submission requirement. For example, 

make reference to reports, statistics, or 

other data sources that you used that are 

sound and reliable, including but not 

limited to, HUD or other Federal, State 

or local government reports analyses, 

relevant economic and/or demographic 

data including those that show 

segregation, foundation reports and 

studies, news articles, and other 

information that relate to the identified 

need. Provide the Web site where these 

reports may be found for reference. 

Chapter V of the Fair Housing Planning 

Guide, Vol. 1, has other suggestions for 

supporting documentation. You may 

access the Guide from the HUD Web site 

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

grants/fundsavail.cfm. 

For all applicants: You must use 

sound data sources to identify the level 

of need and the urgency in meeting the 

need and provide Web site addresses for 

each data source (ex. Analysis of 

Impediments to Fair Housing Choice 

(AI), fair housing studies, etc.) For you 

to receive maximum points for this 

factor, there must be a direct 

relationship between your proposed 

activities, the outcomes to be 

accomplished, and the community or 

communities’ fair housing needs, 

including your knowledge of and your 

proximity to the targeted area, and the 

purpose of the program funding. 

To the extent possible, the data you 

use should be specific to the area where 

the proposed activity will be carried 

out. For example, if you propose to test 

in areas impacted by Hurricane Katrina 

in the states of Louisiana, Mississippi, 

Alabama or Texas you should document 

the number of displaced persons 

relocated to those areas and the impact 

of the numbers of displaced persons 

upon existing fair housing services. You 

should document needs as they apply to 

the specific area(s) where activities will 

be targeted and your proximity to the 

target area, rather than the entire 

locality or State. If the data presented 

does not specifically represent your 

target area, you should discuss why the 

target area was proposed. 

(3) The link between the need and 

your proposed activities: 

(a) How the proposed activities 

augment or improve upon on-going 

efforts by public and private agencies, 

grass-roots faith-based and other 

community-based organizations and 

other organizations and institutions in 

the target area, and/or 

(b) Why, in light of other on-going 

efforts, the additional funding you are 

requesting is necessary. 

b. In addition, with respect to 

Documentation of Need, the following 

apply to specific FHIP Initiatives or 

Components: 

EOI-Clinical Law School Component. 

Your project must show that you have 

data, statistics, and community support 

to establish a clinical law project or 

projects similar in scope and complexity 

to the clinical project proposed in this 

NOFA. 

3. Rating Factor 3: Soundness of 

Approach (35 Points) 

You must describe your project in 

detail and how it will support the goals 

and policy priorities outlined in the 

General Section. For each goal and 

policy priority that your project 

addresses, you must propose 

performance measures/outcomes in 

support of these goals, and establish 

numerical baselines and targets for 

those measures. Attach a Statement of 

Work (SOW) and budget. 

a. Support of Policy Priorities (8 

Points). HUD encourages applicants to 

undertake specific activities that will 

assist the Department in implementing 

its policy priorities and which will help 

the Department achieve its goals and 

objectives in FY 2007. Describe how 

your proposed project will further and 

support HUD’s policy priorities for FY 

2007. The quality of the responses 

provided and the extent to which a 

program will further and support one or 

more of HUD’s priorities will determine 

the score an applicant can receive. 

Applicants must describe how each 

policy priority selected will be 

addressed. 

Applicants that just list a priority will 

receive no points. It is up to the 

applicant to determine which of the 

policy priorities to address to receive 

the available 8 points. Each policy 

priority addressed must discuss the 

geographic area to be served in relation 

to the project’s purpose, the persons to 

be served and the methodology for 

carrying out these activities. Each policy 

priority has a point value of one point, 

with the exception of the policy priority 

to remove regulatory barriers to 

affordable housing which has a point 

value of up to 2 points; and, for EOI 

applicants only, promoting participation 

by grassroots faith-based and other 

community-based organizations, or 

partnering with an organization 

promoting participation in grassroots 

faith-based and other community-based 

organizations, which has a point value 

of up to 4 points. To secure the possible 

2 points for efforts to remove regulatory 

barriers to affordable housing, an 

applicant must submit the completed 

questionnaire (HUD 27300), and provide 

the required documentation and contact 

information. Please see the General 

Section for further information on 

Removal of Regulatory Barriers to 

Affordable Housing. The questionnaire 

is part of the electronic application 

package. For the full list of each policy 

priority, please refer to the General 

Section. 

b. Proposed Statement of Work (SOW) 

and Information Requirements (17 

Points). The SOW and budget are 

attachments that will not count toward 

the ten (10)-page limit on the narrative 

response to this factor. However, points 

will be assigned based on the relevance 

of proposed activities to needs stated in 

Factor 2, the attention given to 

implementation steps, the consistency 

of proposed activities with 

organizational expertise and capacity, 

and the accuracy of the SOW and 

budget. 

Statement of Work—Submit a 

proposed SOW that comprehensively 

outlines in chronological order the 

administrative and program activities 

and tasks to be performed during the 

grant period. Your outline should 

identify all activities and tasks to be 

performed and by whom (e.g., you, a 

subcontractor, or partner), and the 

products that will be provided to HUD 

and when. You should also include a 

schedule of your activities and products 

(with interim implementation steps), 

staff allocation over the term of the 

project; staff acquisition and training; 

and activities of partners and/or 

subcontractors. Applicants should 

provide numbers on the projected 

clients to be served. Do not provide 

ranges or percentages, but a specific 

number of clients. These numbers 

should represent individuals to be 

served entirely with HUD FHIP funding. 

For the EOI General Component, HUD 

anticipates that products will be 

available in at least seven languages, 

including English. The languages will 

include French, Korean, Laotian, 

Vietnamese, Chinese, Arabic, and 

Spanish. Deliverables may include 

brochures, Public Service 

Announcements (PSAs) for radio in 

both majority and minority markets and 

posters and other graphic materials. 

Graphic materials may include but are 

not limited to enlarged reproductions of 

existing HUD printed PSAs and HUD 

materials. Provide information on media 

markets coverage with specific 

protected class focus, as well as those 

with Limited English Proficiency and a 

method for distribution of the finished 

product. 

c. The Budget Form and the Budget 

Information (10 Points). HUD will also 

assess the soundness of your approach 

by evaluating the quality, thoroughness, 

and reasonableness of the budget and 


rwilkins on PROD1PC63 with NOTICES_2
11516 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

financial controls of your organization, 

including information on your proposed 

program cost categories. As part of your 

response, you must prepare a budget 

that is: 

(1) Reasonable in achieving the goals 

identified in your proposed SOW; 

(2) Relate tasks in the SOW to the 

proposed budget costs; 

(3) Cost-effective, and includes a brief 

discussion of the extent to which your 

proposed program is cost effective in 

achieving the anticipated results of the 

proposed activities in the targeted area. 

Applicants seeking funding to conduct 

activities in an area other than the 

applicant’s State or locality must 

discuss the cost effectiveness of where 

the activities will be conducted in 

relation to the location of the 

organization. HUD will look at the cost 

effectiveness of your travel to and from 

your location to the targeted area(s), 

personnel expenses for out-stationed 

personnel, contracts and sub-grantees, 

and other direct costs, which may 

include relocation expenses, and 

telecommunications expenses and make 

a final determination of cost 

effectiveness based on the above listed 

items. Also, indicate how the proposed 

project is: 

(4) Quantifiable based on the need 

identified in Factor 2, and 

(5) justifiable for all cost categories in 

accordance with the cost categories 

indicated in the HUD–424 CB. If you are 

awarded a grant or cooperative 

agreement under FHIP, staff will request 

that you include your approved indirect 

cost rate as part of your negotiations 

with HUD. If you do not have a 

Federally approved indirect cost rate 

and HUD is the cognizant agency, HUD 

will submit a request within 30 days 

after award to establish a rate. For 

information on indirect cost rates, you 

can review HUD’s training on http:// 

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

fundsavail.cfm. 

(6) Financial Management Capacity. 

Describe your organization’s financial 

management system and your Board’s 

contribution to the organization. In 

addition, discuss your capabilities in 

handling financial resources, 

dissemination payments to 

subcontractors, and maintaining 

adequate accounting and internal 

control procedures. 

(7) Grant Application Detailed Budget 

Worksheet (HUD–424–CBW). The HUD–

424–CBW must show the total cost of 

the project and indicate other sources of 

funds that will be used for the project. 

While the costs are based only on 

estimates, the budget narrative work 

plan may include information obtained 

from various vendors, or you may rely 

on historical data. Applicants must 

round all budget items to the nearest 

dollar. 

A written budget narrative work plan 

must accompany the proposed budget 

explaining each budget category listed 

and must explain each cost category. 

Failure to provide a written budget 

narrative work plan will result in 2 

points being deducted from your 

application. It must explain each cost 

category you list. Where there are travel 

costs for subcontractors/consultants, 

you must show that the combined travel 

costs (per diem rates) are consistent 

with Federal Travel Regulations (41 CFR 

301.11) and travel costs for the 

applicant’s subcontractors and/or 

consultants do not exceed the rates and 

fees charged by local subcontractors and 

consultants. The narrative (which does 

not count toward the ten page limit) 

must address the Grant Application 

Detailed Budget. 

4. Rating Factor 4: Leveraging Resources 

(5 Points) 

This factor addresses your ability to 

secure additional resources to support 

your project. Points will be awarded on 

the basis of the percentage of non-FHIP 

resources you have received at 

application submission, in the form of 

firm commitments, or planned 

collaborative efforts you have with Fair 

Housing Assistance Program agencies. 

a. Firm Commitment of Leveraging or 

Collaboration. HUD requires you to 

secure resources from sources other 

than what is requested under this FHIP 

NOFA. Leveraging of community 

resources may include funding or inkind contributions, such as workspace 

or services or equipment, allocated to 

the purpose(s) of your proposal. 

Contributions from affiliates, 

subsidiaries, divisions, or employees of 

the applicant do not qualify as in-kind 

contributions. Funds from an 

applicant’s previously established 

investment account(s) may qualify as inkind resources; however, 

documentation must be provided. 

Resources may be provided by 

governmental entities (including other 

HUD programs if such costs are allowed 

by statute), public or private non-profit 

organizations, faith-based organizations, 

for-profit or civic private organizations, 

or other entities planning to work with 

you. In order to secure points you must 

establish leveraging of resources by 

identifying sources of contributors who 

have already provided to you letters of 

firm commitment from the organizations 

and/or individuals who will support 

your project. Collaboration will consist 

of activities you have or plan to have 

with Fair Housing Assistance Program 

agencies. You must provide a letter of 

firm commitment from that organization 

and/or individual, on their letterhead, 

stating their intent to work with you on 

your project. For PEI–PB applicants 

only, each letter must state the total 

dollar amount of in-kind funds and/or 

resources to be donated to the fair 

housing project, and specify the amount 

to be used each of the three years of this 

project. For all applicants, each letter of 

firm commitment must: 

(1) Identify the organization and/or 

individual committing resources to the 

project and state the timeline for use of 

these funds in relation to the project. 

Further, the letter must identify any 

affiliation with the applicant, 

(2) Identify the sources and amounts 

of the leveraged resources (the total 

FHIP and non-FHIP amounts must 

match those in your proposed budget 

submitted under Factor 3), and 

(3) Describe how these resources will 

be used under your SOW. The letter 

must be dated and signed by the 

individual or organization official 

legally able to make commitments for 

the organization. If the resources are inkind or donated goods, the commitment 

letter must indicate the fair market 

value of those resources and describe 

how this fair market value was 

determined. (Do not include indirect 

costs within your in-kind resources). Inkind matching and leveraging 

contributions, as well as Program 

Income must comply with 24 CFR 84.23 

and 84.24 requirements. FHIP funds 

cannot be used for in-kind or donated 

services (for example, a current staff 

person on a FHIP-funded project). 

No points will be awarded for general 

letters of support endorsing the project 

from organizations, including elected 

officials on the local, State, or national 

levels, and/or individuals in your 

community. See General Section for 

instructions on how third party 

documents are to be submitted to HUD 

via the electronic submission process. 

For PEI and EOI, if your project will not 

be supported by non-FHIP resources, 

then you will not receive any points 

under this factor. Points will be 

assigned for each Initiative based on the 

following scale: 

One point will be awarded if less than 

5% of the projects total costs come from 

non-FHIP resources. 

Two points will be awarded if 

between 5% and 10% of the project’s 

total costs are from non-FHIP resources. 

Three points will be awarded if 

between 11% and 20% of the project’s 

total costs are from non-FHIP resources. 

Four points will be awarded if 

between 21% and 30% of the project’s 

total costs are from non-FHIP resources. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11517 

Five points will be awarded if at least 

31% of the project’s total costs are from 

non-FHIP resources. 

Five points will be awarded if your 

application contains a firm letter of 

commitment from a Fair Housing 

Assistance Program agency stating their 

firm commitment to work with you on 

your project. Should the letter lack any 

of the required information listed in (1) 

through (3) above, ‘no’ points will be 

awarded under this factor. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (15 Points) 

a. In evaluating this factor, HUD will 

assess the extent to which you 

demonstrate how you will measure the 

results of the work of your organization 

as set out in your budget. Applicants 

must select from the list of activities and 

outcomes detailed in the Logic Model 

for the Initiative applied for and should 

determine from these selections, their 

specific methods and measures to assess 

progress, evaluate program 

effectiveness, and identify program 

changes necessary to improve 

performance. This will ensure that 

performance measures are met and that 

grantees are establishing achievable 

realistic goals. Applicants who have 

identified outputs and outcome 

measurements and methods for 

assessing those against commitments 

made in the application, will receive 

higher points than those that do not. To 

meet this Factor requirement, you must 

submit HUD’s Logic Model (HUD–

96010). 

Instructions and a Microsoft ExcelTM

form are provided in the forms 

appended to the Instruction Download 

on http://www.grants.gov/applicants/ 

apply_for_grants.jsp. Applicants that do 

not have access to Microsoft ExcelTM

may obtain a copy of the form in HTML 

fillable format along with a text format 

of the Master Logic Model listing, from 

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

offices/adm/grants/fundsavail.cfm. 

A narrative response is not required 

for this factor as all applicants must use 

the Logic Model Form to respond to this 

factor. Applicants that submit narrative 

responses rather than use the Logic 

Model Form will receive no points 

under this subfactor. Applicants should 

also review the Logic Model training 

which can be found at http:// 

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

training/training.cfm. 

b. In evaluating this factor: 

(1) HUD will review the activities/ 

outputs and outcomes units of 

measurement you selected and in 

relation to the needs of your intended 

audience or target populations; 

(2) Output. The direct products of the 

applicant’s activities that lead to the 

ultimate achievement of outcomes. 

Examples of activities and outputs for 

PEI and EOI applicants can be found at 

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

fundsavail.cfm. Applicants must select 

one or more activities from the listing of 

‘‘Fair Housing Services Provided’’ that 

will be undertaken by your 

organization. Applicants who do not 

select from the list ‘‘Fair Housing 

Services Provided’’ or those who do not 

add additional services to the list will 

not receive any points under this factor. 

(3) Outcome. The Logic Model has a 

prepared list of activities, outcomes and 

indicators associated with Fair Housing. 

Applicants must choose from this list of 

‘‘Year 1, Year 2, or Year 3’’ outcomes 

that are provided as part of the FHIP 

NOFA or applicants may choose others 

and provide a brief statement to 

describe other activities or outcomes. 

Applicants who do not select from the 

list ‘‘Outcomes and Indicators’’ or do 

not select others with a brief description 

will not receive any points under this 

factor. You should assess progress and 

track performance in meeting the goals 

and objectives outlined in the work 

plan. 

Accountability can be achieved using 

specific measurement tools to assess the 

impact of your activities. Examples 

include: 

• Intake Instrument; 

• Pre/Post Tests; 

• Customer/Client Satisfaction 

Survey; 

• Follow-up Survey; 

• Observational Survey; 

• Functioning scale; or 

• Self-sufficiency scale. 

Applicants must also reference policy 

priorities, as stated in your response to 

Factor 3, and relate them to your 

project’s goals, as appropriate. 

B. Criteria for National Based Program 

Applications 

Factors for Award Used to Evaluate 

and Rate Applications for the National 

Education and Outreach Initiative 

Program. The factors for rating and 

ranking applicants and the maximum 

points for each factor, are provided 

below. The maximum number of points 

awarded any application is 100. Bonus 

points are not available for this category 

of funding. 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Experience (25 Points) 

This factor addresses the extent to 

which the applicant has the 

organizational resources necessary to 

successfully implement the proposed 

activities in a timely manner, and the 

applicant’s ability to develop and 

implement large information campaign 

projects as appropriate, on a national 

scale. The rating of the ‘‘applicant’’ or 

the ‘‘applicant’s organization and staff’’

for technical merit or threshold 

compliance, unless otherwise specified, 

will include any subcontractors, 

consultants, and sub-recipients that are 

firmly committed to the project. 

You must describe staff expertise and 

your organization’s ability to complete 

the proposed activities within the grant 

period. 

In General. HUD recognizes that, in 

carrying out the proposed activities, you 

may have persons already on staff, plan 

to hire additional staff, or rely on 

subcontractors or consultants to perform 

specific tasks. You must describe your 

staffing plan and the extent to which 

you plan to add staff (employees) or 

contractors. If your application proposes 

using subcontractors and these 

subcontractor activities amount to more 

than 10 percent of your total activities, 

you must submit a separate budget for 

each subcontractor. Failure to include a 

separate budget will result in lower 

points being assessed to your 

application. 

(5) Points current FHIP grantees 

(10) Points for new applicants 

a. Number and expertise of staff (this 

includes subcontractors and 

consultants). You must show that you 

will have sufficient, qualified staff that 

will be available to complete the 

proposed activities. Provide the 

following information for all staff 

assigned to or hired for this project, not 

just key personnel (those persons 

identified in attachments to Rating 

Factor 3: Soundness of Approach): 

Identify by name and/or title and 

hours, all persons that will be assigned 

to the project. You must describe the 

knowledge and experience of the 

proposed overall project director or dayto-day program manager (whose duties 

and responsibilities include managing 

all program and administrative activities 

as outlined in the SOW and ensuring 

that all timelines are met), in planning 

and managing national projects similar 

in scope and complex interdisciplinary 

programs. To receive maximum points, 

your day-to-day program manager must 

devote a minimum of 75% of his/her 

time to the project. For day-to-day 

managers who do not have at least 75% 

(based on full-time) of their time 

devoted to the project, no points will be 

awarded under this sub-factor. For 

example, if the Executive Director is 

responsible for managing the overall 

program administrative activities, the 


rwilkins on PROD1PC63 with NOTICES_2
11518 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

application should reflect the Executive 

Director’s time as 75%. However, if a 

staff person will be assigned this 

responsibility, the 75% time should be 

reflected as such. You may demonstrate 

capacity by thoroughly describing your 

prior experience in conducting national 

and/or regional/local media campaigns. 

You should indicate how this prior 

experience will be used in carrying out 

your proposed activities. Your 

application must clearly identify those 

persons that are on staff at the time this 

application is filed, and those persons 

who will be assigned at a later date; 

describe each person’s duties and 

responsibilities and their expertise 

(including years of experience) to 

perform project tasks; indicate whether 

the staff person is assigned to work fulltime or part-time (if part-time, indicate 

the percentage of time each person is 

assigned to the project). 

If the applicant has experienced staff 

or if the applicant proposes to use a 

contractor sub-grantee, the extent to 

which the applicant provides a rationale 

for how it will utilize its staff or a 

contractor or sub-grantee to incorporate 

its proposed activities, methods, and 

how these media techniques will most 

effectively deal with the national need 

described by the applicant in response 

to the need described in Rating Factor 

2. To the extent possible, applicants 

should demonstrate effectiveness in 

terms of scope and cost. 

(10) Points for current FHIP grantees 

(15) Points for new applicants 

b. Organizational experience. In 

responding to this subfactor, you must 

show that your organization has the 

ability to effectively develop, 

implement, and manage a media 

campaign on a national scale. 

(Applicants must be an established 

media/advertisement organization and 

include as part of their proposal a 

subcontract with an established fair 

housing organization.) Applicants for 

FHIP program funding must specifically 

describe their experience in developing 

or carrying out programs to prevent or 

eliminate discriminatory housing 

practices. Applicants must discuss their 

ability to implement a coordinated 

national marketing awareness campaign, 

especially in the areas of fair housing, 

discrimination, public health, and 

housing. In responding to this subfactor, 

the applicant must describe the extent 

to which its past activities have resulted 

in successful national media campaigns 

as appropriate, especially with respect 

to developing and implementing 

innovative strategies resulting in 

positive public response. Experience 

will be judged in terms of recent, 

relevant and successful experience of 

your staff to undertake eligible 

activities. 

In rating this factor, HUD will 

consider experience within the last 3 

years to be recent, experience pertaining 

to the specific activities to be relevant, 

and experience producing measurable 

accomplishments to be successful. The 

more recent the experience and the 

more experience your own staff 

members who work on the project have 

in successfully conducting and 

completing similar activities, the greater 

the number of points you will receive 

for this rating factor. 

(10) Points for current FHIP grantees 

(0) Points for new applicants 

c. Performance on past project(s). 

HUD will assess your organization’s 

past performance in conducting 

activities relevant to your application. 

For current FHIPs, past performance 

will be assessed based on your most 

recent performance assessment received 

from your HUD Government Technical 

Representative (GTR) for the past two 

(2) complete fiscal years (FY 2004 and 

FY 2005). 

This information will be provided to 

the Technical Evaluation Panel (TEP) by 

HUD staff. Based on past performance, 

the following points will be deducted 

from your score under this rating subfactor: 

(1) 10 points out of 10 possible points 

will be deducted if you received a ‘‘fair 

performance’’ assessment; 

(2) 5 points out of 10 possible points 

will be deducted if you received a ‘‘good 

performance’’ assessment; and 

(3) 0 points will be deducted if you 

received an ‘‘excellent performance’’

assessment. 

2. Rating Factor 2: Need/Approach to 

the Problem (10 Points) 

This factor addresses the extent to 

which the applicant documents and 

defines the national need that its 

proposed activities and methods are 

intended to address, and how its 

proposal offers the most effective 

approach for dealing with that national 

need. In responding to this factor, an 

applicant will be evaluated on the 

extent to which the applicant defines, 

describes, and documents the national 

need the application intends to address, 

which demonstrates a grasp of the 

elements of the problem, its 

pervasiveness at the national level, and 

an understanding of the necessary mass 

media vehicles. The applicant’s 

description of the national need will be 

used to evaluate the depth of the 

applicant’s understanding of the 

problem as an indication of ability to 

address the problem. 

3. Rating Factor 3: Soundness of 

Approach (45 Points) 

This factor addresses the quality and 

cost-effectiveness of the applicant’s 

proposed Statement of Work (SOW). 

You must describe your project in 

detail, and how it will support the goals 

and policy priorities outlined in the 

General Section. For each goal and 

policy priority that your project 

addresses, you must propose 

performance measures/outcomes in 

support of these goals, and establish 

numerical baselines and targets for 

those measures. The SOW must address 

the strategy, quality and time frames 

needed to carry out the project and all 

activities as proposed. 

a. (8 Points) Support of HUD Goals. 

HUD encourages applicants to 

undertake specific activities that will 

assist the Department in implementing 

its policy priorities and which will help 

the Department achieve its goals and 

objectives in FY 2007. Describe how 

your proposed project will further and 

support HUD’s policy priorities for FY 

2007. The quality of the responses 

provided and the extent to which a 

program will further and support one or 

more of HUD’s priorities will determine 

the score an applicant can receive. 

Applicants must describe how each 

policy priority selected will be 

addressed. 

Applicants that just list a priority will 

receive no points. Each policy priority 

addressed if applicable, must discuss 

the national need in relation to the 

project’s purpose, the persons to be 

served and the methodology for carrying 

out these activities. Each policy priority 

has a point value of one point, with the 

exception of the policy priority to 

remove regulatory barriers to affordable 

housing which has a point value of up 

to 2 points; and, promoting 

participation by grassroots faith-based 

and other community-based 

organizations, or partnering with an 

organization promoting participation in 

grassroots faith-based and other 

community-based organizations, which 

has a point value of up to 4 points. It 

is up to the applicant to determine 

which of the policy priorities to address 

to receive the available 8 points. To 

secure the possible 2 points for efforts 

to remove regulatory barriers to 

affordable housing, an applicant must 

submit the completed questionnaire 

(HUD 27300), and provide the required 

documentation and contact information. 

Please see the General Section for 

further information on Removal of 

Regulatory Barriers to Affordable 

Housing. The questionnaire is part of 

the electronic application package. For 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11519 

the full list of each policy priority, 

please refer to the General Section. 

b. (22 Points) Statement of Work. 

Submit a proposed SOW that 

comprehensively outlines in 

chronological order the administrative 

and program activities and tasks to be 

performed during the grant period. Your 

outline should also include a schedule 

of proposed activities and products 

(with interim implementation steps), 

staff allocation over the term of the 

project, staff acquisitions and training, 

and activities of partners and 

subcontractors. However, points will be 

assigned based on the relevance of 

proposed activities to national needs 

stated in Factor 2, the attention given to 

implementation steps, the consistency 

of proposed activities with 

organizational expertise and capacity, 

and the accuracy of the SOW and 

budget. 

For this Component, HUD anticipates 

that products will be available in at least 

3 languages, including English. 

Deliverables may include Public Service 

Announcements (PSAs) for radio and 

television in both majority and minority 

markets, and posters and other graphic 

materials. Graphic materials may 

include, but are not limited to, enlarged 

reproductions of several print PSAs, 

separately produced and printed posters 

for national public dissemination, and 

the development of ad slicks to market 

in newspapers and magazines 

nationwide. The applicant should plan 

on using a clipping service or other 

appropriate means to collect 

information on frequency and scope of 

the placement of ads. 

Applicant’s SOW should: 

(1) Clearly describe the specific 

activities and tasks to be performed, the 

sequence in which the tasks are to be 

performed, noting areas of work which 

must be performed simultaneously, 

estimated completion dates, and the 

work and program deliverables to be 

completed within the grant period, 

including specific numbers of 

quantifiable end products and program 

improvements the applicant aims to 

deliver by the end of the award 

agreement period as a result of the work 

performed; 

(2) Provide national media market 

coverage, specific protected class focus, 

as well as focus on the 40th Anniversary 

of the signing of the Fair Housing Act, 

and 

(3) Describe their methods for 

distribution of finished materials. 

Applicants must describe the methods 

they will use to distribute and gauge the 

effectiveness of their national marketing 

strategies. In addition, applicant must 

be prepared to present the Media 

Campaign in time for beginning of Fair 

Housing Month activities in April of 

2008. 

c. (15 Points) Budget Form and 

Budget Information. A written budget 

narrative must accompany the proposed 

budget. HUD will also assess the 

soundness of your approach by 

evaluating the quality, thoroughness, 

and reasonableness of the budget and 

financial controls of your organization, 

including information on your proposed 

program cost categories. As part of your 

response, you must prepare a budget 

that is: 

(1) Reasonable in achieving the goals 

identified in your proposed SOW; 

(2) Relate tasks in the SOW to the 

proposed budget costs; 

(3) Cost-effective, and includes a brief 

discussion of the extent to which your 

proposed program is cost effective in 

achieving the anticipated results of the 

proposed activities in the targeted area. 

Also, indicate how the proposed project 

is quantifiable based on the needs 

identified in Rating Factor 2. Also 

indicate whether your proposed project 

is justifiable for all cost categories in 

accordance with the cost categories 

indicated in the HUD–424 CB. If you are 

awarded a grant or cooperative 

agreement under FHIP, staff will request 

that you include your approved indirect 

cost rate as part of your negotiations 

with HUD. If you do not have a 

Federally approved indirect cost rate 

and HUD is the cognizant agency, HUD 

will submit a request within 30 days 

after award to establish a rate. For 

information on indirect cost rates, you 

can review HUD’s training on http:// 

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

fundsavail.cfm. 

(4) In addition, the proposed activities 

will be conducted in a manner (e.g., 

languages, formats, locations, 

distribution, use of majority and 

minority media) that will reach and 

benefit all members of the public, 

especially members of target groups 

identified in Factor 2; 

(5) How proposed activities will yield 

long-term results and innovative 

strategies or ‘‘best practices’’ that can be 

readily disseminated to other 

organizations and State and local 

governments; and 

(6) The proposed Media Campaign 

Component will make available 

activities, training and meeting sites, 

and information services and materials 

in places and formats that are accessible 

to all persons including persons with 

disabilities. 

4. Rating Factor 4: Leveraging Resources 

(5 Points Maximum) 

This factor addresses your ability to 

secure additional resources to support 

your project. Points will be awarded on 

the basis of the percentage of non-FHIP 

resources you have received at 

application submission, in the form of 

firm commitments, or planned 

collaborative efforts you have with Fair 

Housing Assistance Program agencies. 

a. Firm Commitment of Leveraging or 

Collaboration. HUD requires you to 

secure resources from sources other 

than what is requested under this FHIP 

NOFA. Leveraging of community 

resources may include funding or inkind contributions, such as workspace 

or services or equipment, allocated to 

the purpose(s) of your proposal. 

Contributions from affiliates, 

subsidiaries, divisions, or employees of 

the applicant do not qualify as in-kind 

contributions. These resources may be 

provided by governmental entities 

(including other HUD programs if such 

costs are allowed by statute), public or 

private non-profit organizations, faithbased organizations, for-profit or civic 

private organizations, or other entities 

willing to work with you. Applicants 

may also leverage resources from their 

organization’s previously established 

savings and/or investment accounts; 

however, evidence of these resources 

must be provided. If leveraging 

community resources, in order to secure 

points you must establish leveraging of 

resources by identifying sources of 

contributors who have already provided 

to you letters of firm commitment from 

the organizations and/or individuals 

who will support your project. 

Leveraging through collaboration will 

require that you provide a list of 

activities you have or plan to have with 

Fair Housing Assistance Program 

(FHAP) agencies nationwide. 

Whether leveraging community or 

through collaboration, you must provide 

a letter of firm commitment from that 

agency, organization and/or individual 

on their letterhead stating their intent to 

work with you on your project. Each 

letter of firm commitment must: 

(1) Identify the agency, organization 

and/or individual committing resources 

to the project, the timeframes and 

timelines for use of the funds, state that 

the funds will be used for fair housing 

to support the applicant should they be 

awarded, and identify any affiliation 

with the applicant, 

(2) Identify the sources and amounts 

of the leveraged resources (the total 

FHIP and non-FHIP amounts must 

match those in your proposed budget 

submitted under Factor 3), and 


rwilkins on PROD1PC63 with NOTICES_2
11520 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(3) Describe how these resources will 

be used under your SOW. The letter 

must be dated and signed by the agency, 

individual and/or organization official 

legally able to make commitments for 

the organization. It must also be 

provided on the letterhead of the 

agency, organization and/or individual. 

If the resources are in-kind or donated 

goods, the commitment letter must 

indicate the fair market value of those 

resources and describe how this fair 

market value was determined. (Do not 

include indirect costs within your inkind resources). In-kind matching and 

leveraging contributions, as well as 

Program Income must comply with 24 

CFR 84.23 and 84.24 requirements. 

FHIP funds cannot be used for in-kind 

or donated services (for example, a 

current staff person on a FHIP-funded 

project). No points will be awarded for 

general letters of support endorsing the 

project from the agency or 

organizations, including elected officials 

on the local, State, or national levels, 

and/or individuals in your community. 

See General Section for instructions on 

how third party documents are to be 

submitted to HUD via the electronic 

submission process. If your project will 

not be supported by non-FHIP 

resources, then you will not receive any 

points under this factor. Points under 

the factor will be assigned based on the 

following scale: 

One point will be awarded if less than 

5% of the projects total costs come from 

non-FHIP resources. 

Two points will be awarded if 

between 5% and 10% of the project’s 

total costs are from non-FHIP resources. 

Three points will be awarded if 

between 11% and 20% of the project’s 

total costs are from non-FHIP resources. 

Four points will be awarded if 

between 21% and 30% of the project’s 

total costs are from non-FHIP resources. 

Five points will be awarded if at least 

31% of the project’s total costs are from 

non-FHIP resources. 

Five points will be awarded if your 

application contains a firm letter of 

commitment from a Fair Housing 

Assistance Program agency stating their 

firm commitment to work with you on 

your project. Should the letter lack any 

of the required information listed in (1) 

through (3) above, ‘no’ points will be 

awarded under this factor. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (15 Points) 

a. In evaluating this factor, HUD will 

assess the extent to which you 

demonstrate how you will measure the 

results of the work of your organization 

as set out in your budget and Statement 

of Work. Applicants must select from 

the list of activities and outcomes 

detailed in the Logic Model and should 

determine from these selections, their 

specific methods and measures to assess 

progress, evaluate program 

effectiveness, and identify program 

changes necessary to improve 

performance. This will ensure that 

performance measures are met and that 

grantees are establishing achievable 

realistic goals. Applicants who have 

identified outputs and outcome 

measurements and methods for 

assessing those measurements against 

commitments made in the application, 

will receive higher points than those 

that do not. To meet this Factor 

requirement, you must submit a 

completed HUD’s Logic Model (HUD–

96010). 

Instructions and a Microsoft ExcelTM

form are provided in the forms 

appended to the Instruction Download 

on www.Grants.gov/APPLY. Applicants 

that do not have access to Microsoft 

ExcelTM may obtain a copy of the form 

in HTML fillable format along with a 

text format of the Master Logic Model 

listing, from HUD’s Web site at http:// 

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

fundsavail.cfm. 

A narrative response is not required 

for this factor as all applicants must use 

the Logic Model Form to respond to this 

Factor. Applicants that submit narrative 

responses rather than use the Logic 

Model Form will receive no points 

under this subfactor. Applicants should 

also review the Logic Model training 

which can be found at http:// 

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

training/training.cfm. 

b. In evaluating this Factor: 

(1) HUD will review the activities/ 

outputs and outcomes units of 

measurement you selected and in 

relation to the needs of your intended 

audience or target populations; 

(2) Output. The direct products of the 

applicant’s activities that lead to the 

ultimate achievement of outcomes. 

Examples of activities and outputs for 

EOI applicants can be found at http:// 

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

fundsavail.cfm. Applicants must select 

one or more activities from the listing of 

‘‘Fair Housing Services Provided’’ that 

will be undertaken by your 

organization. Applicants who do not 

select from the list ‘‘Fair Housing 

Services Provided’’ or who do not add 

additional services to the list will not 

receive any points under this Factor. 

(3) Outcome. The Logic Model has a 

prepared list of activities, outcomes and 

indicators associated with Fair Housing. 

Applicants must choose from this list of 

‘‘Year 1, Year 2, or Year 3’’ outcomes 

that are provided as part of the FHIP 

NOFA or applicants may choose others 

and provide a brief statement to 

describe other activities or outcomes. 

Applicants who do not select from the 

list ‘‘Outcomes and Indicators’’ or do 

not select ‘‘Other’’ with a brief 

description will not receive any points 

under this Factor. You should assess 

progress and track performance in 

meeting the goals and objectives 

outlined in the work plan. 

Accountability can be achieved using 

specific measurement tools to assess the 

impact of your activities. Examples 

include: 

• Intake Instrument; 

• Pre/Post Tests; 

• Customer/Client Satisfaction 

Survey; 

• Follow-up Survey; 

• Observational Survey; 

• Functioning scale; or 

• Self-sufficiency scale. 

Applicants must also reference policy 

priorities, as stated in your response to 

Factor 3, and relate them to your 

project’s goals, as appropriate. 

C. Reviews and Selection Process 

1. Rating and Ranking. Although all 

rating factors are organized the same 

way for all FHIP initiatives, there are 

differences in application requirements 

and rating criteria, which are indicated 

throughout the Rating Factor 

instructions. Your application for 

funding will be evaluated competitively 

against all other applications submitted 

under one of the following Initiatives or 

Components: 

a. Private Enforcement Initiative 

(PEI)—

(1) General Component (PEI–GC); 

(2) Performance Based Funding 

Component (PBFC); 

b. Education and Outreach Initiative 

(EOI)—

(1) Regional/Local/Community Based 

Program 

(a) General Component (EOI–GC); 

(b) Clinical Law School Component 

(EOI–CLS) 

(2) National Based Program 

(a) Media Campaign Component 

c. For all initiatives, all eligible 

applications will be reviewed and 

points awarded based upon: 

(1) Narrative responses to the Factors 

for Award and accompanying materials, 

and 

(2) RC/EC/EZ–IIs bonus points, as 

applicable. Ineligible applications will 

not be ranked. The maximum number of 

points to be awarded for the Rating 

Factors is 100. See the General Section 

for information on Bonus Points. 

Only applications with a score of 

seventy-five (75) points or more will be 

considered of sufficient quality for 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11521 

funding. Generally, applications of 

sufficient quality for funding will be 

selected in rank order under each 

Initiative or Component. 

PBFC applicants will be evaluated 

competitively against other PBFC 

applicants who apply and have received 

two years of excellent performance 

reviews for FHIP PEI awards made in 

any two consecutive years from FY 2003 

through FY 2005, as well as scoring a 95 

on their most current performance 

review. These applicants will then be 

rated by the Technical Evaluation Panel 

and ranked by score. Only those 

applicants who receive a minimum final 

score of 95 or above from the TEP will 

be considered for funding under this 

Component. 

2. Tie Breaking. When two or more 

applications have the same total overall 

score, the application with the higher 

score under Rating Factor 3 will be 

ranked higher. If applications still have 

the same score, the following factors 

will be selected sequentially until one 

applicant can be determined: higher 

score under Rating Factor 1, the higher 

score under Rating Factor 2, the lower 

amount of FHIP funding requested. 

3. Achieving Geographic Diversity of 

Awards. 

a. PEI and EOI: HUD reserves the right 

to apply geographic diversity, to ensure 

that, to the extent possible, applications 

from more States for each Initiative or 

Component are selected for funding. If 

the Selecting Official exercises this 

discretion, there will be two 

determinants used: (1) geography and 

(2) score. Geographic diversity shall be 

applied to all qualified applications 

(applications of sufficient quality for 

funding—applications that received a 

score of 75 or more points) in each 

Initiative or Component in which the 

Selecting Official applies geographic 

diversity. The geographic diversity 

provision will be applied as follows: 

when there are two or more applications 

of sufficient quality from the same State, 

the application(s) with the lower 

score(s) will be moved to the end of the 

qualified queue. The applications 

moved to the end of the qualified queue 

will retain their geographic rank order. 

If sufficient funds remain, it is possible 

that applications moved to the end of 

the queue may be selected for award. 

For the Clinical Law Program 

Component, and the Media Campaign 

Component, the geographic diversity 

provision does not apply. 

4. Adjustments to Funding. As 

provided in the General Section, HUD 

may approve an application for an 

amount lower than the amount 

requested, fund only portions of the 

application, withhold funds after 

approval, reallocate funds among 

activities and/or require that special 

conditions be added to the grant 

agreement, in accordance with 24 CFR 

84.14, the requirements of the General 

Section, or where: 

a. HUD determines the amount 

requested for one or more eligible 

activities is unreasonable or 

unnecessary; 

b. An ineligible activity is proposed in 

an otherwise eligible project; 

c. Insufficient amounts remain to fund 

the full amount requested in the 

application, and HUD determines that 

partial funding is a viable option; 

d. The past record of key personnel 

warrants special conditions; or 

e. Training funds are not reserved for 

FHIP training. 

5. Reallocation of Funds. If after all 

applications within funding range have 

been selected or obligations are 

completed in an Initiative and funds 

remain available, the Selecting Official 

or designee will have the discretion to 

reallocate leftover funds in rank order 

among Initiatives as follows: 

a. For EOI, any remaining funds from 

any component will be reallocated first 

within the Initiative; if after reallocating 

funds within the Initiative left over 

funds remain, they shall be reallocated 

to PEI; 

b. For PEI, any remaining funds from 

any component will be reallocated first 

within the Initiative, if after reallocating 

funds within the Initiative left over 

funds remain, they shall be reallocated 

to EOI. 

D. Anticipated Announcement and 

Award Dates. For planning purposes, 

anticipate an announcement date of 

September 23, 2007 and an award date 

of September 29, 2007. 

VI. Award Administration Information 

A. Award Notices 

1. Applicant Notification and Award 

Procedures. 

a. Notification. No information about 

the review and award process will be 

available during the period of HUD 

evaluation, which begins on the 

application deadline date under this 

NOFA and lasts approximately 90 days 

thereafter. However, you will be 

advised, in writing or by telephone, if 

HUD determines that your application is 

ineligible or has technical deficiencies 

which may be corrected as described in 

the General Section. HUD will 

communicate only with persons 

specifically identified in the application 

on the SF–424. HUD will not provide 

information about the application to 

third parties such as subcontractors. 

b. Negotiations. If you are selected, 

HUD will require you to participate in 

negotiations to determine the specific 

terms of your cooperative or grant 

agreement. HUD will follow the 

negotiation procedures described in the 

General Section. The selection is 

conditional and does not become final 

until the negotiations between the 

applicant and the Department are 

successfully concluded and the grant or 

cooperative agreement is signed and 

executed. HUD will negotiate only with 

the person identified in the application 

as the Director of the organization or if 

specifically identified in the application 

as the Project Director. HUD will not 

negotiate with any third party (i.e., a 

subcontractor, etc.). The Grant Officer 

and Government Technical 

Representative will determine on a caseby-case basis if technical assistance or 

special conditions are required. 

Performance Based Funding 

Component-Applicants selected for 

funding under the PBFC will be 

required to submit a SOW and a 

separate budget for each year that 

projects the agency’s activities for a 

period of three years commensurate 

with the level of funding. 

c. Applicant Debriefing. After awards 

are announced, applicants may receive 

a debriefing on their application as 

described in the General Section. 

Materials provided during the 

debriefing will be the applicant’s final 

scores for each rating factor and final 

evaluator comments for each rating 

factor. Applicants requesting a 

debriefing must send a written request 

to Annette Corley, Grant Officer, U.S. 

Department of Housing and Urban 

Development, FHIP/Support Division, 

451 Seventh Street, SW., Room 5224, 

Washington, DC 20410. HUD will not 

release the names of applicants or their 

scores to third parties. 

B. Administrative and National Policy 

Requirements 

1. Accessibility Requirements. All 

activities, facilities, and materials 

funded by this Program must be 

accessible to persons with disabilities 

(24 CFR 8.2, 8.4, 8.6, and 8.54). 

2. Protected Classes. All FHIP-funded 

projects must address housing 

discrimination based upon race, color, 

religion, sex, disability, familial status, 

or national origin. 

3. Environmental Requirements. In 

accordance with 24 CFR 50.19(b)(3), (4), 

(9), (12), and (13) of HUD regulations, 

activities assisted under this program 

are categorically excluded from the 

requirements of the National 

Environmental Policy Act and are not 

subject to environmental review under 

related laws and authorities. 


rwilkins on PROD1PC63 with NOTICES_2
11522 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

4. Procurement of Recovered 

Materials. State agencies (FHAP 

agencies) and agencies of a political 

subdivision of a State that are using 

assistance under a HUD program NOFA 

for procurement, and any person 

contracting with such an agency with 

respect to work performed under an 

assisted contract, must comply with the 

requirements of Section 6002 of the 

Solid Waste Disposal Act, as amended 

by the Resource Conservation and 

Recovery Act. See General Section for 

details. 

5. Product Information. Press releases 

and any other product intended to be 

disseminated to the public must be 

submitted to the Government Technical 

Representative (GTR) two weeks before 

release for approval and acceptance. 

6. Ensuring the Participation of Small 

Businesses, Small Disadvantaged 

Businesses, and Women Owned 

Businesses. (See General Section). 

7. Payment Contingent on 

Completion. Payment of FHIP funds is 

made on a reimbursement basis. 

Payments are contingent on the 

satisfactory and timely completion of 

your project activities and products as 

reflected in your grant or cooperative 

agreement. Requests for funds must be 

accompanied by financial and progress 

reports. 

8. Copyright Materials. You may 

copyright any work that is eligible for 

copyright protection subject to HUD’s 

right to reproduce, publish, or otherwise 

use your work for Federal purposes, and 

to authorize others to do so as required 

in 24 CFR 84.36. 

9. Complaints Against Awardees. 

Each FHIP award is overseen by a HUD 

Grant Officer (See www.hud.gov for list 

of Grant Officers per region). 

Complaints from the public against 

FHIP grantees should be forwarded to 

the Grant Officer. The Grant Officer’s 

name and contact information is 

provided in the grant agreement. If, after 

notice and consideration of relevant 

information, the Grant Officer concludes 

that there has been inappropriate 

conduct, such as a violation of FHIP 

program requirements, terms or 

conditions of the grant, or any other 

applicable statute, regulation or other 

requirement, HUD will take appropriate 

action in accordance with 24 CFR 84.62. 

Such action may include: written 

reprimand; consideration of past 

performance in awarding future FHIP 

applications; repayment to HUD of 

funds received under the grant; or 

temporary or permanent denial of 

participation in the FHIP in accordance 

with 24 CFR part 24. 

10. Double Payments. If you are 

awarded funds under this NOFA, you 

(and any subcontractor or consultant) 

may not charge or claim credit for the 

activities performed under this project 

under any other Federally assisted 

project. 

11. Performance Sanctions. A grantee 

or subcontractor failing to comply with 

the requirements set forth in its grant 

agreement will be liable for such 

sanctions as may be authorized by law, 

including repayment of improperly used 

funds, termination of further 

participation in the FHIP, and denial of 

further participation in programs of 

HUD or any Federal agency. 

C. Reporting 

1. HUD requires that funded 

recipients collect racial and ethnic 

beneficiary data. It has adopted the 

Office of Management and Budget’s 

Standards for the Collection of Racial 

and Ethnic Data. In view of these 

requirements, you should use Form 

HUD–27061, Racial and Ethnic Data 

Reporting Form (and instructions for its 

use), found on www.HUDclips.org, a 

comparable program form, or a 

comparable electronic data system for 

this purpose. Quarterly and as your 

project ends, you must report 

meaningful data derived from client 

feedback on how they benefited from 

your project’s activities. 

2. Listed below is a sample-reporting 

document of activities and tasks to be 

performed by a FHIP Grantee. 

Administrative activities 

Tasks Submitted by Submitted to 

Activities 

1. Complete HUD–22081 Race and Ethnic 

Data Reporting Form.

45 Days ........................................................... GTR/GTM..

2. Complete HUD–28807 Disclosure Statements.Submit Disclosure Statement. If no changes 

occur, submit statement of no change with 

final report.

When changes occur GTR/GTM. 

3. Complete SF–269A Financial Status Report 

and Written Quarterly Status Reports on All 

Activities.

Submit SF–269A and Copy of Written Report Quarterly ..................... GTR/GTM. 

4. Voucher for Payment ................................... Submit payment request to LOCCS ............... Per Payment Schedule.GTR/GTM. 

5. Complete Listing of Current or Pending 

Grants/Contracts/Other Financial Agreements.

Submit listing for recipient and any contractors.45 Days and at end of 

Grant.

GTR/GTM. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11523 

Administrative activities 

Tasks Submitted by Submitted to 

Activities 

6. Prepare and Submit Draft of Final Report, 

including HUD 96010.

Submit Draft of Report. Report your eLogic 

Model Reporting your short- and intermediate-term outputs and outcomes as 

contained in the eLogic Model submitted 

and approved in your grant agreement. 

Your report and eLogic Model should identify results and benefits to date of the work 

accomplished under the FHIP award. In 

addition, the eLogic Model should include 

an attachment that addresses the management questions applicable to your work 

program. Complaint and testing activities 

should provide data on complaints received 

and tests conducted by basis, issues, and 

outcomes. This should include number of 

credible, legitimate complaints filed with 

HUD, a State or local Fair Housing Agency, Department of Justice or private litigator; and types of relief/results.

One month before end 

of grant term.

GTR/GTM. 

7. Complete Final Report and Provide Copies 

of All Final Products Not Previously Submitted.

Submit a copy of the Final Report, including 

a final Logic Model with all outputs and 

outcomes identified, and management 

questions responded to. Submit all Final 

Products not previously submitted to GTR 

and GTM.

Within 90 days after 

end of grant term.

GTR/GTM. 

8. Submit 2 copies of Final Report and all final 

program products produced under the Grant 

(with diskette, where feasible) to HUD.

Submit detailed description of items submitted to GTR and GTM.Within 90 days after 

end of grant term.

GTR/GTM. 

VII. Agency Contacts 

You may contact Myron P. Newry or 

Denise L. Brooks, of the Office of Fair 

Housing and Equal Opportunity’s FHIP 

Support Division, at 202–708–0800, ext. 

7095 or 7050, respectively (this is not a 

toll-free number). Persons with hearing 

or speech impairments may contact the 

Division by calling 1–800–290–1617 

(this is a toll-free number). 

VIII. Other Information 

1. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

approval number 2529–0033. In 

accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burdens for the 

collection of information is estimated to 

approximate 105 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, semi-annual 

reports and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
11524 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.011</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11525 

Housing Counseling Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Single Family Housing. 

B. Funding Opportunity Title: 

Housing Counseling Program. 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: FR–

5100–N–09; OMB Approval number is: 

2502–0261. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: 14.169 

Housing Counseling Assistance 

Program. 

F. Dates: The application deadline 

date is May 17, 2007. Applications 

submitted through http:// 

www.grants.gov must be received and 

validated by grants.gov no later than 

11:59:59 p.m. eastern time on the 

application deadline date. See Section 

IV of the General Section, regarding 

application submission procedures and 

timely filing requirements. 

G. Available Funds: Approximately 

$41.08 million is made available for 

eligible applicants under this program 

NOFA. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description. This program 

supports the delivery of a wide variety 

of housing counseling services to 

homebuyers, homeowners, low- to 

moderate-income renters, and the 

homeless. The primary objectives of the 

program are to expand homeownership 

opportunities, improve access to 

affordable housing and preserve 

homeownership. Counselors provide 

guidance and advice to help families 

and individuals improve their housing 

conditions and meet the responsibilities 

of tenancy and homeownership. 

Counselors also help borrowers avoid 

inflated appraisals, unreasonably high 

interest rates, unaffordable repayment 

terms, and other conditions that can 

result in a loss of equity, increased debt, 

default, and eventually foreclosure. 

Applicants funded through this program 

may also provide Home Equity 

Conversion Mortgage (HECM) 

counseling to elderly homeowners who 

seek to convert equity in their homes 

into income that can be used to pay for 

home improvements, medical costs, 

living expenses, or other expenses. 

B. Grant Applicant Categories. HUD 

will award a single comprehensive grant 

to qualified applicants through one of 

three categories: 

(1) Local Housing Counseling 

Agencies (LHCAs); 

(2) National and Regional 

Intermediaries (Intermediaries); and 

(3) State Housing Finance Agencies 

(SHFAs). 

Supplemental funding is available to 

qualified intermediaries for counseling 

and educational activities in 

conjunction with HUD’s Home Equity 

Conversion Mortgage (HECM) Program. 

C. Authority. HUD’s Housing 

Counseling Program is authorized by 

section 106 of the Housing and Urban 

Development Act of 1968 (12 U.S.C. 

1701x). 

The Home Equity Conversion 

Mortgage (HECM) Program is authorized 

by section 255 of the National Housing 

Act (12 U.S.C. 1715z–20). 

D. Definitions. 

1. Affiliate. An affiliate is a separately 

incorporated or organized housing 

counseling agency connected with an 

intermediary or SHFA for the purposes 

of its housing counseling program. To 

be eligible for a sub-grant an affiliate 

must be: (1) Duly organized and existing 

as a nonprofit, (2) in good standing 

under the laws of the state of its 

organization, and (3) authorized to do 

business in the states where it proposes 

to provide housing counseling services. 

2. Applicant. ‘‘Applicant’’ refers to a 

HUD-approved housing counseling 

agency or SHFA applying for a Housing 

Counseling grant from HUD through this 

NOFA. The term ‘‘Applicant’’ includes 

the agency’s branch or branch offices 

identified in its application. 

3. Branch. ‘‘Branch’’ or ‘‘Branch 

Office’’ refers to an organizational and 

subordinate unit of an LHCA or 

Intermediary not separately 

incorporated or organized. A Branch or 

Branch Office must be in good standing 

under the laws of the state where it is 

authorized to do business and where it 

proposes to provide housing counseling 

services. A Branch or Branch Office 

cannot be an applicant, affiliate or subgrantee. 

4. Grantee. ‘‘Grantee’’ refers to the 

HUD-approved housing counseling 

agencies or SHFAs that receive housing 

counseling funds from HUD through 

this NOFA. The term ‘‘Grantee’’

includes the agency’s branch or branch 

offices identified in its application. 

5. HUD HECM Network Counselor. A 

‘‘HUD HECM Network Counselor’’ is a 

housing counselor that has passed the 

HECM exam administered by HUD and/ 

or its agent, and is approved by HUD to 

provide HECM counseling nationally by 

telephone. 

6. Intermediary. ‘‘Intermediary’’ refers 

to a HUD-approved national or regional 

organization that provides housing 

counseling services through its branches 

or affiliates. 

7. Local Housing Counseling Agency 

(LHCA). ‘‘LHCA’’ refers to a HUDapproved Local Housing Counseling 

Agency. LHCAs must be approved by 

one of HUD’s four HOCs. Affiliates of 

HUD-approved Housing Counseling 

intermediaries are not HUD-approved 

LHCAs by virtue of their affiliation with 

the intermediary. They are, however, 

eligible to individually apply for HUD 

approval as an LHCA. 

8. State Housing Finance Agency 

(SHFA). For the purpose of this NOFA, 

a ‘‘SHFA’’ is the unique public body, 

agency, or instrumentality created by a 

specific act of a state legislature and 

empowered to finance activities 

designed to provide housing and related 

facilities and services, for example 

through land acquisition, construction 

or rehabilitation, throughout a state. The 

term state includes the fifty states, 

Puerto Rico, the District of Columbia, 

Guam, the Commonwealth of the 

Northern Mariana Islands, American 

Samoa, and the U.S. Virgin Islands. 

9. Sub-grantee. ‘‘Sub-grantee’’ refers to 

an organization to which the grantee 

awards a sub-grant, and which is 

accountable to the grantee for the use of 

the funds provided. A Sub-grantee may 

be separately incorporated or organized, 

but connected with an intermediary or 

SHFA for purposes of this NOFA. 

All Sub-grantees must be identified in 

the grantee’s application. Under certain 

conditions, grantees may amend their 

Sub-grantee list after awards are made. 

II. Award Information 

A. Amount Allocated. Of the 

approximately $41.5 million 

appropriated for housing counseling in 

FY2007 under the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007), 

approximately $41.08 million is 

available for eligible applicants under 

this NOFA. Approximately $38.08 

million is available for comprehensive 

counseling. Approximately $3.0 million 

is available for HECM counseling. 

B. Specific Allocations. 

Comprehensive counseling funding is 

distributed over three applicant 

categories, as shown below. 


rwilkins on PROD1PC63 with NOTICES_2
11526 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Applicant categories Who is eligible Total amount 

available 

Category 1—LHCAs ................................................................... HUD-approved Local Housing Counseling Agencies ................ $14,748,800 

Category 2—Intermediaries ........................................................ HUD-approved National and Regional Intermediaries ............... 21,054,720 

Category 3—SHFAs ................................................................... State Housing Finance Agencies ............................................... 2,276,480 

1. Category 1—Local Housing 

Counseling Agencies (LHCAs). For the 

grant period October 1, 2007 through 

September 30, 2008, approximately 

$14,748,800 is available from HUD to 

directly fund HUD-approved LHCAs. A 

LHCA can only request funding for its 

main office and branches located in the 

same state as the main office and/or 

located in one other contiguous state. 

2. Category 2—Intermediaries. For the 

grant period October 1, 2007 through 

September 30, 2008, approximately 

$24,054,720 is available from HUD to 

directly fund HUD-approved 

Intermediaries, including $21,054,720 

for comprehensive counseling and $3.0 

million for HECM counseling. 

3. Category 3—State Housing Finance 

Agencies (SHFAs). For the grant period 

October 1, 2007 through September 30, 

2008, approximately $2,276,480 is 

available to fund SHFAs that provide 

housing counseling services directly or 

serve as intermediaries to Affiliates who 

offer housing counseling services. 

C. Individual Awards 

1. Category 1. No individual LHCA 

may be awarded more than $150,000. 

HUD anticipates that the average total 

award for LHCAs will be approximately 

$36,000. 

2. Category 2. Awards for individual 

HUD-approved intermediaries may not 

exceed $5.5 million, which includes any 

HECM supplemental funding. The limit 

for Comprehensive Counseling is $2.5 

million and the limit for HECM 

counseling is $3.0 million. HUD 

anticipates that the average total award 

for Intermediaries will be $1.2 million. 

3. Category 3. No individual SHFA 

may be awarded more than $450,000. 

HUD anticipates that the average total 

award for SHFAs will be approximately 

$135,000. 

D. Grant Period. Funds awarded shall 

be available for a period of 12 calendar 

months. 

E. Award Instrument. HUD will use a 

Grant Agreement. All Housing 

Counseling Program awards will be 

made on a cost reimbursement basis. 

III. Eligibility Information 

A. Eligible Applicants. Eligible 

applicants include: HUD-approved 

Local Housing Counseling Agencies 

(LHCAs); HUD-approved national and 

regional intermediaries (Intermediaries); 

and State Housing Finance Agencies 

(SHFAs). 

B. Cost Sharing or Matching. No 

specific ratio is required. However, in 

order to receive points under Rating 

Factor 4, applicants are required to 

demonstrate the commitment of other 

private and public sources of funding to 

supplement HUD funding for the 

applicant’s counseling program. HUD 

does not intend for its Housing 

Counseling grant to cover all costs 

incurred by an applicant. 

C. Other. 1. Eligible Activities for 

Awards Under All Applicant Categories. 

Grantees and sub-grantees will only be 

reimbursed for the applicable activities 

outlined in this Section. 

a. Individual counseling or group 

education/classes regarding the 

following topics: 

(1) Pre-Purchase/Homebuying. This 

includes: evaluating mortgagor 

readiness; search assistance/mobility; 

fair housing, including whether or not 

the beneficiary belongs to a protected 

class, and how to recognize 

discrimination; budgeting for mortgage 

payments; money management (does 

not include administration of debt 

management plans whereby an 

organization pays bills on behalf of a 

client); selecting a real estate agent; and 

home inspection. This also may include 

guidance on: alternative sources of 

mortgage credit; how to apply for 

special programs available to potential 

homebuyers; how to identify and avoid 

predatory lending practices; locating 

housing that provides universal design 

and visitability; locating sources and 

methods to help pay for accessibility 

modifications; how to purchase a home 

using the Section 8 Homeownership 

Voucher Program; and referrals to 

community services and regulatory 

agencies. Applicants that provide 

homebuyer education must also offer 

individual counseling that complements 

the group sessions. 

(2) Resolving or Preventing Mortgage 

Delinquency or Default. This includes: 

restructuring debt, obtaining recertification for mortgage subsidy, 

establishing reinstatement plans, 

seeking loan forbearance, and managing 

household finances. This can also 

include helping clients affected by 

predatory lending, homeownership 

preservation and foreclosure prevention 

strategies, explaining the foreclosure 

process, providing referrals to other 

sources, and assisting clients with 

locating alternative housing, or pursuing 

loss mitigation strategies. 

(3) Non-Delinquency Post-Purchase, 

Including Improving Mortgage Terms 

and Home Improvement. This includes 

information and advice on finding 

favorable mortgage loan terms, personal 

money management, and relations with 

lenders. It also includes: home 

improvement and rehabilitation; 

property maintenance; loan and grant 

options; the loan or grant application 

processes; what housing codes and 

housing enforcement procedures apply 

for the intended activity; accessibility 

codes and how to design features to 

provide accessibility for persons with 

disabilities; non-discriminatory lending 

and funding for persons who modify 

their dwellings to accommodate 

disabilities; visitability and universal 

design; how to specify and bid 

construction work; how to enter into 

construction contracts; and how to 

manage construction contracts, 

including actions to address the nonperformance of contractors. Agencies 

that provide post-purchase education 

classes must also offer individual 

counseling to complement group 

sessions. 

(4) Locating, Securing, or Maintaining 

Residence in Rental Housing. This refers 

to renter-related topics, including: 

helping clients obtain and utilize rent 

subsidies; pre-rental search assistance/ 

mobility counseling; budgeting for rent 

payments; educating clients on 

landlords’ and renters’ rights; 

explaining the eviction process; 

ensuring clients understand their rights 

when faced with displacement; 

explaining the responsibility of the 

entity causing displacement; and 

providing assistance with locating 

alternate housing. 

(5) Shelter or Services for the 

Homeless. Includes referrals to social, 

community, and homeless services such 

as emergency shelter or transitional 

housing. 

b. HECM Counseling. This includes 

providing the statutorily-required 

counseling to individuals/families that 

may be eligible for, or are interested in 

obtaining, an FHA-insured Home Equity 

Conversion Mortgage (HECM). This 

counseling assists elderly homeowners 

who seek to convert equity in their 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11527 

homes into income that can be used to 

pay for home improvements, medical 

costs, living expenses, or other 

expenses. 

c. Marketing and Outreach Initiatives. 

This includes providing general 

information and materials about 

housing opportunities and issues, 

conducting informational campaigns, 

advocating with lenders for nontraditional lending standards, and 

raising awareness about critical housing 

topics, such as predatory lending or fair 

housing issues. (Note: affirmative fair 

housing outreach should be directed at 

those populations least likely to seek 

counseling services, including those of 

racial, religious or national groups not 

normally served by the sponsoring 

agency. To do so, it may be necessary 

to broaden the target areas or provide 

translation and interpretive services in 

languages other than English in order to 

reach a greater variety of racial and 

ethnic minorities. It may also require 

providing outreach and services in 

alternative formats for persons with 

disabilities). 

d. Training. Training to increase the 

capacity of housing counselors and 

program managers. 

e. Computer equipment/systems. 

Computer equipment/systems with the 

objective of improving the quality of 

counseling and education services 

available. 

f. Administrative Costs. For 

intermediaries and SHFAs, 

administrative costs associated with 

managing a network of housing 

counseling agencies and providing 

technical assistance. 

2. Threshold Requirements. 

Applications that do not meet all of the 

following Threshold Requirements are 

not eligible to receive an award from 

HUD. 

a. Applicants, and subgrantees, must 

meet the Threshold Requirements in the 

General Section. 

b. Minimum grant request. 

Applications must contain a request for 

comprehensive funds of not less than 

$20,000 from LHCAs, not less than 

$50,000 from SHFAs and not less than 

$200,000 from Intermediaries. 

Applications for lesser amounts will not 

be considered. Intermediaries must 

request a minimum of $500,000 for 

HECM supplemental funding. HUD will 

consider the amount of the 

comprehensive counseling grant being 

requested to be the value entered into 

box 18a on form SF–424. For 

intermediaries also requesting HECM 

supplemental funding, box 18a of form 

SF–424 should reflect the total of the 

comprehensive request and the HECM 

supplemental request. For these 

intermediaries requesting both, the 

narrative response to Factor 3 must 

make clear the exact comprehensive and 

supplemental amounts being requested. 

c. Only HUD-approved Housing 

Counseling Agencies and SHFAs may 

apply. Applicants must be currently 

approved by HUD as an LHCA or as a 

housing counseling intermediary, and 

have secured HUD approval as a 

housing counseling agency by the 

publication date of this Housing 

Counseling Program NOFA. SHFAs are 

not required to be HUD-approved, but 

must meet the eligibility requirements 

listed in this NOFA. 

d. Applicants Requesting 

Supplemental HECM Funding. No 

separate application is needed to apply 

for supplemental funding. However, 

applicants requesting supplemental 

HECM funding must meet the following 

requirements: 

(1) Request the supplemental funding 

by identifying in box 18a of form SF–

424 the total of the comprehensive 

request and the HECM supplemental 

request, and making clear in the 

narrative response to Factor 3 the exact 

comprehensive and supplemental 

amounts being requested; 

(2) Identify HECM-related needs in 

the target community in its response to 

Rating Factor 2; 

(3) Respond to all HECM-related 

requests for information throughout the 

NOFA; 

(4) Include counseling and other 

related activities targeted at HECM 

clients over and above the proposed 

comprehensive counseling activities 

listed in response to the Rating Factors; 

and 

(5) Indicate in the Rating Factors how 

many individuals will be served 

specifically with the requested 

supplemental funding for HECM 

counseling in addition to those served 

under the comprehensive counseling 

award. Be sure to clearly identify the 

total number projected to be served, the 

activities to be provided, and the output 

and outcome goals to be achieved with 

the supplemental funding. 

3. Other Program Requirements 

a. To receive a grant or subgrant under 

this Housing Counseling NOFA, all 

applicants and subgrantees (except 

SHFAs) must be: 

(1) In good standing under the laws of 

the state of their organization; and 

(2) Authorized to do business in the 

states where they propose to provide 

housing counseling services. 

(3) All grantees and sub-grantees must 

make counseling offices and services 

accessible to persons with a wide range 

of disabilities and help persons locate 

suitable housing in locations throughout 

the applicant’s community, target area, 

or metropolitan area, as defined by the 

applicant. 

b. Limits on Applications 

1. HUD-approved LHCAs. HUDapproved LHCAs may apply for and 

receive: one grant under Applicant 

Category 1; or one sub-grant from an 

intermediary or SHFA under Applicant 

Category 2 or 3, but not both. The only 

exceptions to this rule are: (a) HUDapproved LHCAs with one or more HUD 

HECM Network Counselors may receive 

a sub-grant or be reimbursed exclusively 

for HECM counseling activities from a 

HUD-approved intermediary 

administering the HECM supplemental 

funds made available through this 

NOFA or by another entity designated 

by HUD; and/or (b) HUD-approved 

LHCAs may also receive a sub-grant or 

be reimbursed for default counseling 

activities by a HUD-approved 

intermediary that is dedicated to 

foreclosure prevention exclusively. 

Funded LHCAs may not make subgrants to other HUD-approved LHCAs or 

non-HUD-approved entities. 

2. HUD-approved Intermediaries. 

HUD approved intermediaries may only 

apply for a grant under Applicant 

Category 2. HUD-approved 

intermediaries are also eligible for 

supplemental funding for HECM 

counseling. 

3. SHFAs. SHFAs may only apply for 

grants under Applicant Category 3 for 

comprehensive counseling funds. 

c. Sub-Grantees of Intermediaries and 

SHFAs 

(1) Sub-grantees of intermediaries and 

SHFAs are not required to be HUDapproved, although HUD-approved 

LHCAs may apply to an intermediary or 

SHFA as a sub-grantee. 

(2) Intermediaries and SHFAs that 

award sub-grants to counseling agencies 

that are not HUD-approved must assure 

that the sub-grantee organizations meet 

or exceed HUD’s approval standards. 

(3) Sub-grantees must also be in 

compliance with all civil rights 

threshold requirements. Intermediaries 

that do not ensure their sub-grantee’s 

compliance with HUD standards may be 

prohibited from participating in the 

Housing Counseling Program. HUD will 

monitor sub-grantees. 

(4) To be eligible for funding under 

Categories 2 or 3, proposed sub-grantees 

or branches must not have directly 

applied for or received a grant under 

Category 1 of this NOFA, or applied for 

or received a sub-grant or funding from 

another intermediary or SHFA under 

Category 2 or 3 of this NOFA. SubVerDate Aug<31>2005 16:13 Mar 12, 2007 Jkt 211001 PO 00000 Frm 00095 Fmt 4701 Sfmt 4703 E:\FR\FM\13MRN2.SGM 13MRN2

rwilkins on PROD1PC63 with NOTICES_2
11528 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

grantees or branches may apply for and 

receive funding from only one 

intermediary or SHFA under Category 2 

or 3, but not both. The only exceptions 

to this rule are: (a) Sub-grantees or 

branches that have one or more HUD 

HECM Network Counselors that receive 

a sub-grant or funding from an 

intermediary or SHFA under Category 2 

or 3 may also receive a sub-grant or 

funding or be reimbursed exclusively 

for HECM counseling activities, from a 

HUD-approved intermediary 

administering the HECM supplemental 

funds made available through this 

NOFA or by another entity designated 

by HUD; and/or (b) sub-grantees or 

branches may also receive a sub-grant or 

be reimbursed for default counseling 

activities by an intermediary that is 

dedicated to foreclosure prevention. 

(5) Intermediaries and SHFAs that 

make sub-grants must execute sub-grant 

agreements with sub-grantees that 

clearly delineate the mutual 

responsibilities for program 

management, including appropriate 

time frames for reporting results to 

HUD. Intermediaries and SHFAs have 

wide discretion to decide how to 

allocate their HUD Housing Counseling 

funding among sub-grantees, with the 

understanding that a written record 

must be kept documenting and 

justifying funding decisions. This record 

must be made available to sub-grantees 

and to HUD. 

d. List of HUD-approved Housing 

Counseling Agencies. Pursuant to 

section 106 (c)(5)(D) of the Housing and 

Urban Development Act of 1968, HUD 

maintains a list of all HUD-approved 

and HUD-funded counseling agencies, 

including contact information that 

interested persons can access. All HUDapproved LHCAs and their branches, 

and all sub-grantees and branches that 

receive funding under Applicant 

Categories 2 and 3 of this NOFA may be 

placed on this list and must accept 

subsequent referrals, or when they do 

not provide the services sought, make a 

reasonable effort to refer the person to 

another organization in the area that can 

provide the services. 

e. Non-Discrimination Requirement 

(1) Grant recipients and sub-grantees 

are prohibited from discriminating on 

behalf of or against any segment of the 

population in the provision of services 

or in outreach. 

(2) Organizations funded under this 

program may not engage in inherently 

religious activities, such as worship, 

religious instruction, or proselytization, 

as part of the programs or services 

funded under this program. If an 

organization conducts such activities, 

these activities must be offered 

separately, in time or location, from the 

programs or services funded under this 

part, and participation must be 

voluntary and not a condition of the 

HUD-funded programs or services. 

f. Indirect Cost Rate. Grantees that 

plan to use grant funds to cover direct 

costs only are not required to provide an 

indirect cost rate. However, Grantees 

that plan to use grant funds to cover any 

indirect costs must submit their 

approved indirect cost rate established 

by the cognizant federal agency. If the 

grantee does not have an established 

indirect cost rate, it will be required to 

develop and submit an indirect cost 

proposal to HUD, or the cognizant 

federal agency as applicable, for 

determination of an indirect cost rate 

that will govern the award. Applicants 

that do not have a previously 

established indirect cost rate with a 

federal agency shall submit an initial 

indirect cost rate proposal immediately 

after the applicant is advised that it will 

be offered a grant and, in no event, later 

than three months after the start date of 

the grant. OMB Circular A–122 

established the requirements to 

determine allowable direct and indirect 

costs and the preparation of indirect 

cost proposals, and can be found at 

www.whitehouse.gov/omb. Applicants 

can review Indirect Cost Training on 

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

offices/adm/grants/training/ 

training.cfm. 

g. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). Section 3 does not apply to Housing 

Counseling Grants. 

h. Ensuring the Participation of Small 

Businesses, Small Disadvantaged 

Businesses, and Woman-Owned 

Businesses. See the General Section for 

information on this topic. 

i. Subcontracting. Grantees and subgrantees must deliver all of the 

counseling activities set forth in the 

applicant’s work plan provided in 

Factor 3 of this NOFA. Subcontracting 

with other entities is permitted only in 

geographical areas where no HUDapproved housing counseling agency 

exists; however, the subcontractor must 

meet or exceed the standards for a HUD 

approved agency. 

j. Conflicts of Interest. See the General 

Section. In addition, a grantee or subgrantee that is using grant funds to pay 

a subcontractor for housing counseling 

services pursuant to a housing 

counseling sub-agreement is prohibited 

from having a controlling interest in that 

subcontractor or vice versa. In other 

words, a grantee or sub-grantee cannot 

use grant funds to pay for housing 

counseling services by a subcontractor, 

if the subcontractor is partially or fullycontrolled by the grantee or sub-grantee, 

or affiliate or vice versa. 

k. Accessible Technology. See the 

General Section. 

l. Participation in HUD Sponsored 

Program Evaluation. See the General 

Section. 

IV. Application and Submission 

Information 

A. Receiving an Application Package. 

Applicants may download the 

instructions to the application found on 

the Grants.gov Web site at 

www.Grants.gov. The instructions 

contain the General Section and 

Program Section of the published NOFA 

as well as forms that you must complete 

and attach as a zip file to your 

application submission. If you have 

difficulty accessing the information you 

may call the Grants.gov Support desk 

toll free 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

B. Content and Form of Application 

Submission. Please be sure to read the 

General Section for application deadline 

and timely receipt requirements as HUD 

is using electronic application 

submission via www.Grants.gov. In 

addition to the instructions in the 

General Section follow the instructions 

below: 

1. Size Limitations and Format for 

Narrative Statements. Applicants must 

be as specific and direct as possible. For 

LHCAs, the narrative portion (responses 

to all factors) must be limited to 50 

double-spaced, 12-point font, singlesided pages. Intermediaries and SHFAs 

are limited to a total of 100 doublespaced, 12-point font, single-sided pages 

for the narrative portion. Pages in excess 

of the size limit will not be read. 

Number the pages of the narrative 

statements and include a header that 

includes the applicant’s name and the 

Rating Factor number and title. Within 

each narrative, clearly identify each subfactor immediately above the response 

for that sub-factor. 

2. Application Checklist. The 

Application Checklist indicates forms, 

information, certifications and 

assurances that apply to this NOFA. 

Housing Counseling NOFA Application 

Checklist 

a. SF–424, Application for Federal 

Assistance 

b. SF–424 Supplement—Survey on 

Ensuring Equal Opportunity for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov) 

(optional) 

c. HUD 424 CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov); 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11529 

d. SF–LLL, Disclosure of Lobbying 

Activities (if applicable) 

e. HUD–27300, Questionnaire for 

HUD’s Initiative on Removal of 

Regulatory Barriers (‘‘HUD 

Communities Initiative’’ on Grants.gov) 

(optional regarding eligibility, but 

mandatory to receive credit in Factor 2 

for the Regulatory Barriers policy 

priority) 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

g. HUD–2990, Certification of 

Consistency with the RC/EZ/EC–II 

Strategic Plan (LHCAs only, if 

applicable) 

h. HUD–2991, Certification of 

Consistency with the Consolidated Plan 

(optional) 

i. HUD–2994, You Are Our Client 

Grant Applicant Survey (optional) 

j. HUD–96010, Program Outcome 

Logic Model 

k. HUD–96011 Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) (to be used to transmit third 

party documents as part of your 

electronic application) 

l. HUD–9902, Housing Counseling 

Agency Fiscal Year Activity Report For 

the Period October 1, 2005 through 

September 30, 2006 (only required for 

Applicants who did not electronically 

submit to HUD a form HUD–9902 for 

the period October 1, 2005 through 

September 30, 2006, for example, 

applicants that received approval as a 

HUD housing counseling agency after 

September 30, 2006.) HUD will utilize 

the 9902 data in HUD’s Housing 

Counseling System. However, HUD will 

consider a revised 9902 submitted with 

this application if it is accompanied by 

an acceptable explanation regarding 

why the data was revised. 

m. SHFA Statutory Authority. SHFAs 

must submit evidence of their statutory 

authority to operate as a SHFA, as 

defined in this NOFA, and must submit 

evidence of their authority to apply for 

funds and subsequently use any funds 

awarded. Applicants should verify that 

their agency profile information is 

accurately represented in HUD’s 

Housing Counseling System (HCS) and 

validate the information prior to 

submitting the grant application. 

n. Organization Description. 

Applicants must provide a brief 

description, no more than 225 words, of 

their organizational history and 

proposed grant activities, as they would 

like them to appear in the press release 

issued by HUD in the event that the 

applicant is funded through this NOFA. 

o. Narrative statements as required in 

this NOFA. 

C. Submission Dates and Times. A 

complete application package must be 

received and validated electronically by 

the Grants.gov portal no later than 

11:59:59 p.m. eastern time on or before 

the applications deadline date. 

Applicants are advised to submit their 

applications at least 48 to 72 hours in 

advance of the deadline date and when 

the Grants.gov help desk is open so that 

any issues can be addressed prior to the 

deadline date and time. Please note that 

validation may take up to 72 hours. 

Please be sure to read the General 

Section for timely submission and 

receipt. Failure to follow the submission 

requirements and procedures may affect 

your ability to receive an award. 

D. Intergovernmental Review. The 

Housing Counseling Program is not 

subject to Intergovernmental Review. 

E. Funding Restrictions. 1. Funding is 

limited to the eligible activities 

described in Section III.C.1 of this 

NOFA. 

2. Pre-award Costs. Grantees may 

incur pre-award costs not more than 90 

calendar days prior to the effective date 

of the grant agreement and only with 

prior approval from HUD. All pre-award 

costs are incurred at the applicant’s risk 

and HUD has no obligation to reimburse 

such costs if the award is inadequate to 

cover such costs or the award offer is 

withdrawn because of the applicant’s 

failure to satisfy the requirements of this 

NOFA, the grant agreement or program 

requirements. 

F. Other Submission Requirements. 

Applications must be submitted via the 

Grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp by no later than the 

established deadline date and time. See 

the General Section for further 

information. Applicants interested in 

applying for funding under this NOFA 

must submit their applications 

electronically or request a waiver from 

the electronic submission requirement. 

Applicants must submit their waiver 

requests in writing using e-mail. Waiver 

requests must be submitted no later than 

15 days prior to the application 

deadline date and should be submitted 

to Miriam_Torres@hud.gov. If granted a 

waiver the notification will provide 

instructions on where to submit the 

application and how many copies are 

required. Paper copy applications must 

be received by the deadline date. HUD 

will not accept a paper application 

without a waiver being granted. See the 

General Section for detailed submission 

and timely receipt instructions. 

A. Criteria. The Factors for Award, 

and maximum points for each factor, are 

outlined below. These factors will be 

used to evaluate all applications. The 

maximum number of points for each 

applicant is 102 for LHCAs and 100 for 

all other applicants. 

1. Bonus Points—‘‘RC/EZ/EC–II.’’

ONLY LHCAs are eligible for 2 bonus 

points. See the General Section for 

information regarding ‘‘RC/EZ/EC–II’’

bonus points. Form HUD–2990 must be 

signed by the organization head of the 

RC/EZ/EC7–II not the representative of 

the jurisdiction in which the RC/EZ/EC–

II exists. 

2. Additional Information. HUD may 

rely on information from performance 

reports, financial status information, 

monitoring reports, audit reports, and 

other information available to HUD to 

make score determinations to any 

relevant Rating Factor. 

3. Responses to Factors for Award. 

Responses to the following rating factors 

should provide HUD with detailed 

quantitative and qualitative information 

and relevant examples regarding the 

housing counseling work of the 

organization. The Rating Factors contain 

requests for additional information from 

applicants interested in supplemental 

HECM funding. 

In responses to the various factors and 

sub-factors, intermediaries and SHFAs 

should not submit a separate response 

for each proposed sub-grantee and 

branch, but should provide a brief 

profile of each and summary response 

for their entire network, highlighting 

individual activities, partnerships, 

needs and/or results when appropriate. 

a. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (30 Points). HUD uses responses to 

this Rating Factor to evaluate the 

readiness and ability of an applicant 

and proposed sub-grantee and branch 

staff, to immediately begin, and 

successfully implement, the proposed 

work plan detailed in Rating Factor 3. 

HUD will also evaluate how effectively 

the applicant managed work plan 

adjustments that may have been 

required if performance targets were not 

met within established timeframes and 

how often work plan adjustments were 

required. 

(1) Applicants must provide the 

following information to support 

evaluation of this Rating Factor. 

Information must be provided in a chart 

or table. 

(a) Number of full-time (35 hours + 

per week) housing counselors working 

for the applicant and, if applicable, 

proposed sub-grantees or branches; 

(b) Number of part-time housing 

counselors working for the applicant 

and, if applicable, proposed subgrantees or branches; 


rwilkins on PROD1PC63 with NOTICES_2
11530 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(c) Number of bilingual housing 

counselors working for the applicant 

and, if applicable, proposed subgrantees or branches; 

(d) Average years of housing 

counseling experience for housing 

counselors working for the applicant 

and, if applicable, proposed subgrantees or branches; 

(e) Average years of housing 

counseling program management 

experience for the project director(s) for 

the applicant and, if applicable, 

proposed sub-grantees or branches; 

(f) Average years of related 

experience, such as experience in 

mortgage lending, for counselors and 

project managers; 

(g) Proposed average hourly labor-rate 

for housing counselors and project 

managers, including benefits. 

(2) Knowledge and Experience (11 

points). Using the information provided 

above, demonstrate that the applicant, 

including proposed sub-grantees and 

branches, has sufficient personnel with 

the relevant knowledge and experience 

to implement the proposed activities in 

a timely and effective manner, and 

bilingual language skills, if appropriate. 

Specifically, for LHCAs, scoring will 

be based on the number of years of 

recent and relevant experience of 

Housing Counseling Program project 

directors and recent housing counseling 

and relevant experience of housing 

counselors. 

For intermediaries and SHFAs, 

scoring will be based on: 

• The number of years of recent and 

relevant experience of project directors 

of proposed sub-grantees and branches; 

• The number of years of recent 

housing counseling and relevant 

experience of counselors in proposed 

sub-grantees and branches; 

• The number of years, for key 

intermediary or SHFA personnel, of 

recent experience administering a 

housing counseling program consisting 

of a network of multiple housing 

counseling agencies. HUD will award 

higher scores to applicants with more 

experienced staff and management; 

• Related experience, such as 

experience in mortgage lending, will 

also be considered, but will not be 

weighted as heavily in the scoring as 

direct housing counseling or housing 

counseling program management 

experience; 

• HUD will also factor in other 

information that demonstrates the 

capacity of the applicant, such as 

relevant staff trainings and 

certifications. 

In scoring this section, HUD will 

evaluate whether the applicant has 

experience providing the proposed 

services. HUD will award higher scores 

to applicants with staff and management 

that have the greatest combination of 

experience, training and demonstrated 

competency. 

(a) LHCAs may provide individual 

descriptions of staff limited to one page. 

These descriptions do not count toward 

narrative page limitations. 

Intermediaries and SHFAs acting as 

intermediaries should summarize in a 

single chart, for each applicable 

employee, subcontractor, and consultant 

of proposed sub-grantees or branches, 

the number of years of direct counseling 

or counseling program management 

experience, and the number of years of 

relevant experience. Total each column. 

Do not submit individual resumes for 

sub-grantee staff. HUD staff will verify 

experience information submitted 

during monitoring reviews. The 

following must be included in each 

person’s description: 

• The names and titles of employees, 

including subcontractors and 

consultants who will perform the 

activities proposed in the applicant’s 

work plan in Rating Factor 3. Clerical 

staff should not be listed. 

• Individual current housing 

counseling duties and responsibilities; 

• Experience in providing one-on-one 

and group counseling (describe each 

separately); 

• Relevant professional background 

and experience, and; 

• Bilingual language skills, if 

applicable. 

• Experience is relevant if it 

corresponds directly to projects of a 

similar scale and purpose. Provide the 

number of years of experience for each 

position listed and indicate: 

• Where and when each position was 

held; 

• Whether the position was full-time 

or part-time; 

• In the case of part-time positions, 

the number of hours per week. 

Applicants for HECM supplemental 

funding must specify the HECM 

experience of project directors, HUD 

HECM Network Counselors and the 

organization. They must also indicate 

the number of HUD HECM Network 

Counselors that are in the applicant’s 

network at the time of application, and 

that the applicant proposes to fund with 

the requested award; 

(b) Also indicate in the chart for all 

housing counselors and project directors 

the specialized trainings received 

within the last two years relevant to the 

proposed activities, including specific 

trainings regarding FHA programs. 

Include when the training was received 

and who provided it. Do not include onthe-job training. Applicants that seek 

supplemental funds for HECM 

counseling must indicate what relevant 

training counselors received to prepare 

them as HECM counselors. 

(c) Indicate which housing counselors 

are certified housing or financial 

counselors. Describe what type of 

certification is held, who provided it, 

when the certification was received, and 

if applicable, the date certification 

expires. 

(d) Identify the Client Management 

System utilized by the applicant, 

affiliates, and branches, if applicable, 

during the grant period October 1, 2005, 

to September 30, 2006. Applicants that 

used a system during this period that 

interfaces or will interface with HUD’s 

database will be awarded more points 

than applicants that did not utilize a 

web-based system. 

If the applicant does not currently use 

an on-line or web-based system but 

plans to in the coming grant period, 

October 1, 2007 through September 30, 

2008, indicate which system will be 

used, and how its use will be 

implemented in terms of training 

employees to use it and its ability to 

improve client services and generate 

reports. 

(3) Grant and Program Requirement 

Compliance (14 points). 

In scoring this Section, HUD will 

evaluate how well the applicant met the 

Program requirements, including 

reporting and grant document 

execution, if applicable, for the period 

October 1, 2005, to September 30, 2006, 

and its ability to spend all grant funds 

allotted. 

If the applicant did not receive an 

FY2005 HUD grant, it must provide a 

response, with sufficient detail for HUD 

to evaluate compliance, based on 

activities and requirements under other 

sources of funding, such as other 

federal, state, or local grant awards. 

Identify the source(s) and amount(s) of 

funds used for housing counseling. 

Provide relevant contact information for 

the agencies or organizations 

administering these programs so HUD 

can verify that the information you 

report is accurate. 

(a) Grantee Requirements. HUD will 

evaluate the applicant’s performance 

with regard to the timeliness and 

completeness with which the applicant 

satisfied grant requirements, including 

grant document execution, grant 

reporting requirements including 

quarterly (if applicable), mid-term and 

final reports. 

(b) Form HUD–9902. HUD will deduct 

points if the applicant was required to 

submit a form HUD–9902 for the period 

October 1, 2005 through September 30, 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11531 

2006, but failed to do so in a timely 

manner. 

(c) Expending Grant Funds. If grant 

awards were not fully expended during 

the grant period October 1, 2005, to 

September 30, 2006, provide an 

explanation as to the reason why and 

the steps the applicant has taken to 

ensure that future funding will be 

expended according to the terms of the 

grant agreement. 

(d) Performance Reviews. Significant 

findings on performance reviews 

conducted by HUD staff will be taken 

into consideration when scoring this 

section. Significant findings may be 

findings that suggest an applicant has 

operated its agency in a manner 

inconsistent with the Housing 

Counseling program. 

(e) Housing Counseling System (HCS). 

HUD will evaluate applicant’s 

timeliness and effectiveness in 

validating and updating agency 

information in HCS. Intermediaries and 

SHFAs must describe procedures and 

quality control measures used to verify 

sub-grantee, and if applicable branch or 

affiliate, information is validated in HCS 

on a regular basis. 

(4) Management—Goals and Results 

(5 points). In scoring this section, HUD 

will compare applicant output and 

outcome goals and actual results for the 

period October 1, 2005 through 

September 30, 2006, and evaluate 

subsequent changes in approach 

resulting from any differences, if 

applicable. HUD’s primary concern is 

how the applicant managed change, 

when needed, within the organization 

as well as a clear and reasonable 

explanation as to why goals were not 

met, or why they were exceeded, and 

what steps were taken organizationally 

to accommodate either scenario. 

For applicants that received a FY2005 

housing counseling grant covering the 

period October 1, 2005 to September 30, 

2006, HUD will compare the projections 

made in the Program Outcome and 

Output Logic Model, Form HUD–96010 

submitted with the FY2005 Housing 

Counseling NOFA, including any 

adjustments based on actual award 

amounts, to the corresponding actual 

results for that period reported by the 

applicant on the Form HUD–9902 

submitted to HUD. 

Applicants who did not receive a 

FY2005 Housing Counseling Grant and 

therefore did not finalize outcome and 

output projections, or who are recently 

approved, or who were a sub-grantee of 

an intermediary or SHFA for the period 

of October 1, 2005 through September 

30, 2006, and are now applying for 

funding under the LHCA category must 

indicate the detailed, quantifiable goals 

the organization set for itself for the 

period covering October 1, 2005 to 

September 30, 2006, or for the 12 month 

period ending December 31, 2006 if 

more appropriate to the applicant’s or 

other grant-requiring reporting 

schedule. Also provide the actual 

results corresponding to these goals and 

explain any differences in goals versus 

actual results and indicate what 

measurement reporting tools were used 

as well as describe the evaluation 

process. The Logic Model Instructions, 

which is tab 1 of Form HUD–96010, 

provides information regarding 

measurement reporting tools and the 

evaluation process. If describing goals 

corresponding to other grant programs 

or sources of funding, provide relevant 

contact information for the agencies or 

organizations administering those 

programs so HUD can verify that the 

goals and corresponding achievements 

you report are accurate. 

b. Rating Factor 2: Need/Extent of the 

Problem (12 Points). 

This factor addresses the extent to 

which there is a need for funding the 

proposed activities described in the 

applicant’s work plan, and the degree to 

which the applicant’s work plan 

substantively addresses departmental 

policy priorities. 

(1) Needs Data (6 points). Provide 

current or recent economic and 

demographic data, and any other 

evidence that demonstrates housing 

counseling need relevant to the target 

area. All proposed activities in Factor 3 

must have corresponding need-related 

data. Sources for all data provided must 

be clearly cited. Do not submit copies of 

reports or tables. 

To the extent that the community the 

applicant serves has documented need 

in its Consolidated Plan, Analysis of 

Impediments to Fair Housing Choice 

(AI), or other planning documents, 

provide these in the response. Economic 

and demographic data must include 

persons with disabilities located in the 

target area. The U.S. Census Bureau, for 

example, maintains disability data by 

state, county, and metropolitan 

statistical area (MSA) at the following 

Web site: http://www.census.gov/hhes/ 

www/disability/disability.html. 

Additionally, the HUD USER Research 

Information Service and Clearinghouse, 

available at http://www.huduser.org/, 

allows users to search over 800 HUD 

publications by subjects and keywords. 

In scoring this Section, HUD will 

evaluate the degree to which the 

applicant provides current or recent 

economic and demographic data, and 

any other evidence that demonstrates 

housing counseling need relevant to the 

target area and the activities proposed in 

projected work plan activities detailed 

in Rating Factor 3. Applicants that fail 

to identify current or recent objective 

data will not receive full points for this 

factor. 

(2) Departmental Policy Priorities (6 

points). The Departmental policy 

priorities are described in detail in the 

General Section. Of those listed, the 

following five apply to the Housing 

Counseling Program for the purpose of 

this NOFA. Indicate if and describe how 

the applicant’s work plan substantively 

addresses each of these departmental 

policy priorities. Applicants are advised 

to review the policy priorities in the 

General Section, to assure they fully 

understand the meaning of each, prior 

to responding to this sub-factor. 

In scoring this section, the applicant 

will receive one point for each of the 

departmental policy priorities (a)—(d) 

that the projected work plan in Factor 

3 substantively addresses. Up to 2 

points are available for priority (e). The 

General Section and HUD’s Notices 

identify how policy priority points will 

be awarded. Copies of HUD’s notices 

published on this issue, can be found on 

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

grants/index.cfm. 

(a) Providing Increased 

Homeownership and Rental 

Opportunities for Low- and ModerateIncome Persons, Persons with 

Disabilities, the Elderly, Minorities, and 

Families with Limited English 

Proficiency. 

(b) Providing Full and Equal Access to 

Grassroots, Faith-Based and Other 

Community-Based Organizations in 

HUD Program Implementation. 

(c) Participation of Minority-Serving 

Institutions in HUD Programs. Identify 

partnerships with minority-serving 

institutions of higher learning such as 

colleges and trade schools. 

(d) Participation in Energy Star. 

Applicants must provide information on 

how they promote or plan to promote 

Energy Star materials and practices and 

buildings constructed to Energy Star 

standards to homebuyers, renters and 

other applicable counseling clients. 

Describe any outreach activities 

previously conducted and/or planned to 

promote Energy Star products. 

(e) Removal of Regulatory Barriers to 

Affordable Housing. Under this policy 

priority, higher rating points are 

available to (1) governmental applicants 

that are able to demonstrate successful 

efforts in removing regulatory barriers to 

affordable housing and (2) 

nongovernmental applicants that are 

associated with jurisdictions that have 

undertaken successful efforts in 

removing barriers. To obtain the policy 


rwilkins on PROD1PC63 with NOTICES_2
11532 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

priority points for efforts to successfully 

remove regulatory barriers, applicants 

must complete form HUD–27300, 

‘‘Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers.’’ A 

limited number of questions on form 

HUD–27300 expressly request the 

applicant to provide brief 

documentation with its response. Other 

questions require that, for each 

affirmative statement made, the 

applicant supply a reference, URL or 

brief statement indicating where the 

back-up information may be found, and 

a point of contact, including a telephone 

number or e-mail address. Applicants 

that do not provide the required URL 

references, points of contact (POC) or 

other back-up documentation will not 

be eligible for the points associated with 

this policy priority. When addressing 

this policy priority, Intermediaries and 

SHFAs should complete a HUD–27300 

that identifies the jurisdiction in which 

the preponderance of services will be 

performed if an award is made. 

c. Rating Factor 3: Soundness of 

Approach/Scope of Housing Counseling 

Services (35 Points). This factor 

addresses the quality and effectiveness 

of the applicant’s historical and 

proposed housing counseling activities. 

(1) Historical Performance-Quality 

and Complexity of Services (8 Points). 

In scoring this section, HUD will 

evaluate the quality of, the variety of, 

and the level of effort and time 

associated with all the housing 

counseling services provided by the 

applicant from all funding sources 

during the period October 1, 2005 

through September 30, 2006. Responses 

should contain ‘‘Historical 

Performance’’ as part of the heading for 

the response. Applicants must provide 

the following information: 

(a) Average hours of housing 

counseling per client, for the period 

October 1, 2005, through September 30, 

2006, for each of the following service 

types, including follow-up, the 

applicant organization provides. Do not 

provide a range of hours. 

(i) Pre-purchase Counseling 

(ii) Homebuyer Education 

(iii) Delinquency/Default Counseling 

(iv) Non-Delinquency Post-Purchase 

Counseling 

(v) Home Equity Conversion Mortgage 

(HECM) Counseling 

(vi) Post-Purchase Education 

(vii) Rental Counseling 

(viii) Homeless/Displacement 

Counseling 

(ix) Predatory Lending Counseling 

(x) Homeownership Voucher 

Counseling and Education 

(xi) Fair Housing Issues. 

(xii) Other (describe) 

Describe the level of effort and time 

required to provide the housing 

counseling services described and to 

meet the needs of clients. Explain the 

average counseling time per client 

figures above. Scoring will be based on 

the degree to which the applicant 

demonstrates, as compared to other 

applicants, that sufficient time and 

resources were devoted to ensure that 

clients received quality counseling. 

(b) Types of Counseling and Services 

Offered: HUD will retrieve this 

information from the HUD–9902, ‘‘All 

Counseling Activities’’ column, through 

the Housing Counseling System (HCS). 

Verify that the information from this 

source is accurate. Scoring of the variety 

of housing counseling services offered is 

weighted to provide the most points for 

HECM and Post Purchase Default/Loss 

Mitigation counseling. 

(c) Group Education and One-On-One 

Counseling. For the period October 1, 

2005, through September 30, 2006, HUD 

will retrieve from Section 6a-b of form 

HUD–9902, ‘‘All Counseling Activities’’

column, the number of clients that 

participated in Homebuyer Education 

Workshops or other types of classes 

offered as group sessions and will 

retrieve from Section 7a–e, the number 

of clients that participated in one-onone counseling. Applicants should 

explain the figures provided in Form 

HUD–9902, ‘‘All Counseling Activities’’

column, regarding group session 

participation and one-on-one 

counseling. Describe how clients come 

to participate in one or the other, the 

relationship between the two, and the 

role that each plays in the applicant’s 

overall service provision. Estimate the 

percentage of clients participating in 

both group education sessions and oneon-one counseling. Scorers will evaluate 

the extent to which an agency 

encouraged and provided one-on-one 

counseling, which HUD considers the 

most effective form of housing 

counseling, instead of over-relying on 

homebuyer education workshops and 

other forms of group sessions. 

(d) For intermediaries and SHFAs, 

HUD will evaluate the number and 

location of sub-grantees and branches 

that received funding from the applicant 

through a FY2005 HUD housing 

counseling grant(s), if applicable, 

covering the period October 1, 2005- 

September 30, 2006. 

(2) Historical Performance—Impact/ 

Outcomes (9 points). To score this 

Section, HUD will evaluate the 

applicant’s performance for the period 

October 1, 2005, to September 30, 2006 

as reported on the HUD 9902, ‘‘All 

Counseling Activities’’ column. The 

quantity of clients the applicant served 

will be compared to similar applicants 

providing similar services. Clients 

served numbers will also be analyzed in 

the context of the applicant’s total 

housing counseling budget for the same 

period, FY2005. HUD will also consider 

the degree to which the services 

provided were time and resource 

intensive. Additionally, for 

intermediaries and SHFAs, HUD will 

evaluate the geographic coverage and 

scope of the applicant’s activities for the 

period October 1, 2005, through 

September 30, 2006, including the 

number of states served by affiliates or 

branches, if applicable, and the overall 

size of the housing counseling network 

during that period. 

(a) Cost per client. Clients served 

figures will be obtained from the Form 

HUD–9902, ‘‘All Counseling Activities’’

column, for the period October 1, 2005 

through September 30, 2006, submitted 

to HUD by the applicant, which reflects 

activities funded both with HUD 

housing counseling grant funds, if 

applicable, and with other leveraged 

resources. Applicants that were not 

required to submit Form HUD–9902 for 

the period October 1, 2005 through 

September 30, 2006 must complete one 

as part of this application. In addition, 

the applicant must provide the 

following information. 

(i) Total housing counseling budget 

for the period October 1, 2005–

September 30, 2006, including HUD 

housing counseling grant(s) or subgrants, if applicable, as well as other 

resources leveraged specifically for 

housing counseling. Do not include 

funds for down payment or closing cost 

assistance, Individual Development 

Accounts, emergency services, or other 

resources not used for the direct 

provision of housing counseling. 

(ii) If projections for outputs and/or 

outcomes were not met, indicate how 

location, type of counseling, client type, 

and expenses may have affected client 

volume. Justify expenses and explain 

why they were reasonable, strategic, and 

appropriate. 

(b) Percentage of Grant Funding 

Passed Through: Intermediaries and 

SHFAs that received one or more 

FY2005 HUD housing counseling grant, 

for the grant period October 1, 2005, to 

September 30, 2006, must also indicate 

what percentage of their grant(s) was 

passed through directly to sub-grantees 

or branches, and explain how funds not 

passed through were spent. 

LHCAs applying under Applicant 

Category 1 that received one or more 

FY2005 HUD housing counseling grants 

for the grant period October 1, 2005, to 

September 30, 2006, must indicate what 

percentage of their grant(s) was spent on 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11533 

the salaries and benefits of housing 

counselors and project directors. 

Explain how other funds were spent. 

All Applicants must indicate the 

sources and amounts spent on formal 

staff training during the grant period 

October 1, 2005, to September 30, 2006. 

Do not include on-the-job training. 

Applicants that did not receive a 

FY2005 HUD housing counseling grant 

must characterize their performance 

through other housing counseling 

funding sources, for example other 

federal, state or local government grants, 

providing as much detail, similar to that 

requested above, as possible. 

(c) Geographic Coverage: 

Intermediaries and SHFAs must identify 

the sub-grantees, affiliates and branches, 

and corresponding states, to which the 

applicant provided housing counseling 

funding, for the period October 1, 2005, 

through September 30, 2006, through: 

(i) FY2005 HUD housing counseling 

grant funds, if applicable. 

(ii) All housing counseling resources. 

(3) Projected Performance/Work 

Plan—Quality and Complexity of 

Services (9 points). This section 

involves information on the housing 

counseling services and other activities 

to be conducted during the period 

October 1, 2007, through September 30, 

2008. In scoring this Section, HUD will 

consider the types and variety of 

housing counseling and education 

services being offered, and other 

activities occurring in support of the 

applicant’s housing counseling program. 

HUD will also evaluate the quality of 

the applicant’s proposed housing 

counseling services, and level of effort 

and time associated with providing the 

proposed counseling services to the 

number of clients it estimates it will 

serve. Scoring will be based on the 

degree to which the applicant 

demonstrates, as compared to other 

applicants, that for each type of 

counseling service delivered, average, 

greater than average or less than average 

time and resources will be devoted to 

ensure that clients receive quality 

counseling. 

Applicants must provide the 

following information, which will be 

used in conjunction with responses in 

Rating Factor 5, as a basis to support the 

scoring of the sub-factors below. There 

must be consistency between Rating 

Factor 3 and the projected outputs and 

outcomes in Rating Factor 5. Responses 

must contain ‘‘Projected Performance’’

as part of the heading for the response. 

(a) Describe the various types of 

housing counseling and education 

services, and if applicable intermediary 

activities, the applicant proposes to 

undertake, and identify the geographic 

area the services will cover. Also, 

describe planned follow-up activities, if 

applicable. Proposed services and 

activities must relate to the needs 

identified in Rating Factor 2. Scoring of 

the variety of housing counseling 

services offered is weighted to provide 

the most points for one-on-one 

counseling regarding HECM and Post 

Purchase Default/Loss Mitigation. To be 

eligible for the full points available for 

these service types, applicants 

proposing to provide HECM and/or 

Default/Loss Mitigation counseling must 

have prior HUD approval to provide 

these services. 

Intermediaries and SHFAs acting as 

intermediaries should describe in detail 

their plans to train proposed subgrantees and branches, provide 

technical assistance, and evaluate 

compliance with program requirements, 

for example through site visits. 

(b) Average hours of housing 

counseling time the applicant estimates 

per client, for each of the activities 

listed in part (a), including follow-up. 

Do not provide a range of hours. If the 

projected average times are the same as 

those listed for the period covering 

October 1, 2005–September 30, 2006, 

the applicant may simply state so in lieu 

of listing them again here. 

(c) Indicate the names and titles of 

employees, including subcontractors 

and consultants, allocated to each 

proposed activity, as well as the 

corresponding staff hours for each task, 

and demonstrate that the applicant has 

the human resources to accomplish the 

proposed activities and serve the 

number of individuals the applicant 

proposes to serve. The staff information 

should include who from Rating Factor 

1 will be involved and any new staff, 

subcontractors or consultants that will 

be hired for the October 1, 2007–

September 30, 2008 grant period. 

(d) Indicate proposed amount to be 

spent on formal staff training during the 

grant period October 1, 2007, to 

September 30, 2008 from all sources. Do 

not include on-the-job training. 

(e) Describe plans to effectively serve 

and/or communicate with persons with 

limited English proficiency (LEP) and 

persons with disabilities who require 

alternative formats, for example 

materials that are available in languages 

other than English. 

(f) Intermediaries and SHFAs must 

also: 

(i) Describe the housing counseling 

and education activities to be provided 

by proposed sub-grantees and branches, 

explicitly stating the types of services to 

be offered, preferably in a chart. 

(ii) Describe the applicant’s legal 

relationship with sub-grantees (i.e. 

membership organization, field, or 

branch office, subsidiary organization, 

etc.) 

(iii) Explain the process that will be 

used to determine sub-grantee funding 

levels and distribute funds. If 

applicable, indicate how sub-grantee 

funding levels are adjusted on an ongoing basis based on performance. 

(4) Projected Performance/Work 

Plan—Coordination (5 points). HUD 

will consider the extent to which, as 

compared to similar applicants, the 

applicant can demonstrate it will 

coordinate proposed activities with 

other organizations, and if applicable, 

with other services and products offered 

by the applicant’s organization in a 

manner that benefits their clients. 

Scoring will also be based on the degree 

to which the applicant takes steps to 

avoid conflicts of interest, and discloses 

to clients that they have a choice in 

matters such as the loan product they 

choose and the house that they 

purchase. 

(a) Identify and describe partnerships 

and efforts to coordinate proposed 

activities with other organizations, 

including, but not limited to, emergency 

and social services providers, lending 

organizations, homeowner insurance 

providers, down payment and closing 

cost assistance programs, nonprofit 

housing providers, and local or state 

government. For example, describe 

agreements with lenders regarding nontraditional lending standards or 

participation in the Consolidated 

Planning process or the Analysis of 

Impediments. Any written agreements 

or memoranda of understanding in 

place should be described. These 

agreements and memoranda of 

understanding will be reviewed by HUD 

staff as a part of the biennial reviews 

and on-site monitoring visits. 

Applicants should also highlight 

internal products and functions, if 

applicable, such as loan products 

available to clients, down payment and 

closing cost assistance programs, as well 

as internal affordable housing programs 

that can be a resource for clients. 

Applicants requesting HECM 

supplemental funding should highlight 

the partnerships or internal products 

that are relevant to HECM activities. 

(b) Describe plans to avoid conflicts of 

interest, such as methods for disclosing 

to participants that they are free to 

choose lenders, loan products, and 

homes, regardless of the 

recommendations made by counselors. 

To receive full credit in this Section, the 

applicant must submit the disclosure 

forms and materials used by the 

applicant to communicate to clients 

that, while affordable homes, lending 


rwilkins on PROD1PC63 with NOTICES_2
11534 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

products and other forms of assistance 

might be available through the 

applicant, and partnerships in which 

the applicant has entered, the client is 

under no obligation to utilize these 

services. These plans and disclosures 

will also be reviewed by HUD staff as a 

part of the biennial reviews and on-site 

monitoring visits. 

(5) Projected Performance/Work 

Plan—Coverage/Efficient Use of 

Resources (4 points). In scoring this 

Section, HUD will evaluate the 

geographic coverage of the applicant’s 

proposed activities, and spending 

decisions. 

(a) Percentage of Grant Funding To Be 

Passed Through: Intermediaries and 

SHFAs must indicate what percentage 

of their proposed award will be passed 

through directly to sub-grantees and 

branches, and explain how funds not 

passed through will be spent. LHCAs 

that apply under Applicant Category 1 

must indicate what percentage of their 

proposed award will be spent on the 

salaries and benefits of housing 

counselors and project directors. 

Explain in detail how other proposed 

funds will be spent. 

(b) Geographic Coverage: 

Intermediaries and SHFAs must identify 

the sub-grantees and branches, and 

corresponding states, the applicant 

proposes will receive funding through 

this grant award. Indicate which, if any 

proposed sub-grantees and branches, 

serve Colonias. In the event that an 

intermediary is also applying for HECM 

supplemental funding, indicate the 

agencies and corresponding states in 

which the HUD HECM Network 

counselors you propose to fund are 

located. Applicants unable to precisely 

identify proposed sub-grantees and 

branches to receive funding through the 

proposed grant must identify the most 

likely sub-grantees and branches, based 

on past experience, and explain what 

process will be used to select actual subgrantees and branches. Pursuant to the 

applicable regulations at 24 CFR 

84.82(d)(3)(iii) and 85.30(d)(4), grantees 

must receive HUD’s prior written 

approval for sub-grants. 

d. Rating Factor 4: Leveraging 

Resources (10 Points). HUD housing 

counseling grants are not intended to 

fully fund an applicant’s housing 

counseling program, or that of its subgrantees. All organizations that use 

housing counseling grant funds are 

expected to seek other private and 

public sources of funding for housing 

counseling to supplement HUD funding. 

Any agency that does not have other 

resources available will receive no 

points for this factor. Applicants will be 

evaluated based on their ability to show 

that they have obtained additional 

resources for their housing counseling 

activities, for the period October 1, 

2007—September 30, 2008, including: 

direct financial assistance; in-kind 

contributions, such as services, 

equipment, office space, labor; etc. 

Resources may be provided by 

governmental entities, public or private 

nonprofit organizations, for-profit 

private organizations, or other entities 

committed to providing assistance. 

Grantees will be required to maintain 

evidence that leveraged funds were 

actually provided to the agency. These 

files will be reviewed by HUD staff as 

a part of the biennial reviews and onsite monitoring visits. 

(1) All Applicants must provide a 

comprehensive list of all leveraged 

funds and in-kind contributions being 

claimed. Include the amount and the 

source, and total it. Intermediaries and 

SHFAs must itemize the list of 

leveraged resources by each proposed 

sub-grantee and/or funded branch 

office. All leveraged resources claimed 

by an applicant, including cash and 

third party in-kind, must meet all of the 

criteria set forth in 24 CFR 84.23 and 

must be accounted for in the budget 

form 424CBW. 

(2) Additionally, for Category 1—

Local Housing Counseling Agencies 

(LHCAs), in order to obtain points under 

this factor, the Applicant must 

demonstrate leveraging by providing 

letters and, if applicable, copies of 

relevant grant agreements, from entities 

or individuals, or both, committing 

resources to the project, that include: 

(a) The identity of the entity or 

individual committing resources to the 

project. 

(b) Dollar value of the resources to be 

committed. For in-kind resources with 

no clear total dollar value indicated, 

Applicants should estimate their value 

and describe in detail how the estimate 

was determined. Values for recipient 

contributions of services and property 

shall be established in accordance with 

the applicable cost principles. 

(c) The type of resources to be 

committed. 

(d) An indication that the resources 

will be available during the grant period 

pertaining to this NOFA, October 1, 

2007–September 30, 2008. 

(e) An indication that the award, or a 

specific portion of it, is intended for 

housing counseling. 

(f) The signature of an official of the 

entity legally able to make commitments 

on behalf of the entity. 

(g) No conditions that would nullify 

the commitment. (It is, however, 

acceptable for the commitment to be 

conditional on HUD funding.) 

(3) Additionally, resources provided 

by the applicant may count as leveraged 

resources. These amounts must include 

only funds that will directly result in 

the provision of housing counseling 

services, but not resources for activities 

such as down payment and closing cost 

assistance, IDA programs, and 

emergency services. 

(4) Intermediaries and SHFAs should 

include information on leveraged 

resources for only anticipated subgrantees and branches that will be 

funded through this application. 

(5) Points for this factor will be 

awarded based on the amount of 

leveraging that meets the criteria in this 

section and the percentage of the 

applicant’s total housing counseling 

budget that the requested HUD housing 

counseling funds would represent. The 

amount of grant funds requested will 

impact the ratio used to score this 

factor, as this factor evaluates the 

proposed HUD grant as a percentage of 

the total counseling budget. For 

example, a LHCA requesting the 

maximum comprehensive grant amount 

of $150,000 with leveraged funds 

equaling that grant will only receive 7 

points. If that same LHCA requests only 

$100,000 with the same leveraged funds 

of $150,000, the score will be 9. 

Depending on organization type, the 

following scales will be used to 

determine scores for this factor: 

LHCAs and SHFAs 

1–25%—10 points 

26–40%—9 points 

41–48%—8 points 

49–55%—7 points 

56–65%—6 points 

66–75%—5 points 

76–85%—4 points 

86–91%—3 points 

92–95%—2 points 

96–99%—1 point 

Intermediaries 

1–15%—10 points 

16–20%—9 points 

21–26%—8 points 

27–32%—7 points 

33–41%—6 points 

42–47%—5 points 

48–53%—4 points 

54–59%—3 points 

60–65%—2 points 

66–99%—1 point 

e. Rating Factor 5: Achieving Results 

and Program Evaluation (13 points). 

This factor emphasizes HUD’s 

determination to ensure that applicants 

meet commitments made in their 

applications and grant agreements and 

assess their performance in achieving 

agreed upon performance goals. This 

reflects HUD’s Strategic goal to embrace 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11535 

high standards of ethics, management 

and accountability. 

The purpose of this factor is for the 

applicant to identify projected outputs 

and outcomes corresponding to the 

proposed workplan in Factor 3. The 

developed logic model submitted with 

the application will serve as a reporting 

tool for applicants selected to receive an 

award, allowing HUD to compare 

proposed program outputs and 

outcomes with actual results. In scoring 

this Factor, HUD will consider the 

appropriateness of the goals given the 

award the applicant is applying for and 

evaluate the proposed outputs and 

outcomes for their effectiveness and 

efficiency in delivering housing 

counseling services to the population to 

be serviced. Additionally, scorers will 

evaluate the extent to which an 

applicant’s proposal includes one-onone counseling or encourages affiliates 

to undertake one-on-one counseling. 

HUD considers one-on-one counseling 

the most effective form of housing 

counseling, as compared to homebuyer 

education workshops and other forms of 

group sessions. 

(1) Program Outcome Logic Model (2 

points). Applicants must select 

appropriate outputs and outcomes from 

a series of ‘‘pick lists’’ for the Housing 

Counseling Program. The pick list can 

be found in the form HUD–96010 in the 

Grants.gov Housing Counseling Program 

Instructions Download. Using the pick 

list, for each column of the logic model, 

applicants can select and insert their 

outputs and outcomes in the 

appropriate columns of the Logic 

Model. 

The pick lists also provide for an 

associate unit of measure for each 

output and outcome, and applicants 

must utilize the measure provided that 

is associated to the activity. Applicants 

must identify projected output and 

outcome values that correspond to the 

unit of measure. For example, insert 

whole numbers, not percentages, when 

the unit of measure is ‘Households’. 

These amounts should represent 

results to be achieved entirely as a result 

of the HUD housing counseling funding. 

If, in reality, various funding sources 

will contribute to the services provided 

each individual, the applicant must 

prorate their response to reflect a figure 

representing services provided with 

only funding from the proposed grant. 

Applicants should use the same 

methodology to complete the logic 

model as they do for form HUD–9902. 

For example, the logic model is not 

designed to record the exact number of 

clients projected or served, but rather 

the number of unique counseling or 

education services provided. So an 

individual or household that receives 

multiple, distinct types of counseling or 

education in a reporting period is 

recorded on the logic model multiple 

times. For example, if an individual 

comes in for one type of counseling (e.g. 

pre-purchase), they are recorded. If, 

later in the reporting period, the same 

individual comes in for another type of 

counseling, for example default 

counseling, record this new activity. By 

contrast, if multiple topics are covered 

in one counseling session, it is only 

recorded as one activity. Moreover, the 

form is designed to capture 

participation in each complete course 

on a unique education topic. For 

example: whether or not the course is 

completed in one 8-hour session, or four 

2-hour classes, it is counted as one 

course. 

In addition, HUD has provided a 

series of management questions, which 

awardees will be expected to respond to 

in reporting back to HUD. The 

management questions place a 

framework around the data you will be 

reporting to HUD. The management 

questions are included in the Logic 

Model and applicants should use them 

as a guide to understanding what HUD 

is interested in learning about the major 

element of your program. HUD will 

provide training on the Logic Model 

through webcasts and detailed step-bystep instructions for using the new form 

and format. The schedule for the 

webcasts and instructions can be found 

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

grants/fundsavail. For FY2007, HUD is 

considering a new concept for the Logic 

Model. The new concept is a Return on 

Investment (ROI) statement. HUD will 

be publishing a separate notice on the 

ROI concept. 

Applicants must complete and submit 

Form HUD–96010 reflecting projected 

outputs and outcomes under the 

proposed HUD Housing Counseling 

grant. The Form HUD–96010 must 

identify: 

(a) Outputs. Outputs are the direct 

products of the applicant’s activities 

that lead to the ultimate achievement of 

outcomes. Based on the proposed work 

plan in Factor 3 and the amount being 

requested through this NOFA, 

applicants should select the appropriate 

outputs and their associated units of 

measure from the choices provided in 

the pick list, and provide the 

corresponding number to be achieved 

for each proposed output. 

If requesting supplemental funding, 

indicate the specific number of 

households the applicant projects it, or 

if applicable, sub-grantees and branches, 

will serve under the comprehensive 

counseling portion of the requested 

award and with requested HECM 

supplemental funding. 

(b) Outcomes. Outcomes are benefits 

accruing to the households as a result of 

participation in the program. Outcomes 

are performance indicators the applicant 

expects to achieve or goals it hopes to 

meet over the term of the proposed 

grant. Using the pick lists provided, 

applicants should select each 

appropriate outcome and associated 

unit of measure related to the proposed 

work plan, and provide the 

corresponding number to be achieved 

for each proposed outcome. Projected 

outcomes should reflect the number you 

expect to report in the HUD Housing 

Counseling Grant Activities column on 

the Form HUD–9902. 

The proposed outcomes the applicant 

provides will be compared to actual 

results in the measurement of grant 

performance and future grant 

application evaluations. 

(2) Projected Performance/Work 

Plan—Impact (6 points). In scoring this 

Section, HUD will evaluate the 

proposed outputs from the logic model, 

specifically the number of clients that 

the applicant estimates will be served 

under the proposed HUD grant, by the 

applicant and sub-grantees, if 

applicable, for the grant period October 

1, 2007, to September 30, 2008. Scoring 

will be based on the cost per client, 

compared to historical averages for 

similar services and similar applicants. 

Proposed clients served numbers will 

also be analyzed in the context of 

budget, costs, spending decisions, the 

types of services provided, level of effort 

expended, etc. 

(a) Provide a context for, or qualify 

the number of clients the applicant 

projects to serve with the proposed HUD 

grant. Indicate how location, counseling 

and client types, and expenses may 

affect client volume, and whether the 

impact will be short-term or long-term. 

Justify proposed expenses and explain 

why they are reasonable, strategic, and 

appropriate for the counseling activities 

identified above. 

(3) Projected Performance—Group 

Education and One-On-One Counseling. 

(3 points). HUD will utilize logic model 

output projections to evaluate what 

percentage of total clients the applicant 

estimates will participate in group 

education, what percentage will 

participate in one-on-one counseling, 

and what percentage will participate in 

both group sessions and one-on-one 

counseling. Applicants must complete 

each of these output projections. 

Describe how clients are selected for 

one or the other, the relationship 

between the two, and the role that each 

will play in the overall service 


rwilkins on PROD1PC63 with NOTICES_2
11536 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

provision. Scorers will evaluate the 

extent to which an agency plans to 

encourage and provide one-on-one 

counseling, which HUD considers the 

most effective form of housing 

counseling, instead of over-relying on 

homebuyer education workshops and 

other forms of group sessions. 

(4) Evaluation Plan. (2 points). 

Applicants must also submit an 

evaluation plan for how they are going 

to track actual accomplishments against 

anticipated achievements and ensure 

that the program can provide the 

services projected to be delivered and 

outcomes projected to be achieved. 

(a) Information Collection. Describe 

the applicant’s procedures for 

measuring outputs and outcomes. 

Describe follow-up activities with 

clients to collect outcome information. 

(b) Data Analysis and Work Plan 

Adjustments. Indicate how the 

information will be evaluated, and the 

steps the applicant has in place to make 

adjustments to the work plan if 

performance targets are not met within 

established timeframes. National and 

regional intermediaries and SHFAs 

should indicate if and how the 

performance of sub-grantees and branch 

offices affects current and future subgrants and allocations. 

B. Review and Selection Process. Two 

types of reviews will be conducted. 

1. Technical Review. First, each 

application will be reviewed for 

technical sufficiency, in other words, 

whether the application meets the 

threshold requirements set out in this 

NOFA and the General Section and 

whether all required forms have been 

submitted. The General Section 

provides the procedures for corrections 

to deficient applications. 

2. General Review. The second review 

considers the responses to the rating 

factors outlined above and other 

relevant information. Applications will 

be evaluated competitively, and ranked 

against all other applicants that applied 

in the same funding category. 

3. Rating Panels. Detailed information 

on the rating review panels appears in 

the General Section. 

4. Minimum Score for Fundable 

Applications. The minimum score for 

fundable applications is 75 points. 

5. Funding Methodology. 

a. Comprehensive Counseling. Only 

applicants who receive a score of 75 

points or above will be considered 

eligible for funding. All eligible 

applicants will then be funded in 

proportion to the score they receive. 

Regarding the comprehensive 

counseling portion of an award, all 

grantees will receive the lower of either 

the comprehensive award amount 

determined with the formula, or the 

amount actually requested by the 

applicant. HUD will consider the 

amount of the comprehensive 

counseling grant being requested to be 

the value entered into box 18a on form 

SF–424. For intermediaries also 

requesting HECM supplemental 

funding, box 18a of Form SF–424 

should reflect the total of the 

comprehensive request and the HECM 

supplemental request. For those 

intermediaries requesting both, the 

narrative response to Factor 3 must 

make clear the exact comprehensive and 

supplemental amounts being requested. 

The minimum award is $20,000 for 

LHCAs; $50,000 for SHFAs; and 

$200,000 for intermediaries. 

b. Supplemental Funding. The same 

methodology described above in section 

a will be used to distribute the available 

HECM supplemental funds. Regarding 

supplemental funding, all grantees will 

receive the lower of either the 

supplemental award amount 

determined with the formula, or the 

specific amount of supplemental 

funding actually requested by the 

applicant. Each applicant will only 

submit one application and receive a 

score based on the application for the 

comprehensive counseling grant. 

Comprehensive counseling funds will 

be allocated based on this score. 

Subsequently, for HECM supplemental 

funding, responses to each rating factor 

will be evaluated on a yes/no, adequate/ 

inadequate basis. An adequate response 

will result in a score for the 

supplemental funding identical to the 

comprehensive score on each respective 

rating factor. An inadequate 

supplemental response will result in a 

1-point deduction from the 

comprehensive score. After all five 

rating factors have been evaluated, the 

adjusted ratings will result in a distinct 

score for the HECM supplemental funds. 

This method will result in scores for 

supplemental funding that may be equal 

to the comprehensive score, or up to 

five points less than the comprehensive 

score. In no case can an applicant 

receive a higher score on an application 

for supplemental funding than it 

received on its comprehensive 

application. An applicant will receive a 

separate score for its application for 

comprehensive counseling, and for 

HECM supplemental funding. The base 

award for the HECM supplemental 

funding will be $40,000 for 

intermediaries. Only applicants scoring 

75 points or above are eligible for 

supplemental funding. HUD may award 

one or more HECM supplemental grants 

to intermediaries. HECM supplemental 

grant funds are awarded based upon 

scores beginning with the highest until 

the funds are expended. Applications 

that receive 75 points or more will not 

necessarily receive supplemental 

funding. 

6. Reallocation of Unspent Funds. If 

funds designated for a specific grant 

Category, HOC, or for supplemental 

funding remain unspent after the 

formulas have been run and award 

recommendations are determined, HUD 

may, at its discretion, reallocate those 

funds to any other funding Category or 

supplemental funding area under this 

NOFA. Additionally, HUD may 

reallocate unspent funds to any HOC 

jurisdiction or to HUD Headquarters for 

awards under this NOFA. HUD may also 

reallocate unspent funds for housing 

counseling support activities. Any 

reallocation will be based on demand 

and unmet need. 

VI. Award Administration Information 

A. Award Notices: Following 

selection, applicants will receive 

notification from HUD regarding their 

application. 

1. Publication of Recipients of HUD 

Funding. HUD’s regulations at 24 CFR 

part 4 provide that HUD will publish a 

notice in the Federal Register to notify 

the public of all decisions made by the 

Department. Please see the General 

Section for more information on this 

topic. 

2. Debriefing. Applicants may receive 

a debriefing on their application 

submission. Please see the General 

Section for a further discussion of the 

time frame in which the debriefing 

request may be submitted. 

B. Administrative and National Policy 

Requirements 

1. Environmental Requirements. In 

accordance with 24 CFR 50.19(b)(9) and 

(12) of the HUD regulations, activities 

assisted under this program are 

categorically excluded from the 

requirements of the National 

Environmental Policy Act and are not 

subject to environmental review under 

the related laws and authorities. 

2. Audit Requirements. Grantees that 

expend $500,000 or more in federal 

financial assistance in a single year (this 

can be program year or fiscal year) must 

be audited in accordance with the OMB 

requirements as established in 24 CFR 

part 84. Additional information 

regarding this requirement can be 

accessed at the following Web site: 

http://harvester.census.gov/sac. 

3. Other Matters. 

a. Relocation. See the General Section. 

b. OMB Circulars and Governmentwide Regulations Applicable to 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11537 

Financial Assistance Programs. See the 

General Section. 

c. Prohibition Against Lobbying 

Activities. See the General Section. 

d. Procurement of Recovered 

Materials. See the General Section. 

f. Executive Order 13279 Equal 

Protection of the Laws for Faith-Based 

and Community Organizations. See the 

General Section. 

g. Salary Limitation for Consultants. 

See the General Section. 

h. Executive Order 13132, Federalism. 

See the General Section. 

C. Reporting 

1. Fiscal Year Activity Report. 

Grantees are required to submit Form 

HUD–9902, Housing Counseling 

Activity Report, quarterly via HUD’s 

web-based Housing Counseling System 

(HCS). The information compiled from 

this report provides HUD with its 

primary means of measuring program 

performance. 

2. Program Outcome Logic Model. If 

the actual award amount differs from 

the proposed award, Grantees are 

required to submit an updated Form 

HUD–96010, Program Outcome Logic 

Model, and a corresponding budget, 

before the grant agreement will be 

executed. Additionally, Grantees will be 

required to submit an updated Form 

HUD–96010, Program Outcome Logic 

Model, reflecting actual achievements, 

with each quarterly, midterm and final 

report, in accordance with the reporting 

requirements of the grant agreement. 

The information in this form provides 

the primary means through which HUD 

will monitor the ongoing performance of 

the grantee. 

VII. Agency Contact(s) 

A. Technical Assistance. For technical 

assistance in downloading or submitting 

an application package using 

www.Grants.gov, contact the Grants.gov 

support desk at 800–518–Grants or by 

sending an e-mail to 

support@grants.gov. 

B. Programmatic Information. For 

program related information, LHCAs 

and SHFAs should contact the HOC 

serving their area, as indicated below. 

Intermediaries should contact HUD 

Headquarters, Program Support Division 

at (202) 708–0317 (this is not a toll-free 

number). 

Hearing and speech challenged 

persons may access the telephone 

numbers listed below by calling the 

Federal Information Relay Service at 

800–877–8339. 

Homeownership center States 

Philadelphia Homeownership Center: 

Ms. Brenda Bellisario, Director, Program Support Division, 

Wannamaker Building, 100 Penn Square East, 12th Floor, Philadelphia, PA 19107–3389. For programmatic information contact: 

Robert Wright, Robert_Wright@hud.gov, (215) 656–0527 x3406.

Connecticut, Delaware, District of Columbia, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, Ohio, 

Pennsylvania, Rhode Island, Vermont, Virginia, West Virginia. 

Atlanta Homeownership Center: 

Ms. Gayle Knowlson, Director, Program Support Division, 40 Marietta Street, 8th Floor, Atlanta, GA 30303–2806. For programmatic information contact: E. Carolyn Hogans, 

E._Carolyn_Hogans@hud.gov, (404) 331–5001, x2129.

Alabama, Puerto Rico, Florida, Georgia, Illinois, Indiana, Kentucky, 

Mississippi, North Carolina, South Carolina, Tennessee. 

Denver Homeownership Center: 

Ms. Irma Devich, Director, Program Support Division, 1670 Broadway, Denver, CO 80202–4801. For programmatic information 

contact: Vic Karels, 303–675–1640, Victor_E._Karels@hud.gov.

Arkansas, Colorado, Iowa, Kansas, Louisiana, Minnesota, Missouri, 

Montana, Nebraska, New Mexico, North Dakota, Oklahoma, South 

Dakota, Texas, Utah, Wisconsin, Wyoming. 

Santa Ana Homeownership Center: 

Mr. Jerrold Mayer, Director, Program Support Division, Santa Ana 

Federal Building, 34 Civic Center Plaza, Room 7015, Santa Ana, 

CA 92701–4003. For programmatic information contact: Rhonda 

J. Rivera, rhonda_j._rivera@hud.gov, 1–888–827–5605 x3210.

Alaska, Arizona, California, Hawaii, Oregon, Idaho, Nevada, Washington. 

VIII. Other Information 

A. Satellite Broadcast. HUD will hold 

an informational broadcast via satellite 

for potential applicants to learn more 

about the program, the FY2007 Logic 

Model requirements, and the 

application. For more information about 

the date and time of the broadcast, 

consult the HUD Web site at: http:// 

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

fundsavail.cfm. 

B. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2502–0261. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 68 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, semi-annual 

reports and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

BILLING CODE 4210–01–P 


rwilkins on PROD1PC63 with NOTICES_2
11538 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.012</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11539 

Lead-Based Paint Hazard Control Grant 

Program, Lead Hazard Reduction 

Demonstration Grant Program, and 

Operation Lead Elimination Action 

Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Healthy Homes and Lead 

Hazard Control. 

B. Funding Opportunity Title: LeadBased Paint Hazard Control Program, 

Lead Hazard Reduction Demonstration 

Program, and Operation Lead 

Elimination Action Program). 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–20; OMB Approval Number 

2539–0015. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): 14.900 

Lead-Based Paint Hazard Control in 

Privately Owned Housing and 14.905 

Lead Hazard Reduction Demonstration 

Program, and 14.903 Operation Lead 

Elimination Action Program. 

F. Dates: Applications must be 

received and validated by Grants.gov no 

later than 11:59:59 p.m. eastern time on 

May 18, 2007 for the Lead-Based Paint 

Hazard Control and Operation Lead 

Elimination Action Programs, and the 

application deadline date for the Lead 

Hazard Reduction Demonstration is May 

30, 2007. See the General Section for 

specific instructions regarding 

application submission. 

G. Additional Overview Content 

Information: 

1. Purpose of the Program. 

a. The purpose of the Lead-Based 

Paint Hazard Control Program is to 

assist states, Native American Tribes, 

and local governments in undertaking 

comprehensive programs to identify and 

control lead-based paint hazards in 

eligible privately owned housing for 

rental or owner-occupants. 

b. The purpose of the Lead Hazard 

Reduction Demonstration Grant 

Program is the same as the Lead-Based 

Paint Hazard Control, but the Lead 

Hazard Reduction Demonstration Grant 

Program is targeted for urban 

jurisdictions with the highest lead-based 

paint hazard control needs. 

c. The purpose of the Operation Lead 

Elimination Action Program is to 

provide grants to private sector and nonprofit organizations to leverage funds for 

addressing lead hazards in privately 

owned housing units and eliminating 

lead poisoning as a major public health 

threat to young children. 

2. Available Funds. Approximately 

$148.4 million (Lead-Based Paint 

Hazard Control Program, Lead Hazard 

Reduction Demonstration Program and 

Lead Elimination Action Program). 

3. Eligible Applicants. 

a. To be eligible to apply for funding 

under the Lead-Based Paint Hazard 

Control (LBPHC) Grant Program, the 

applicant must be a state, Native 

American Tribe, city, county, or other 

unit of local government. Multiple units 

of a local government (or multiple local 

governments) may apply as a 

consortium; however, you must identify 

a lead applicant that will be responsible 

for ensuring compliance with all 

requirements specified in this NOFA. 

State government and Native American 

tribal applicants must have an 

Environmental Protection Agency (EPA) 

authorized lead-based paint training and 

certification program. 

b. To be eligible to apply for the Lead 

Hazard Reduction Demonstration 

(LHRD) Grant Program, the applicant 

must be a city, county, Native American 

Tribe, or other unit of local government. 

The applicant must have at least 3,500 

pre-1940 occupied rental housing units, 

as listed at the 2000 Census Web site 

identified in Form HUD 96013, Need/ 

Extent of the Problem. In addition, a 

State may apply on behalf of one or 

more of the eligible local jurisdictions if 

it has an EPA-authorized lead-based 

paint training and certification program. 

A list of eligible applicants can be 

downloaded with the application from 

www.grants.gov/Applicants/ 

Apply_for_grants.jsp in Appendix A. 

c. To be eligible to apply for funding 

under the Operation Lead Elimination 

Action Program (LEAP), the applicant 

must be a non-profit or for-profit entity 

or firm. For-profit institutions are not 

allowed to earn a fee. Colleges and 

Universities are also eligible to apply. 

National and local groups are 

encouraged to apply. States, cities, 

counties and units of local government 

and their departments are not eligible. 

4. Match. See NOFA Criteria by Grant 

Program Chart in Section III, Eligibility 

Information. 

5. Information on application. The 

applications for this NOFA can be found 

at http://www.grants.gov. The General 

Section contains information about 

Grants.gov registration, submission 

requirements, and submission 

procedures. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description. The LeadBased Paint Hazard Control Program 

(LBPHC), the Lead Hazard Reduction 

Demonstration Grant Program (LHRD) 

and the Operation Lead Elimination 

Action Program (LEAP) are authorized 

by Section 1011 of the Residential LeadBased Paint Hazard Reduction Act of 

1992 (Title X of the Housing and 

Community Development Act of 1992, 

Pub. L. 102–550). HUD’s authority for 

making funding available under this 

NOFA for the Lead-Based Paint Hazard 

Control Program, the Operation Lead 

Elimination Action Program and the 

Lead Hazard Reduction Demonstration 

Program is the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007). 

The Lead-Based Paint Hazard Control 

Grant Program assists states, Native 

American Tribes and local governments, 

and the Lead Hazard Reduction 

Demonstration Program assists urban 

jurisdictions with the highest lead-based 

paint hazard control needs, in 

undertaking programs for the 

identification and control of lead-based 

paint hazards in eligible privately 

owned rental and owner-occupied 

housing units. Operation Lead 

Elimination Action Program (LEAP) 

provides grants to private sector and 

non-profit organizations to leverage 

funds for addressing lead hazards in 

privately owned housing units and 

eliminating lead poisoning as a major 

public health threat to young children. 

HUD is interested in promoting lead 

hazard control approaches that result in 

the reduction of elevated blood lead 

levels in children for the maximum 

number of low-income families with 

children under six years of age, for the 

longest period of time, and that 

demonstrate techniques which are costeffective, efficient, and replicable 

elsewhere. Refer to the HUD Web site 

http://www.hud.gov/offices/lead/regs/ 

leadtitlex.pdf to obtain information on 

Title X. HUD’s Lead Safe Housing 

Regulation is available at http:// 

www.hud.gov/offices/lead/leadsaferule/ 

LSHRFinal21June04.rtf, and the 

companion interpretive guidance 

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

offices/lead/leadsaferule/ 

LSHRGuidance21June04.rtf. If you 

cannot access the information you can 

call the NOFA Information Center at 

800–HUD–8929. If you are a hearing- or 

speech-impaired person, you may 

request the information by telephone 

TTY by calling the toll-free Federal 

Information Relay Service at 800–877–

8339. 

Because lead-based paint is a national 

problem, these funds will be awarded to 

programs that will fulfill the following 

objectives: 

1. Maximize the combination of 

children less than six years of age 

protected from lead poisoning and 

housing units where lead-hazards are 

controlled; 


rwilkins on PROD1PC63 with NOTICES_2
11540 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

2. Target the reduction of elevated 

blood lead levels in children for the 

maximum number of low-income 

families with children less than six 

years of age, for the longest period of 

time; 

3. Stimulate lower-cost and costeffective methods and approaches to 

lead hazard control work that can be 

replicated; 

4. Build local capacity to safely and 

effectively address lead hazards during 

lead hazard control, renovation, 

remodeling, and maintenance activities 

by integrating lead safe work practices 

into housing maintenance, repair, 

weatherization, rehabilitation, and other 

programs that will continue beyond the 

grant period; 

5. Affirmatively further fair housing 

and environmental justice; 

6. Develop a comprehensive 

community approach to address lead 

hazards in housing by mobilizing public 

and private resources, involving 

cooperation among all levels of 

government, the private sector, and 

grassroots community-based non-profit 

organizations, including faith-based 

organizations, to develop cost-effective 

methods for identifying and controlling 

lead-based paint hazards; 

7. Establish a public registry (listing) 

of lead-safe housing or inclusion of the 

lead-safe status of properties in a 

publicly accessible address-based 

property information system to be 

affirmatively marketed to families with 

young children; and 

8. To the greatest extent feasible, 

promote job training, employment, and 

other economic opportunities for lowincome and minority residents and 

businesses that are owned by and/or 

employ minorities and low-income 

persons as defined in 24 CFR 135.5 (see 

59 FR 33881, published June 30, 1994). 

B. Changes in the FY 2007 NOFA 

1. A total of 150 pages for the entire 

application including narrative 

responses, attachments, tables, 

appendices, and other required forms. 

2. All contributions above the 

statutory match requirement should be 

reported as leveraged contributions. 

3. The Lead Hazard Reduction 

Demonstration Grant Program has a 10 

percent match requirement and an 80 

percent direct Lead Hazard Control cost 

requirement. 

II. Award Information 

A. Funding Available. From current 

and past years’ funding, approximately 

$76.4 million will be available for the 

Lead-Based Paint Hazard Control 

Program, approximately $54.7 million 

will be available for the Lead-Based 

Paint Hazard Reduction Grant Program, 

and approximately $17.3 million will be 

available for Operation Lead 

Elimination Action Program. 

1. Approximately 26 to 40 grants will 

be awarded to applicants for the LeadBased Paint Hazard Control Program. 

Approximately 14 to 22 grants will be 

awarded to applicants for the Lead 

Hazard Reduction Demonstration 

Program, and approximately 9 to 12 

grants will be awarded to applicants for 

Operation Lead Elimination Action 

Program. Grant award amounts for the 

entire period of performance for LeadBased Paint Hazard Control Program 

grants shall be from approximately $1 

million up to a maximum of $3 million 

per grant, for the Lead Hazard 

Reduction Demonstration Program 

grants, from approximately $1 million 

up to a maximum of $4 million per 

grant, and for Operation Lead 

Elimination Action Program (LEAP) 

grants a maximum of $2 million per 

grant. Applications for amounts larger 

than the applicable maximum amount 

for a program will be deemed ineligible 

and will not be reviewed. 

2. The start date for grants is expected 

to be no later than October 1, 2007. The 

period of performance shall not exceed 

36 months. Period of performance 

extensions for delays due to conditions 

beyond the grantee’s control will be 

considered by HUD in accordance with 

24 CFR 84.25(e)(2) or 85.30(d)(2), as 

applicable, and the OHHLHC Program 

Guide. Such extensions, when granted, 

are one time only, and for no longer 

than a period of one year from the 

original period of performance end date. 

B. Contracts or Other Formal 

Arrangements. 

1. If selected for funding, grantees are 

required to maintain a contract 

administration system to ensure subgrantee and contractor conformance 

with the terms, conditions, and 

specifications of contracts. Grantees 

must enter into written contracts or 

agreements with sub-grantees and 

contractors, which identify specific 

services to be provided such as: 

• Staffing requirements, 

• Time periods for the performance of 

work, 

• Project budget, and total amount of 

compensation to be provided, 

• Methods and documentation 

requirements for obtaining 

reimbursement of expenses, 

• Record keeping and reporting 

requirements, 

• Requirements placed upon the subgrantee or contractor to comply with 

applicable federal laws, regulations, 

circulars, and Executive Orders, 

• Provisions for the grantee with 

access to financial and other documents 

and files for the purpose of monitoring 

sub-grantee or contractor performance 

and compliance with the local contract 

or agreement, and applicable Federal 

laws, regulations, circulars and 

Executive orders. 

2. All applicants are encouraged to 

enter into formal arrangements with 

grassroots community-based non-profit 

organizations, including faith-based 

organizations, or other communitybased organizations, particularly if such 

organizations will be reimbursed for 

eligible activities under this NOFA. 

(This does not apply to Native American 

Tribes.) These formal arrangements 

could be a contract, a Memorandum of 

Understanding (MOU), a Memorandum 

of Agreement (MOA), or a letter of 

commitment. Such relationships should 

be established prior to the actual 

execution of an award or within 120 

days of the effective start date of the 

grant agreement. 

III. Eligibility Information 

A. Eligible Applicants 

See the General Section for additional 

eligibility requirements applicable to 

HUD Programs. See chart below that 

describes eligible applicants, match 

percentage requirement, minimum 

percentage of federal funds for direct 

lead hazard control activities, and 

maximum administrative cost. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11541 

MATCH REQUIREMENTS AND ADMINISTRATIVE COSTS BY GRANT PROGRAMS

Programs Eligible applicants 

Percent of HUD award 

Match Direct lead hazard control costs 

Administrative 

cost 

Lead-Based Paint Hazard 

Control Program (LBPHC).

State, Native American Tribe, city, county, or other unit 

of local government. Multiple units of a local government (or multiple local governments) may apply as a 

consortium; however, you must identify a lead applicant that will be responsible for ensuring compliance 

with all requirements specified in this NOFA. State 

government and Native American tribal applicants 

must have an Environmental Protection Agency (EPA) 

authorized lead-based paint training and certification 

program.

10% .................. Minimum 65% ... Maximum 10%. 

Lead hazard Reduction 

Demonstration (LHRD).

City, county, Native American Tribe, or other unit of local 

government. The applicant must have at least 3,500 

pre-1940 occupied rental housing units, as listed at 

the 2000 Census Web site identified in Form HUD 

96013, Need/Extent of the Problem. In addition, a 

State may apply on behalf of one or more of the eligible local jurisdictions if it has an EPA-authorized leadbased paint training and certification program. A list of 

eligible applicants can be downloaded with the application from www.grants.gov, in Appendix A.

10% .................. Minimum 80% ... Maximum 10%. 

Operation Lead Elimination 

Action Program (LEAP).

For-profit and non-profit entities; colleges and universities; and national and local groups. For profit institutions are not allowed to earn a fee.None ................. Minimum 65% ... Maximum 10%. 

B. Cost Sharing and Match 

This section applies to all three grant 

programs. See Chart above for statutory 

match requirements. Match and 

Leverage Guidance in Appendix B can 

be downloaded with the application 

from http://www.grants.gov/applicants/ 

apply_for_grants.jsp. If an applicant 

does not meet the minimum 

requirements of 10 percent match for 

LBPHC it will be considered ineligible 

for an award. 

Under Rating Factor 4, Leveraging, 

HUD provides rating points to 

applicants that documenting additional 

resources to increase the scope or 

effectiveness of the proposed program 

activities. For the LBPHC and LHRD 

that have a required match, HUD will 

award points to applicants that provide 

additional resources over required 

match amount. For LEAP applicants, 

which has no matching requirement, 

HUD will award points based upon the 

amount of resources that are leveraged 

by the applicant. The larger the amount 

of funds or in-kind services that are 

secured by the applicant, the higher the 

number of points that will be awarded 

under Rating Factor 4. For all programs, 

match and/or leverage contributions 

may be in the form of cash including 

private sector funding, or in-kind (noncash) contributions or a combination of 

these sources. With the exception of 

Community Development Block Grant 

(CDBG) funds, or other programs that 

allow their funds to be considered local 

funds and therefore eligible to be used 

as matching funds, federal funds may 

not be used to satisfy any statutorily 

required matching requirement, as 

applicable. Both CDBG and other local 

funds must be used for otherwise 

eligible grant-related lead hazard control 

activities to be eligible as match or 

leverage funds. For cash and in kind 

match and leveraged contributions, the 

applicant must submit a letter of 

commitment, signed by an official of the 

organization legally able to make 

commitments on behalf of the 

organization. The letter must indicate 

the amount and source, and detail how 

the contribution will support the 

proposed grant program. The signature 

of the authorized official on the Form 

SF–424 is deemed as official 

documentation of commitment of match 

or other contributed resources of the 

applicant organization. A separate letter 

from the applicant organization is not 

required. For LEAP applicants, a 

leveraged resource only from the private 

sector is considered eligible. All 

matching and leveraged contributions 

shall be used for the same purposes as 

allowed for by the federal funds. 

C. Other 

1. Eligible Costs and Activities. This 

section applies to all three grant 

programs unless otherwise specified. 

All lead hazard control activities 

funded under the LBPHC, LHRD and 

LEAP must be conducted in compliance 

with the applicable requirements of 

HUD’s Lead-Safe Housing Regulation, 

24 CFR part 35, and the companion 

Interpretive Guidance publication. 

Activities must also comply with any 

additional requirements in effect under 

a state or Tribal Lead-Based Paint 

Training and Certification Program that 

has been authorized by the EPA 

pursuant to 40 CFR 745.320. 

There are, in general, four categories 

of eligible costs under each competitive 

grant program included in this NOFA: 

(1) Direct costs for lead-based paint 

hazard identification and control 

activities, (2) other direct costs, (3) 

indirect costs, and (4) administrative 

costs. 

a. Definition of Direct Costs and 

Description of Lead-Based Paint Hazard 

Identification and Control Activities. 

Direct costs are defined as the 

allocable portion of allowable costs 

incurred directly for the purposes of the 

grant. Direct costs for lead hazard 

control activities consist of lead dust, 

soil and paint-chip testing and 

associated laboratory costs, the purchase 

or lease of a maximum of two X-ray 

fluorescence analyzers (if not otherwise 

available), and XRF maintenance, lead 

paint inspection and risk assessments, 

interim controls, abatement of leadbased paint or lead-based paint hazards 

(see section C.1(a)(4)(b) for abatement 

limitations), occupant protection and 

temporary relocation of occupants when 

lead hazard control work supported by 

this program is conducted in a unit, and 

clearance examinations. Direct costs for 


rwilkins on PROD1PC63 with NOTICES_2
11542 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

lead-based paint hazard identification 

and control activities do not include 

universal blood lead testing, housing 

rehabilitation beyond what is 

specifically required to carry out 

effective lead hazard control, training, 

community education and outreach, 

applied research and purchase of 

supplies or equipment and 

administrative costs. Eligible activities 

to meet the minimum 65% (LBPHC and 

LEAP) or 80% (LHRD) direct lead 

hazard control costs, as applicable, are 

as follows: 

(1) Performing lead dust, soil and 

paint-chip testing, lead-based paint 

inspections, risk assessments, clearance 

examination, and engineering and 

architectural activities that are required 

for, and in direct support of, interim 

control and lead hazard abatement 

work, of eligible housing units 

constructed prior to 1978 to determine 

the presence of lead-based paint and/or 

lead hazards from paint, dust, or soil 

through the use of acceptable testing 

procedures. 

(2) All laboratory analysis in support 

of required testing and evaluation under 

this NOFA must be conducted by a 

laboratory recognized for the analysis by 

the EPA National Lead Laboratory 

Accreditation Program (NLLAP). 

(3) All lead-based paint testing 

results, summaries of lead-based paint 

hazard control treatments, and 

clearances must be provided to the 

owner of the unit, together with a notice 

describing the owner’s legal duty to 

disclose the results to tenants and 

buyers. Grantee files must contain 

verifiable evidence of providing lead 

hazard control reports, such as a signed 

and dated receipt. Refer to 24 CFR 

35.125 of the Lead Safe Housing 

Regulation. 

(4) All lead-based paint hazards 

identified in housing units and in 

common areas of multifamily housing 

enrolled in this grant program must be 

controlled or eliminated by either of the 

following strategies or a combination of 

the two; 

(a) Interim Controls. According to the 

HUD Guidelines, interim controls of 

lead-based paint hazards including leadcontaminated dust and soil in housing 

must include specialized cleaning 

techniques to address lead dust. 

(b) Lead-Based Paint Hazard 

Abatement. Abatement of all lead-based 

paint or lead-based paint hazards is 

generally authorized only in states or 

localities that require complete 

abatement by law. HUD does not 

consider abatement of all lead-based 

paint to be cost effective in most 

circumstances; therefore, a grantee must 

make a special request in writing prior 

to conducting complete abatement of 

lead-based paint or lead-based paint 

hazards. Abatement of leadcontaminated soil should be limited to 

areas with bare soil in the immediate 

vicinity of the structure (i.e., the drip 

line or foundation of the unit being 

treated, and children’s play areas). 

(5) Undertaking minimal housing 

rehabilitation activities that are 

specifically required to carry out 

effective hazard control, and without 

which the hazard control could not be 

completed and maintained. These grant 

funds may be used for lead hazard 

control work done in conjunction with 

other housing rehabilitation programs, 

to the extent practicable. HUD 

encourages integration of this grant 

program with housing rehabilitation, 

maintenance, weatherization, and other 

energy conservation activities. 

(6) Carrying out temporary relocation 

of families and individuals while the 

remediation is conducted and until the 

time the affected unit receives clearance 

for re-occupancy. See Section III.C.4.e, 

Real Property Acquisition and 

Relocation of the General Section and 

Section VI.B.4 of this NOFA for 

discussion of regulations that apply 

when relocating families. 

b. Description of Eligible Other Direct 

Costs. 

(1) Purchasing or leasing equipment 

having a per-unit cost under $5,000 

(except for the purchase or lease of up 

to two X-ray florescence analyzers used 

by the grant program). 

(2) Performing blood lead testing and 

air sampling to protect the health of the 

hazard control workers, supervisors, 

and contractors. 

(3) Conducting pre-hazard control 

blood lead testing of children under six 

years of age residing in or frequently 

visiting units undergoing lead hazard 

control work. 

(4) Conducting targeted outreach, 

affirmative marketing, education or 

outreach programs on lead hazard 

control and lead poisoning prevention 

designed to increase the ability of the 

program to deliver lead hazard control 

services including educating owners of 

rental properties, tenants, and others on 

the Residential Lead-Based Paint Hazard 

Reduction Act, Lead-Safe Housing Rule, 

and applicable provisions of the Fair 

Housing Act especially as it pertains to 

familial status (e.g., families with 

children) and disability discrimination, 

offering educational materials in 

languages that are common in the 

community other than English, 

consistent with HUD’s published 

Limited English Proficiency (LEP) 

Recipient Guidance, 68 FR 70968, and 

providing training on lead-safe 

maintenance and renovation practices 

and management. Upon request, this 

also would include making all materials 

available in alternative formats to 

persons with disabilities (e.g., Braille, 

audio, and large type). 

(5) Supporting data collection, 

analysis, and evaluation of grant 

program activities. This includes 

compiling and delivering such data as 

may be required by HUD. 

(6) Preparing a final report at the 

conclusion of grant activities. 

(7) Providing resources to build 

capacity for lead-safe housing and lead 

hazard control, including free delivery 

of HUD-approved lead-safe work 

practices training courses for housing 

rehabilitation contractors, rehabilitation 

workers, homeowners, renters, painters, 

remodelers, maintenance staff, and 

others conducting renovation, 

rehabilitation, maintenance or other 

work in private housing; free delivery of 

lead sampling technician training, leadbased paint worker or contractor 

certification training; and subsidies for 

licensing or certification fees to lowincome persons seeking credentials as 

lead-based paint workers or contractors 

or lead sampling technicians. 

(8) Conducting planning, 

coordination, and training activities to 

comply with HUD’s Lead-Safe Housing 

Regulation (24 CFR part 35, subparts B–

R). These activities should support the 

expansion of a workforce properly 

trained in lead-safe work practices that 

is available to conduct interim controls 

on HUD-assisted housing covered by 

these regulations. 

(9) Conducting outreach and related 

activities that will result in increased 

lead hazard control activities in lowincome privately owned or owneroccupied housing with lead-based paint 

hazards. For LEAP grants, outreach and/ 

or related activities, must be tied to a 

leveraging strategy. 

(10) Participating in applied research, 

studies, or developing information 

systems to enhance the delivery, 

analysis, or conduct of lead hazard 

control activities, or to facilitate 

targeting and consolidating resources to 

further childhood lead poisoning 

prevention efforts. 

c. For reference to the Administrative 

Cost requirements, please see Appendix 

D, which can be downloaded with the 

application from http://www.grants.gov/ 

applicants/apply_for_grants.jsp. 

d. For reference to the Indirect Cost 

requirements see Appendix C, which 

can be downloaded with the application 

from http://www.grants.gov/applicants/ 

apply_for_grants.jsp. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11543 

2. Eligibility of HUD-Assisted 

Housing. The Table 10, ‘‘Eligibility of 

HUD Assisted Housing,’’ that lists the 

housing units that may participate 

under each of the three competitive 

programs detailed in this NOFA can be 

downloaded with the application from 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. 

3. Threshold Requirements. To be an 

eligible applicant, you must meet all of 

the threshold requirements in Section 

III.C of the General Section as well as 

any specific threshold requirements 

listed in this subsection. Applications 

will not be funded if they do not meet 

the threshold requirements. 

a. Applicants under the Lead-Based 

Paint Hazard Control and Lead Hazard 

Reduction Demonstration Programs are 

required to match 10 percent of the 

funds requested with other funds or 

resources. There is no match 

requirement for LEAP. 

b. Applicants under the Lead Hazard 

Reduction Demonstration Program must 

be a city, county, Native American 

Tribe, or other unit of local government. 

The applicant must have at least 3,500 

pre-1940 occupied rental housing units, 

as listed at the 2000 Census Web site 

identified in Form HUD 96013, Need/ 

Extent of the Problem. A list of eligible 

applicants can be downloaded with the 

application from http://www.grants.gov/ 

applicants/apply_for_grants.jsp. In 

addition, a State may apply on behalf of 

one or more of the eligible local 

jurisdictions if it has an EPA-authorized 

lead-based paint training and 

certification program. There is no 

minimum threshold requirement for the 

number of pre-1940 occupied units for 

LBPHC or LEAP. 

c. All applicants under the Lead 

Hazard Reduction Demonstration 

Program must provide the actual 

number of children with documented 

elevated blood levels residing within 

the jurisdiction(s) where the lead hazard 

control work will be conducted for the 

most recent twelve-month period 

available since January 1, 2003 and 

identify the source of the data. Failure 

to provide these data will result in the 

application not being rated or ranked. 

d. EPA Authorization. If you are a 

state government or Native American 

Tribal government, you must have an 

EPA-authorized Lead-Based Paint 

Training and Certification Program in 

effect, on the application deadline date, 

to be eligible to apply for Lead Based 

Paint Hazard Control and Lead Hazard 

Control Reduction Demonstration Grant 

funds. The approval date in the Federal 

Register notice published by the EPA 

will be used in determining the Training 

and Certification status of the applicant 

state or Native American Tribal 

government. If you do not have an EPA 

authorized program on the application 

submission date, the application will 

not be rated or ranked. Further, if you 

do not have an EPA authorized program 

on the grant award date, you will not be 

awarded a grant under this NOFA. 

e. Consolidated Plans. (This 

requirement does not apply to Native 

American Tribes.) You must submit, as 

an appendix, the current lead-based 

paint element from the approved 

Consolidated Plan of the jurisdiction(s) 

where the lead-based paint hazard 

control will be conducted. In lieu of 

submitting a hard copy of the lead-based 

paint element from the current 

consolidated plan(s), you may substitute 

a Web site address. The Web site must 

contain the lead-based paint element of 

the current Consolidated Plan(s). If the 

jurisdiction does not have a currently 

approved Consolidated Plan, but is 

otherwise eligible for LBPHC and LHRD 

grant programs, you must include the 

jurisdiction’s abbreviated Consolidated 

Plan, which includes a lead-based paint 

hazard control strategy developed in 

accordance with 24 CFR 91.235. You 

should include the discussion of any 

lead-based paint issues in your 

jurisdiction’s Analysis of Impediments, 

particularly as it addresses your target 

areas. 

f. An applicant requesting a grant 

amount greater than the maximum grant 

award amount will be deemed ineligible 

and not reviewed or rated. 

g. Applications that do not have either 

a narrative response to the rating factors 

or form HUD–424 CBW Budget 

worksheet will not be reviewed or rated. 

h. Fiscal Year 2006 awardees of 

LBPHC, LHRD, reopened LHRD, or 

LEAP grants, are not eligible to apply for 

any of these three programs during this 

competitive NOFA cycle. 

i. Applicants may submit up to one 

application for each of the competitive 

programs covered by this NOFA for 

which they are eligible. 

4. Environmental Requirements 

a. Recipients of Lead-Based Paint 

Hazard Control Grants and Lead Hazard 

Reduction Demonstration grants must 

comply with 24 CFR part 58, 

Environmental Review Procedures for 

Entities Assuming HUD Environmental 

Responsibilities, and must carry out 

environmental review responsibilities as 

a responsible entity under part 58. 

b. Work on properties assisted with 

LEAP funds under this NOFA is covered 

by the provisions of section 305(c) of the 

Multifamily Housing Property 

Disposition Reform Act of 1994, which 

are implemented by HUD regulations at 

24 CFR part 50. Under part 50, a 

responsible entity, usually a local 

government unit, must assume the 

environmental review responsibilities 

for activities funded under LEAP. Under 

24 CFR 50.3(h), if a responsible entity or 

the recipient objects to the responsible 

entity performing the environmental 

review for LEAP activities, HUD may 

designate another responsible entity to 

perform the review or may perform the 

environmental review itself under the 

provisions of 24 CFR part 50. 

c. For all grants under this NOFA, 

recipients and other participants in the 

project are prohibited from undertaking, 

or committing or expending HUD or 

non-HUD funds (including leveraged or 

match funds) on a project or activities 

under this NOFA (on activities other 

than listed in 24 CFR 58.34, 58.35(b) or 

58.22(f)) until the responsible entity 

completes an environmental review and 

the applicant submits and HUD 

approves a Request for the Release of 

Funds and the responsible entity’s 

environmental certification (both on 

form HUD 7015.15). In the case of LEAP 

grants, the grantee must await HUD’s 

completing the review and notifying the 

grantee of the approval of the 

environmental review before initiating 

work. The results of the environmental 

review may require that proposed 

activities be modified or proposed sites 

may be rejected. The results of the 

environmental reviews may require that 

proposed activities be modified or 

proposed sites rejected. For part 58 

procedures, see http://www.hud.gov/ 

offices/cpd/energyenviron/environment/ 

index.cfm. For assistance, contact 

Edward Thomas, the Office of Healthy 

Homes and Lead Hazard Control 

Environmental Officer at (215) 861–

7670 (this is not a toll-free number) or 

the HUD Environmental Review Officer 

in the HUD Field Office serving your 

area. If you are a hearing- or speechimpaired person, you may reach the 

telephone number via TTY by calling 

the toll-free Federal Information Relay 

Service at 1–800–877–8339. Recipients 

of a grant under these funded programs 

will be given additional guidance in 

these environmental responsibilities. 

5. Administrative and Other 

Requirements. If awarded a grant, you 

must comply with the requirements and 

maintain appropriate documentation to 

demonstrate compliance with the 

requirements specified below. The 

requirements apply to all grant 

programs unless otherwise specified. 

a. Lead-Based Paint Hazard Reduction 

Act of 1992 (Title X of the Housing and 

Community Development Act of 1992), 

Section 1011. Section 217 of Public Law 

104–134 (the Omnibus Consolidated 


rwilkins on PROD1PC63 with NOTICES_2
11544 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Rescissions and Appropriations Act of 

1996, 110 Stat. 1321, approved April 26, 

1996) amended Section 1011(a) of the 

Residential Lead-Based Paint Hazard 

Reduction Act of 1992 (Title X) to read 

as follows: 

‘‘Section 1011. Grants for Lead-Based 

Paint Hazard Reduction in Target 

Housing 

‘‘(a) General Authority. The Secretary 

is authorized to provide grants to 

eligible applicants to evaluate and 

reduce lead-based paint hazards in 

housing that is not federally assisted 

housing, federally owned housing, or 

public housing, in accordance with the 

provisions of this section. Grants shall 

only be made under this section to 

provide assistance for housing that 

meets the following criteria—

‘‘(1) for grants made to assist rental 

housing, at least 50 percent of the units 

must be occupied by or made available 

to families with incomes at or below 50 

percent of the area median income level 

and the remaining units shall be 

occupied or made available to families 

with incomes at or below 80 percent of 

the area median income level, and in all 

cases the landlord shall give priority in 

renting units assisted under this section, 

for not less than 3 years following the 

completion of lead abatement activities, 

to families with a child under the age of 

six years, except that buildings with five 

or more units may have 20 percent of 

the units occupied by families with 

incomes above 80 percent of area 

median income level; 

‘‘(2) for grants made to assist housing 

owned by owner-occupants, all units 

assisted with grants under this section 

shall be the principal residence of 

families with income at or below 80 

percent of the area median income level, 

and not less than 90 percent of the units 

assisted with grants under this section 

shall be occupied by a child under the 

age of six years or shall be units where 

a child under the age of six years spends 

a significant amount of time visiting.’’

(1) Trained and Certified 

Professionals. Funded activities must be 

conducted by persons qualified for the 

activities according to 24 CFR part 35, 

subparts B–R (possessing certification as 

abatement contractors, risk assessors, 

inspectors, abatement workers, or 

sampling technicians, or others having 

been trained in a HUD-approved course 

in lead-safe work practices). 

(2) Lead hazard evaluation and 

control work must be conducted in 

compliance with HUD’s Lead Safe 

Housing Rule, 24 CFR part 35, the HUD 

Guidelines, and applicable federal, state 

and local regulations and guidance. 

(3) You must document the income 

and family composition of occupants of 

units assisted to meet Title X 

requirements. Identify the key staff who 

will certify as to the eligibility of each 

unit assisted under the grant based on 

the determination of income, and when 

required, the presence of a child under 

six years of age. 

6. Prohibited Practices. You must not 

engage in the following prohibited 

practices: 

a. Open flame burning or torching; 

b. Machine sanding or grinding 

without a high-efficiency particulate air 

(HEPA) exhaust control; 

c. Uncontained hydroblasting or highpressure wash; 

d. Abrasive blasting or sandblasting 

without HEPA exhaust control; 

e. Heat guns operating above 1,100 

degrees Fahrenheit; 

f. Chemical paint strippers containing 

methylene chloride or other volatile 

hazardous chemicals in a poorly 

ventilated space; and 

g. Dry scraping or dry sanding, except 

scraping in conjunction with heat guns 

or around electrical outlets or when 

treating no more than two square feet in 

any one interior room or space, or 

totaling no more than 20 square feet on 

exterior surfaces. 

7. Written Policies and Procedures. 

You must have clearly established, 

written policies and procedures for 

eligibility, program marketing, unit 

selection, expediting work on homes 

occupied by children with elevated 

blood lead levels, and all phases of lead 

hazard control, including risk 

assessment, inspection, development of 

specifications, pre-hazard control blood 

lead testing, financing, temporary 

relocation and clearance examination. 

Grantees, subcontractors, sub-grantees, 

sub-recipients, and their contractors 

must adhere to these policies and 

procedures. 

8. Continued Availability of Lead-Safe 

Housing to Low-Income Families. Units 

in which lead hazards have been 

controlled under this program shall be 

occupied by or continue to be available 

to low-income residents as required by 

Title X (Section 1011). You must 

maintain a publicly available registry 

(listing) of units in which lead hazards 

have been controlled and ensure that 

these units are affirmatively marketed to 

agencies and families as suitable 

housing for families with children less 

than six years of age. The grantee must 

also provide the owner with the lead 

hazard evaluation and control 

information generated by activities 

under this grant, so that the owner can 

comply with his/her disclosure 

requirements under 24 CFR part 35, 

Subpart A. 

9. Testing. In developing your 

application budget, include costs for 

lead paint inspection, risk assessment, 

and clearance examination for each 

dwelling that will receive lead hazard 

control, as follows: 

a. General. All testing and sampling 

shall comply with the Lead Safe 

Housing Rule and conform to the 

current HUD Guidelines, the EPA lead 

hazard standards at 40 CFR part 745, 

and federal, state, or tribal regulations 

developed as part of the appropriate 

contractor certification program, 

whichever is most stringent. 

b. Lead-Based Paint and Lead-Based 

Paint Hazard Identification. A leadbased paint inspection and risk 

assessment is required. 

c. Clearance Testing. If rehabilitation 

is conducted in conjunction with lead 

hazard control, clearance may be 

conducted either after the lead hazard 

control work is completed, and again 

after any subsequent rehabilitation work 

is completed, or after all of the lead 

hazard control and rehabilitation work 

is completed. Clearance shall be 

successfully completed before reoccupancy. 

10. Blood lead testing. Each child 

under six years of age should be tested 

for lead poisoning within the six 

months preceding the lead hazard 

control work. Any child with an 

elevated blood lead level must be 

referred for appropriate medical followup. The standards for such testing are 

described in the Centers for Disease 

Control and Prevention (CDC) 

publications Preventing Lead Poisoning 

in Young Children (1991), and 

Screening Young Children for Lead 

Poisoning: Guidance for State and Local 

Public Health Officials (1997). 

11. Cooperation With Related 

Research and Evaluation. You shall 

cooperate fully with any research or 

evaluation sponsored by HUD, CDC, 

EPA or another government agency 

associated with this grant program, 

including preservation of project data 

and records and compiling requested 

information in formats provided by the 

researchers, evaluators or HUD. This 

also may include the compiling of 

certain relevant local demographic, 

dwelling unit, and participant data not 

contemplated in your original proposal. 

Participant data shall be subject to the 

Privacy Rule of the Health Insurance 

Portability and Accountability Act of 

1996 (HIPAA). HIPAA and the Privacy 

Rule can be found at www.hhs.gov/ocr/ 

hipaa. 

12. Data Collection. You shall collect, 

maintain, and provide to HUD the data 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11545 

necessary to document and evaluate 

grant program outputs and outcomes. 

13. Financial Control. Financial 

control systems shall be established 

including methods and procedures to 

ensure that only grant eligible expenses 

are charged to the grant as reimbursable 

expenses or project match; that 

appropriate documentation of time 

worked on and charged to the grant is 

maintained; that no more than 10 

percent of grant funds are used for 

administrative costs and that indirect 

cost allocation plans are updated 

annually. 

14. Section 3 Employment 

Opportunities. Please refer to Section 

III.C of the General Section. The 

requirements of Section 3 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701u) are applicable to 

this program. This sub-factor will be 

evaluated on the extent to which an 

applicant describes how it proposes to: 

a. Provide opportunities to train and 

employ Section 3 residents; and 

b. Award contracts to Section 3 

contractors, as each of those terms is 

defined in the regulations, 24 CFR Part 

135. Applicants that demonstrate their 

responsiveness to the section 3 

requirements may receive up to 2 points 

(see Rating Factor 3). Annual 

submission of Form HUD–60002 is 

required. Regulations regarding the 

provision of Section 3 of the Housing 

and Urban Development Act of 1968 can 

be located at 24 CFR Part 135. 

15. Replacing Existing Resources. 

Funds received under the grant 

programs covered under this NOFA 

shall not be used to replace existing 

community resources dedicated to any 

ongoing project. 

16. Certifications and Assurances. By 

signing the SF–424, you are agreeing to 

the certifications and assurances listed 

in the General Section and this NOFA. 

17. Code of Conduct. If awarded 

assistance, you will be required, prior to 

entering into a grant agreement with 

HUD, to submit a copy of your Code of 

Conduct and describe the methods you 

will use to ensure that all officers, 

employees, and agents of your 

organization are aware of your Code of 

Conduct. An applicant who submitted 

an application during FY2005 or 

FY2006 and included a copy of its code 

of conduct will not be required to 

submit another copy if the applicant is 

listed on HUD’s Web site http:// 

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

codeofconduct/cconduct.cfm. An 

applicant must also include a copy of its 

code of conduct if the information listed 

on the above Web site has changed (e.g., 

the person who submitted the previous 

application is no longer your authorized 

organization representative, the 

organization has changed its legal name 

or merged with another organization, or 

the address of the organization has 

changed, etc.). Refer to the General 

Section for further information about 

the Code of Conduct requirements. 

18. Lead-Safe Work Practice Training 

Activities. Under the Lead-Based Paint 

Hazard Control Grant Program, you are 

encouraged to provide resources to 

promote the expansion of a workforce 

that is: 

—Properly trained in lead-safe work 

practices; 

—Available to conduct interim controls 

and/or lead hazard abatement; 

—Able to follow lead-safe work 

practices while performing work on 

HUD assisted housing units; and 

—Able to safely repair, rehabilitate, and 

maintain other privately owned 

residential property. 

19. Coordination among Critical 

Agencies. 

a. Under the Lead-Based Paint Hazard 

Control or Lead Hazard Reduction 

Demonstration programs, you shall 

participate in the state-wide or 

jurisdiction-wide strategic plan to 

eliminate childhood lead poisoning as a 

major public health problem by 2010, or 

assist in the development of a plan in 

states or localities that do not have such 

a plan. The CDC strategic elimination 

plans for state and local childhood lead 

poisoning prevention programs can be 

downloaded from http://www.cdc.gov/ 

nceh/lead/StrategicElimPlans/ 

strategicplans.htm. Additionally, if 

awarded lead hazard control or lead 

hazard demonstration funds, you shall 

enter into or extend existing 

collaborative arrangements with 

childhood lead poisoning prevention 

programs among health agencies, 

housing agencies, community 

development agencies, and code 

enforcement agencies (or equivalent) for 

their target area(s), local jurisdiction(s), 

and, for state or tribal applicants, with 

their state or tribal health agencies, 

housing agencies, development 

agencies, and code enforcement 

agencies (or equivalent). Arrangements 

must describe how the health 

department and the housing and/or 

development agency have or will 

consider enrolling housing units (or 

multifamily buildings) in which one or 

more children under age 6 years have 

elevated blood lead levels, with priority 

to housing where repeated and/or severe 

cases of childhood lead poisoning have 

occurred. HUD encourages LEAP 

applicants to enter into such 

agreements. 

20. Work Plan. Upon award, you shall 

develop a work plan including 

measurable quarterly performance goals 

and specific time-phased objectives for 

each of the major activities and tasks 

required to execute the project. These 

major activities and tasks are outlined in 

the Quarterly Progress Reporting System 

(Form HUD–96006) and include: 

Program Management and Capacity 

Building including data collection and 

program evaluation; Community 

Education, Outreach and Training; and 

Lead Hazard Activities including 

testing, interventions, and temporary 

relocation. 

a. Describe how lead hazard units, 

especially those known to house 

elevated blood lead level children under 

six years of age, will be identified, 

selected, prioritized, and considered for 

treatment under this grant and/or other 

programs of the grantee or grantee’s 

team members. An elevated blood lead 

level is defined as an excessive 

absorption of lead that is a confirmed 

concentration of ten (10) micrograms of 

lead per deciliter of whole blood. 

You must demonstrate how you 

consider housing units identified by 

local health and child welfare agencies 

where incidences of childhood lead 

poisoning have occurred, particularly 

those where multiple poisonings have 

been reported, for enrollment into lead 

hazard control treatment programs, as 

well as demonstrate the use of other 

sources of information on high priority 

housing; 

b. Your work plan should address 

your jurisdiction’s Consolidated Plan 

goals for pursuing community planning 

and development and housing programs 

relative to lead and other housingrelated issues that affect the health of 

residents. The work plan must include 

a detailed strategy to: 

(1) Obtain data from state or local 

health departments or from families 

themselves (either directly, for example, 

through service organizations that 

families distribute their information) on 

the addresses of housing units in which 

children have been identified as lead 

poisoned, as required by 24 CFR 

91.100(a)(2). 

(2) Continue or enter into 

collaborative agreements or 

arrangements with applicable state or 

local health and child welfare agencies, 

community development organizations, 

and housing agencies and/or other 

housing organizations to team with 

HUD Lead-Based Paint Hazard Control, 

Lead Hazard Reduction Demonstration, 

and LEAP grantees to identify and 

address childhood lead poisoning in the 

jurisdiction collaboratively, and 

describe the methods for coordinating 

among these agencies. 


rwilkins on PROD1PC63 with NOTICES_2
11546 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(3) Demonstrate specific steps and/or 

actions that will be taken to ensure that 

other resources in the community are 

utilized to increase funding, provide 

training, and to link with other local 

programs engaged in lead hazard control 

activities. 

(4) Describe how the project will be 

managed, and the timeline for staffing 

the program, establishing a lead-based 

paint contractor pool, and obtaining 

HUD approval for the Request for the 

Release of Funds (HUD Form 7015.15). 

(5) Describe how assistance and 

funding will flow from you to the actual 

performers of the hazard reduction 

work. 

(6) Describe the selection process for 

sub-grantees, sub-contractors, or subrecipients. 

(7) Describe the financing mechanism 

used to support lead hazard control 

work in units (name of administering 

agency, eligibility requirements, type of 

financing, etc.), any owner matching 

requirement, and the terms, conditions, 

and amounts of assistance available, 

include affordability terms and 

provisions for forgiveness and recapture 

of funds. 

(8) Perform combined lead-based 

paint inspection and risk assessment 

procedures using the HUD Guidelines, 

applicable sections of the Lead Safe 

Housing Rule and use EPA standards to 

identify lead hazards and to conduct 

clearance testing. 

(9) Describe the process for 

developing work specifications and bids 

on properties selected for lead hazard 

control work. 

(10) The specific intervention 

methods and clearance procedures to be 

conducted for units enrolled and 

treated. 

(11) The number of rental-occupied, 

vacant, and owner-occupied units, 

including the number of single-family 

and multifamily units, proposed for 

interim controls and hazard abatement. 

(12) The occupant protection and 

relocation plan for residents required to 

be out of their homes during hazard 

control activities. The relocation should 

be in accordance with Section III.C.4.e. 

(13) The outputs and overall 

outcomes for community education, 

outreach, and training activities, 

including the nature and number of 

events and the number of individuals to 

receive education, outreach, and 

training. 

(14) The blood lead testing and other 

measures to be undertaken to protect 

children under six years of age and 

other occupants of units undergoing 

lead hazard control work. 

(15) The evaluation process used to 

measure program performance, with 

particular attention given to program 

performance in the five key areas 

evaluated by OHHLHC on a quarterly 

basis (NOFA Rating Factor 5 response): 

number of units inspected and risk 

assessed; number of units cleared of 

lead hazards; the amount of grant funds 

disbursed through HUD’s Line of Credit 

Control System (LOCCS); the number of 

persons reached through outreach and 

education efforts; and the number of 

persons trained in lead hazard control 

courses. For LEAP only, the quarterly 

assessment will include one additional 

performance measure, which is the 

amount of leverage. 

(16) The grantee’s accounting, 

finance, and internal audit procedures; 

(a) Procedures for tracking funds 

obtained through government resources 

(including HUD, other federal agencies, 

and state and local governments), match 

and leverage; and 

(b) Procedures for the procurement 

process and the reimbursement process 

of vendors, contractors, and subgrantees. 

(17) Quarterly performance 

benchmarks. The benchmarks identified 

in the work plan for a 36-month period 

of performance are on the Work Plan 

Development Worksheet with Minimum 

Benchmark Standards for 36 Months—

Form HUD–96008. (You can download 

Form HUD–96008 from http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp, in the application 

instructions download section.) All 

applicants are required to complete the 

Factor 3 Table—Soundness of 

Approach, and the Work Plan 

Development Worksheet with Minimum 

Benchmark Standards for 36 Months—

Form HUD–96008 for the purposes of 

developing your work plan. Applicants 

selected for award may be asked to 

modify the work plan to reflect agreed 

upon benchmarks determined during 

pre-award negotiations. 

21. Detailed Budget. Submit a detailed 

budget that identifies the total budget 

(federal share and matching and/or 

leverage contribution) on Form HUD–

424 CBW and budget and cost 

justification narrative for all budget 

categories of your grant request. You 

must provide a separate estimate for the 

overall grant management element 

(Administrative Costs), which is more 

fully defined in Section IV.E of this 

NOFA. All applicants must provide a 

detailed budget for any subcontractors, 

sub-grantees, or sub-recipients receiving 

greater than 10 percent of the federal 

budget request. In the event of a 

discrepancy between grant amounts 

requested in various sections of the 

application, the amount you indicate on 

the Form SF–424 will govern as the 

correct value. 

22. Institutional Review Board (IRB). 

Indicate if your program includes 

conducting research involving human 

subjects in a manner which requires IRB 

approval and periodic monitoring under 

24 CFR part 60, which incorporates the 

Department of Health and Human 

Service’s regulations, at 45 CFR part 46. 

For additional information on what 

constitutes human subjects’ research or 

how to obtain an institutional 

assurance, see the Department of Health 

and Human Services, Office of Human 

Research Protection (OHRP) Web site at 

http://www.hhs.gov/ohrp/. 

IV. Application and Submission 

Procedures 

A. Address to Request Application 

Package 

See the General Section for specific 

procedures concerning the electronic 

application submission requirements. 

The application and Instructions are 

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

applicants/apply_for_grants.jsp. If you 

have difficulty accessing the 

information, you may call the help desk 

help line at (800) 518–GRANTS or emailing support@grants.gov. 

Guidebook and Further Information: 

HUD provides a Desktop User Guide to 

Find, Register and Apply for Grant 

Opportunities using Grants.gov. The 

Desktop User Guide is available on 

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

utilities/intercept.cfm?/offices/adm/ 

grants/deskuserguide.pdf. If you have 

difficulty accessing the information, you 

may call HUD’s NOFA Information 

Center at (800–HUD 8929. If you are a 

hearing-or speech-impaired person, you 

may request the information by 

telephone TTY by calling the toll-free 

Federal Information Relay Service at 

800–877–8339. 

B. Content and Form of Application 

Submission 

Applicants eligible to apply under 

this NOFA are to follow the submission 

requirements described below: 

1. Applicant Information 

a. Application Format. 

(1) Application including narrative 

responses, attachments, tables, 

appendices, and other required forms 

should be limited to a total of 150 pages. 

Number all pages of the application 

sequentially from page 1 to the end of 

the application, including charts, 

figures, tables and appendices. If the 

application exceeds the 150-page limit 

and has no page numbers, HUD will 

consider only the first 150 pages it 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11547 

prints for review (forms will be counted 

first). 

(2) The application narrative response 

to the Rating Factors is limited to a 

maximum of 20 pages (excluding 

appendices and worksheets) of size 81⁄2′′ 

x 11′′ using a 12-point (minimum) font 

with not less than 1′′ margins on all 

sides. 

(3) Materials provided in the 

appendices should directly refer to the 

specific rating factor narrative. 

Applicants are strongly urged to not 

submit information that is not required 

and/or requested in the NOFA or 

relevant to a specific narrative response. 

The narrative rating responses should be 

submitted as a single Microsoft Word 

document file. All attachments must 

identify the related factor in the footer 

by providing the rating factor and the 

page number (e.g., Factor 1 Attachment, 

pg. 1), and should be submitted as a 

single zip file attachment to the 

electronic application. 

b. Information contained in the 

abstract will not be considered in the 

evaluation and scoring of your 

application. 

c. Application Checklist (Voluntary). 

Your application must contain all of the 

required information requested in this 

NOFA and the General Section. These 

items include the standard forms, and 

the certifications and assurances listed 

in the General Section that are 

applicable to this NOFA. The forms 

required for application submission and 

instructions can be found in the 

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

applicants/apply_for_grants.jsp. The 

‘‘Checklist and Submission Table of 

Contents’’ below includes a list of the 

required items needed for submitting a 

complete application and receiving 

consideration for funding. 

Checklist and Submission Table of 

Contents (Counts Towards the 150 Page 

Limit) 

• Application Checklist (paper copy 

applications only) 

• Applicant Abstract (limited to a 

maximum of 2 pages) 

• Rating Factors Response (limited to 

a maximum of 20 narrative pages plus 

the following forms): 

1. Capacity of the Applicant and 

Relevant Organizational Experience—

Form HUD–96012; 

2. Needs/Extent of the Problem—

Form HUD–96013; 

3. Soundness of Approach (Work 

Plan/Budget)—Form HUD–96014; 

4. Leveraging and Matching 

Resources—Form HUD–96015; and 

5. Achieving Results and Program 

Evaluation—Logic Model—Form HUD–

96010. 

Other Materials in Support of Rating 

Factors 

Application for Federal Assistance—

Form SF–424; 

Survey on Ensuring Equal Opportunity 

for Applicants—Form SF–424 

Supplement (Faith Based EEO Survey 

(SF–424 SUPP) on Grants.gov); 

Grant Application Detailed Budget 

(HUD Detailed Budget Form on 

Grants.gov) and Worksheet HUD–424 

CBW, Total Budget (Federal Share 

and Matching) and Budget 

Justification Narrative; 

Applicant/Recipient Disclosure/Update 

Report—Form HUD–2880 (HUD 

Applicant Recipient Disclosure 

Report on Grants.gov); 

Certification of Consistency with the 

RC/EZ/EC–II Strategic Plan—Form 

HUD–2990; 

Certification of Consistency with the 

Consolidated Plan—Form HUD–2991; 

Disclosure of Lobbying Activities (if 

applicable)—Form SF–LLL; 

Development Worksheet with Minimum 

Benchmark Standards (36 Months) 

Form HUD–96008; 

Match and Leverage Documentation; 

Third Party Documentation Facsimile 

Transmittal (Facsimile Transmittal 

Form on Grants.gov)(for electronic 

applications)—Form HUD–96011; 

Questionnaire for HUD’s Removal of 

Regulatory Barriers (HUD 

Communities Initiative Form on 

Grants.gov)—Form HUD-27300, 

including required documentation or 

URL references; 

You Are Our Client Survey—Form 

HUD–2994–A (optional); and 

Threshold Requirements (Refer to 

Section III.C of the General Section, 

and Section III.C.3, Threshold 

Requirements, of this NOFA). 

C. Submission Dates and Times. The 

application must be received and 

validated by Grants.gov no later than 

11:59:59 p.m. eastern time on the 

deadline date. Please note that the 

validation process may take up to 72 

hours. Refer to the General Section for 

timely submission requirements. 

D. Intergovernmental Review: Not 

required. 

E. Funding Restrictions 

1. Administrative Costs. There is a 10 

percent maximum allowance for 

administrative costs. Additional 

information about allowable 

administrative costs is provided in 

Appendix D of this NOFA at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

2. Ineligible Activities. You may not 

use grant funds for any of the following 

activities: 

a. Purchase of real property. 

b. Purchase or lease of equipment 

having a per-unit cost in excess of 

$5,000, except for the purchase and 

lease of up to two X-ray fluorescence 

analyzers used by the grant program. 

c. Chelation or other medical 

treatment costs related to children with 

Elevated Blood Lead levels (EBLs). Nonfederal funds used to cover these costs 

may be counted as part of the required 

matching contribution. 

d. Lead hazard evaluation or control 

activities in publicly-owned housing, or 

project-based Section 8 housing (this 

housing stock is not eligible under 

Section 1011 of the Lead-Based Paint 

Hazard Reduction Act). 

e. Lead hazard evaluation or control 

activities in housing covered by a 

settlement agreement, consent decree, 

court order or other similar action by 

HUD or EPA regarding the Lead 

Disclosure Rule (24 CFR part 35, 

Subpart A, or the equivalent 40 CFR 

part 745, subpart F), or by HUD 

regarding its Lead Safe Housing Rule (24 

CFR part 35, subparts B–R). 

f. Presumption of the presence of 

lead-based paint or lead-based paint 

hazards. A lead-based paint inspection 

and risk assessment are required. 

g. Activities that do not comply with 

the Coastal Barrier Resources Act (16 

U.S.C. 3501). 

h. Lead-hazard control or 

rehabilitation of a building or 

manufactured home that is located in an 

area identified by the Federal 

Emergency Management Agency 

(FEMA) under the Flood Disaster 

Protection Act of 1973 (42 U.S.C. 4001–

4128) as having special flood hazards 

unless: 

(1) The community in which the area 

is situated is participating in the 

National Flood Insurance Program in 

accordance with the applicable 

regulations (44 CFR parts 59–79), or less 

than a year has passed since FEMA 

notification regarding these hazards; 

and 

(2) Where the community is 

participating in the National Flood 

Insurance Program, flood insurance on 

the property is obtained in accordance 

with section 102(a) of the Flood Disaster 

Protection Act (42 U.S.C. 4012a(a)). You 

are responsible for assuring that flood 

insurance is obtained and maintained 

for the appropriate amount and term. 

F. Other Submission Requirements: 

Applicants are required to submit 

applications electronically via the Web 

site http://www.grants.gov. See the 

General Section for additional 

information on the electronic process 

and how to request a waiver from the 

requirement, if necessary. Applicants 


rwilkins on PROD1PC63 with NOTICES_2
11548 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

should submit their waiver requests in 

writing by e-mail. Waiver requests must 

be submitted no later than 15 days prior 

to the application deadline date and 

should be submitted to Jonnette 

Hawkins, Director, Program 

Management and Assurance Division, 

Office of Healthy Homes and Lead 

Hazard Control, 

Jonnette_G._Hawkins@hud.gov. If you 

are granted a waiver of the electronic 

application submission requirement, the 

application must be received by HUD no 

later than 11:59:59 p.m. on the 

application deadline date. The waiver 

approval notification will provide 

further information on where to send 

the application and the number of 

copies to be provided. 

V. Application Review Information 

A. Criteria: The following section 

applies to all applicants unless 

otherwise specified. 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Experience (20 points maximum for all 

applicants) 

All applicants. 

a. Capacity of the Applicant (10 

points). This rating factor addresses 

your capacity to successfully implement 

the proposed activities. The applicant 

must demonstrate that it has sufficient 

personnel or will actively retain 

qualified experts or professionals, and is 

prepared to perform lead-based paint 

hazard evaluation, lead-based paint 

hazard control intervention work, and 

other proposed activities within 120 

days of the effective date of the grant 

award. HUD reserves the right to 

terminate the grant if sufficient 

personnel or qualified experts are not 

retained to actively perform these 

program activities within this 120-day 

period. All applicants must respond to 

this Rating Factor, including completing 

the Factor 1 Table. The ‘‘applicant’’

includes the applicant organization as a 

whole, and the applicant staff, including 

key personnel responsible for 

implementing the program. 

Applicants are to list by name and/or 

position title all key personnel, whether 

currently vacant or contingent upon an 

award, including the percentage of time 

to be dedicated to the proposed 

program. Key personnel should include, 

at a minimum, one Project Director and 

one Program Manager. The applicant 

must describe the relevant knowledge 

and experience of the Project Director 

and Program Manager, and any 

additional key personnel, who will 

carry out program activities, including 

the time commitment of each to the 

proposed program. The day-to-day 

Program Manager must be experienced 

in the management of housing 

rehabilitation or lead hazard control, 

childhood lead poisoning prevention, or 

similar work involving project 

management, and must be dedicated to 

the proposed program for a minimum of 

75 percent of the time. The applicant 

must describe the roles and 

responsibilities of each key personnel, 

including any/all relevant current or 

previous experience in the planning and 

management of large, complex and 

interdisciplinary programs involving 

housing rehabilitation, lead hazard 

control, childhood lead poisoning 

prevention, or similar work. Resumes 

(maximum three pages each for up to 

three key personnel) or position 

descriptions for those key personnel to 

be hired, and organizational charts for 

the grant program must be submitted as 

an appendix. Similarly, applicants must 

list and describe sub-grantees, subcontractor organizations, sub-recipients 

and consultants that will provide 

services and carry out critical activities 

for the proposed grant program. Provide 

the capacity of the above entities as 

demonstrated by experience in initiating 

and implementing related 

environmental, health, or housing 

projects. List key personnel from each 

sub-grantee or sub-contractor 

organization who will provide services, 

their respective roles and 

responsibilities on the proposed 

program and the time commitment to 

the proposed program. 

b. Relevant Organization Experience 

(10 points). 

(1) New Applicants. Your 

organizational capacity should be 

demonstrated by describing prior 

experience in initiating and 

implementing lead hazard control or 

related environmental, health or 

housing programs. Include a table that 

lists the relevant and most recent 

experience in initiating and 

implementing lead hazard control 

efforts and or related environmental, 

health or housing programs and/or 

grants awarded (which may also include 

philanthropic/foundation awards for 

LEAP applicants). Provide examples of 

relevant programs that you currently 

manage or have previously managed 

within the past three years (e.g., Lead 

Hazard Control, CDBG Housing 

Rehabilitation, Childhood Lead 

Poisoning Prevention Program, Healthy 

Homes Demonstration, Weatherization, 

LEAP, etc). Include the following details 

for each project: 

• Title of the project 

• Start and end date of the project 

• Funding Agency 

• Name of the Project Director and 

Program Manager 

• Dollar amount of the project 

• Project goals and deliverables 

• Whether or not the project was 

completed on time and all goals 

achieved 

• Discussion of significant obstacles 

and how they were resolved 

• If grant’s performance was rated, 

the final rating received HUD’s 

evaluation process will consider an 

applicant’s past performance record as 

reported to HUD in effectively 

organizing and managing its grant 

operations, in meeting performance and 

work plan benchmarks and goals, and in 

managing funds, including its ability to 

account for funds appropriately, the 

timely use of funds received either from 

HUD or other federal, state or local 

programs, and meeting performance 

milestones. HUD may also use other 

information relating to these items from 

sources at hand, including public 

sources such as newspapers, Inspector 

General or Government Accountability 

Office Reports or Findings, hotline 

complaints, or other sources of 

information that possess merit. 

(2) Current or previous grantees under 

any of this NOFA’s programs: HUD will 

evaluate the applicant’s quarterly 

performance reports for the most recent 

four (4) quarters, and award a maximum 

of 10 points based on the performance 

ratings. 

2. Rating Factor 2: Need/Extent of the 

Problem (20 points maximum for LeadBased Paint Hazard Control and Lead 

Hazard Reduction Demonstration 

Programs, and 10 points maximum for 

LEAP). 

This factor refers to whether or not 

the community where eligible lead 

hazard control activities will be 

conducted has significant lead-based 

paint hazards to be addressed and an 

urgent need exists for HUD funding to 

address the problem in the identified 

target area(s). A target area is the area in 

which you will be performing lead 

hazard control activities; the area may 

be a whole jurisdiction, or, if a portion 

of a jurisdiction is being targeted, a 

specific set of Census tracts. Each 

applicant will be evaluated and scored 

in this rating factor based on 

documented need as evidenced by 

thorough, credible, and applicable data 

and information. For you to receive 

maximum points for this rating factor 

there must be a direct and substantial 

relationship between your proposed 

lead hazard control activities, the 

Consolidated Plan’s lead element, and 

the documented community needs. 

Since an objective of the program is to 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11549 

prevent at-risk children from being 

poisoned, specific attention must be 

paid to documenting the identified need 

as it applies to any selected targeted 

area(s). The applicant shall complete the 

Factor 2 Table—Need/Extent of the 

Problem. 

Multiple tables (one per target area) 

are permissible. Provide the number of 

children less than 6 years of age in the 

target area(s). You must identify the 

Census 2000 tract numbers for each 

target area that is smaller than your 

jurisdiction. The data submitted to HUD 

may be verified using data available 

from the Census http:// 

factfinder.census.gov, HUDuser http:// 

www.huduser.org/datasets/il/fmr99rev/ 

hud99revmd.txt, and other sources 

available to HUD. Points will be 

awarded in this rating factor based on 

the information documenting the 

number of children with an elevated 

blood lead level, the number of pre-1940 

housing units, the number and 

percentage of families with incomes at 

or below 80% of the Area Medium 

Income as determined by HUD within 

your jurisdiction and/or target areas, 

and other socioeconomic or 

environmental factors in the applicants 

target area(s). 

a. Points will be awarded based on the 

documented number of children with an 

EBL entered in the Rating Factor 2 table. 

Documented Number of Children with 

an Elevated Blood Lead (EBL) (5 Points 

Maximum for LBPHC and LHRD 

Programs, and 3 Points Maximum for 

LEAP). See Rating Factor 2—Table 1 

(LBPHC), Table 2 (LHRD) and Table 3 

(LEAP) for ‘‘Points Awarded for the 

Number of Children Under 6 Years of 

Age with an Elevated Blood Lead Level 

in the Applicant’s Target Area(s),’’ that 

can be downloaded for each grant 

program from http://www.grants.gov/ 

applicants/apply_for_grants.jsp. 

Provide the Census tract numbers for 

each target area that is smaller than your 

jurisdiction area(s). Provide the actual 

number of children documented as 

having an elevated blood lead (EBL) 

residing within the target area and 

within the jurisdiction where the lead 

hazard control work will be conducted 

for the most recent complete calendar 

year and identify the source of the data. 

HUD will accept data for the most 

recent 12-month period available since 

January 1, 2003. States must report the 

number in each target area and each 

city, county, or other area where funds 

will actually be used. (Data are needed 

just in the application, and are not 

required during or after grant 

completion.) Consortia of local 

governments must report the number in 

the cities or counties making up the 

consortium. For the purposes of this 

application, the ‘‘documented number 

of children’’ with an EBL is based on the 

CDC level of concern. Failure to provide 

this number in the application means 

that no points will be awarded for this 

sub-factor. 

b. Points will be awarded based on 

other socioeconomic or environmental 

factors in the applicants target area(s). 

(Maximum 5 points for Lead-Based 

Paint Hazard Control and Lead Hazard 

Reduction Demonstration Programs, 

and 3 Points Maximum for LEAP). 

Describe the need and extent of the lead 

poisoning problem in children under six 

years of age in terms of other 

socioeconomic or environmental factors 

that demonstrate the need to establish or 

continue lead hazard control work in 

the jurisdiction and target area(s). 

c. Points will be awarded based on the 

documented housing market data 

relevant to the specified target area(s) 

entered in the Rating Factor 2 table. (5 

Points maximum for LBPHC and LHRD 

Programs, and 2 Points Maximum for 

LEAP). Points will be awarded under 

the LBPHC and LEAP Programs for the 

number of pre-1978 occupied housing 

units in the applicant’s target area(s), 

see Rating Factor 2—Table 4 (LBPHC) 

and Table 5 (LEAP) for ‘‘Points 

Awarded for Number of Pre-1978 

Occupied Housing Units in Target 

Area(s),’’ that can be downloaded as 

part of the program instructions from 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. Points will be 

awarded under the LHRD program for 

the number of pre-1940 occupied rental 

housing units in the applicant’s target 

area(s), see Table 6 (LHRD) for ‘‘Points 

Awarded for Number of Pre-1940 

Occupied Rental Housing Units in 

Target Area,’’ that can be downloaded as 

part of the program instructions from 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. 

d. Points will be awarded based on 

the documented percentage of very-low 

income (less than 50 percent of the area 

median) and low-income (less than 80 

percent of the area median income) 

families, as determined by HUD and 

entered in the Rating Factor 2 table (5 

Points Maximum for LBPHC and LHRD 

Grant Programs and 2 Points Maximum 

for LEAP). http:/// See Rating Factor 2—

Table 7 (LBPHC), Table 8 (LHRD) and 

Table 9 (LEAP) for ‘‘Points Awarded for 

Number of Very Low and Low-Income 

Percentages of Families in Target 

Area(s),’’ that can be downloaded from 

www.grants.gov, for each grant program. 

3. Rating Factor 3: Soundness of 

Approach (40 points maximum for all 

applicants) 

Applicants shall complete the Rating 

Factor 3 Table Soundness of Approach. 

(All Applicants: Based on analysis of 

internal historical data, lead hazard 

control costs average approximately 

$8,000 per unit. It is, therefore, 

anticipated that average per unit cost for 

all programs under this NOFA will be 

no more than this value. If your per-unit 

cost estimate exceeds the above dollar 

figure, you should justify the cost 

overrun). 

The work plan should include 

specific, measurable, and time-phased 

objectives for each major program 

activity and should reflect benchmark 

performance standards for unit 

evaluation, unit production, match/ 

leverage funds, community outreach 

and education, skills training, and other 

activities. Examples of benchmarks 

include number of units to be made 

lead-safe, number of children living in 

units to be made lead-safe, number of 

persons to be trained to perform lead 

hazard control activities, number of 

educational programs to be presented 

and/or the number of persons to be 

served by such programs. The 

benchmark form (Form HUD—96008) 

and policy guidance on developing 

work plans are available at the HUD 

Web site: http://www.hud.gov/offices/ 

lead/lhc/pgi/index.cfm. 

a. Lead Hazard Control Work Plan 

Strategy (10 Points all Applicants): 

Describe the overall work plan goals and 

time-phased strategy to complete work 

within the 36-month period of 

performance (Form HUD—96008). 

Describe the methods, including 

schedule and milestones, that will be 

used to identify and control lead-based 

paint hazards and how the desired 

project benchmarks will be achieved. 

Include information about the estimated 

numbers of families to be contacted, 

units enrolled, units to receive risk 

assessments and inspections, units to 

receive lead hazard control work, 

individuals/groups to be reached 

through education and/or outreach 

activities and trained. 

Additionally, provide responses to the 

following: 

(1) Program Administration and 

Financial Management. Describe the 

approach and method to successfully 

administer the proposed program. 

(a) Include details about staff and 

project oversight/monitoring, contract 

administration (routine monitoring of 

all sub-grantees and contractors to 

ensure conformity to the terms, 

conditions and specifications of 


rwilkins on PROD1PC63 with NOTICES_2
11550 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

contracts or other formal agreements), 

and how funding will flow from the 

grantee to those who will perform work 

under the proposed program. 

(b) Discuss the lead hazard control 

financing strategy, including 

verification of financing eligibility 

requirements, terms, conditions, dollar 

limits, amounts available for lead 

hazard control work in the various 

categories of housing (e.g., single-family, 

multi-family, vacant, owner or tenantoccupied), and who is responsible for 

establishing, administering and 

overseeing this aspect of the program. 

Describe how recapture of grants or loan 

funds to owners of assisted units will 

occur when recipients fail to comply 

with any terms and conditions of the 

financing arrangement (e.g., failure to 

comply with affordability, affirmatively 

marketing and providing priority to 

renting units to families with children 

under six years of age, sale of property, 

etc.). Explain the type of assistance (e.g. 

grants, deferred/forgivable loans and the 

basis and schedule for forgiveness), and 

the role of other resources such as 

private sector financing and matching, if 

any, from rental property owners. 

(c) Describe your involvement in 

coordination among critical agencies, 

including participation in the CDC statewide or jurisdiction-wide strategic plan 

to eliminate childhood lead poisoning 

by 2010. 

(2) Program Start-Up. Describe 

program start-up activities during the 

first 120 days of the grant (hiring/ 

training staff, establishing qualified 

contractor pool, outreach/education and 

unit enrollment activities). 

Provide information about internal 

and external capacity-building steps 

necessary to ensure a smooth and timely 

start-up phase. Provide detailed 

information about other organizations 

that provide the knowledge and skills 

required to address lead hazard control, 

including establishment of a qualified 

contractor pool, and other lead 

poisoning prevention actions that are 

essential for successfully implementing 

your program (e.g., education, testing, 

housing interventions). 

(a) Describe the proposed 

involvement of grassroots communitybased nonprofit organizations, including 

faith-based organizations, in the 

program activities. These activities may 

include outreach, community 

education, marketing, inspection, and 

housing evaluations and interventions. 

(b) Explain how you will implement 

the environmental review and Request 

for Release of Funds process, and who 

is responsible to obtain the required 

HUD approval for intended lead hazard 

control work on eligible, enrolled units. 

Include a description of the steps to be 

taken, and who will be responsible, to 

comply with applicable environmental 

reviews for individual projects. 

(3) Outreach, Recruitment and Unit 

Enrollment. Describe the methods and 

strategies, including the individuals 

and/or sub-grantees, sub-recipients or 

contractors responsible for marketing 

and outreach to intended target area(s) 

and/or residents, including recruitment 

and enrollment activities to supply the 

program with sufficient numbers of 

eligible units within an established 

timeframe. 

(a) Describe how you will identify, 

select, prioritize and enroll eligible 

housing units in which you will 

undertake lead hazard control 

interventions, especially those known to 

house EBL children. Include the number 

of eligible privately-owned housing 

units, including the number of owneroccupied, rental, vacant, single and/or 

multi-family units to be enrolled. 

(b) Describe your planned approach to 

control lead hazards in vacant and/or 

occupied units before children are 

poisoned. 

(c) Describe measures you will take to 

sustain recruitment. Identify the staff 

responsible for both monitoring 

recruitment status and implementing 

the measures identified to sustain 

recruitment. 

(d) Explain how you will obtain data 

from state/local health departments, 

Childhood Lead Poisoning Prevention 

Programs (CLPPP) and other health care 

and housing agencies on the addresses 

of housing units in which children have 

been identified as lead poisoned, for 

purposes of recruiting and enrolling 

housing units. 

(e) Discuss how referrals from the 

Section 8, Housing Choice Voucher 

program and other agencies that provide 

housing assistance to low-income 

households with children, including 

CDBG, HOME Investment Partnerships 

Program-funded housing programs, 

weatherization or other sources, will be 

received and processed. 

(f) Describe how you will obtain 

information in order to document the 

occupants of units assisted and meet the 

Title X income and family composition 

requirements by identifying key staff 

who will certify as to the eligibility of 

each unit assisted, based on the 

determination of income, and when 

required, the presence of a child or 

children under six years of age. 

b. Technical Approach/Lead Hazard 

Control Intervention (10 Points for all 

Applicants). Describe the technical 

approach and associated costs for 

testing enrolled units, blood-lead testing 

of children in enrolled units, lead 

hazard control methods and strategies, 

occupant protection and temporary 

relocation. 

Describe the lead hazard control 

methods, and strategies, including the 

most cost-effective hazard control 

methods you will undertake and the 

number of single and multi-family units 

that you will treat based on the method 

selected (e.g., interim controls and/or 

hazard abatement). Explain your 

strategy to ensure that the units are 

maintained lead safe after treatment. 

If you maintain that approaches other 

than interim controls are necessary, a 

justification is necessary. For example, 

abatement might be justified in an area 

where significant amounts of lowincome housing stock are highly 

distressed or where lead hazard control 

work is being combined with 

rehabilitation over $25,000 per housing 

unit. Where highly distressed housing 

stock exists, applicants should explain 

why options for households to move to 

lead-safe housing are not viable. 

Complete abatement of lead-based 

painted surfaces in units is generally not 

a cost effective strategy. In cases where 

only a few surfaces have identified leadbased paint hazards and if abatement is 

cost-effective, the applicant must 

provide a detailed rationale for selecting 

complete abatement as a strategy. 

(a) Management. Indicate the 

individual or entity responsible for, and 

describe the process for developing the 

work specifications and the lead hazard 

control contractor bid and selection 

process (i.e., the contracting) on 

properties selected for lead hazard 

control work. Explain the management 

process to ensure the cost-effectiveness 

of intended lead hazard control 

methods. 

(b) Coordination. 

(1) Explain the coordination of 

relevant activities among lead hazard 

control, rehabilitation, weatherization, 

and other contractors performing work 

other than lead hazard control. 

(2) Describe your testing methods, 

schedule, and costs for lead-based paint 

inspections and risk assessments and 

clearance examinations. If you propose 

to use a more restrictive standard than 

the HUD/EPA thresholds, provide the 

standard(s) that will be used. All testing 

shall be performed in accordance with 

applicable regulations. 

(3) Describe how you will ensure that 

contractors, property owners and 

maintenance personnel performing 

interim controls and lead hazard 

abatement work are properly trained 

and/or certified, and how work will be 

monitored and supervised to ensure that 

contractors perform work of reasonable 

quality in compliance with work 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11551 

specifications and applicable federal/ 

state/local regulations. 

(4) Provide a realistic schedule for 

completing key program activities and 

outputs, by quarter, so that all activities 

and outputs can be completed before or 

within the grant period of performance. 

Key production activities include unit 

enrollment, lead-based paint inspection 

and risk assessments, hazard control 

and clearance of units. Describe the 

estimated timeframe for treating a 

typical unit from referral and intake to 

hazard control and clearance. Explain 

how the program will accommodate 

emergency referrals (e.g., units occupied 

by a child under six years of age with 

an EBL). 

(5) Provide guidelines and/or 

flowcharts that demonstrate the agency 

and team member responsibilities for 

each step in the unit production process 

(from intake and enrollment to 

completion and clearance of units). 

Describe how coordination and handoffs from individuals or agencies to and 

from each step in the unit production 

process will be carried out. Discuss how 

the actual production status of units, 

from intake and enrollment to 

completion and clearance, will be 

monitored, and how and when 

impediments to production will be 

identified and remedied. 

(6) Relocation: 

(a) Describe your plan for the 

relocation of occupants of units selected 

for remediation, if temporary relocation 

is necessary (see Section VI B.4, below). 

If temporary relocation is necessary, 

address the use of safe houses and other 

housing arrangements, storage of 

household goods, stipends, incentives, 

etc., and the source of funding for 

relocation. 

(b) If relocation is necessary for 

occupants of rental units, describe your 

plan for ensuring right of return and/or 

first referral for occupants of units 

selected for remediation who have had 

to move for the remediations to be 

performed. Describe your plan and the 

individual(s) responsible for occupant 

protection and the temporary relocation 

of occupants of units selected to receive 

lead hazard control work. Describe 

strategies to avoid overnight relocation 

in small-scale projects consistent with 

applicable subsections of HUD’s Lead 

Safe Housing Regulations. 

(7) Describe the methods, measures 

and cost for performing blood lead 

testing in children less than six years of 

age. 

(a) Describe strategies to increase 

blood lead testing of children within the 

target area(s). 

(b) Explain who will be responsible 

for ensuring and how you will ensure 

that all children less than six years of 

age who occupy units to be assisted 

with lead hazard control work receive 

blood lead testing within six months of 

commencement of work on the unit. 

(c) Identify the individual responsible 

to ensure that children identified with 

an elevated blood-lead level are referred 

to appropriate medical care and how 

patient confidentiality, privacy and the 

security of medical information is 

protected as required by the Health 

Insurance Portability and 

Accountability Act (HIPAA) of 1996. 

c. Economic Opportunity (7 points for 

all applicants). 

(1) Section 3 Requirement (2 of 7 

points). Explain how you will provide 

appropriate economic opportunities to 

Section 3 residents and Section 3 

businesses of the target area, in 

compliance with Section 3 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701u) and HUD’s 

implementing rules at 24 CFR Part 135. 

Describe how you will accomplish 

Section 3 requirements by identifying 

the number of individuals to receive 

such training per discipline, the 

schedule for delivering said training for 

low and very low-income persons living 

within the applicant’s jurisdiction, and 

how trained individuals will be linked 

to employment opportunities with 

Section 3 businesses owned by and/or 

employ low and very low-income 

persons living within the grantee’s 

jurisdiction. 

(2) Lead Hazard Control Outreach (5 

of 7 points). 

(a) Describe your involvement in 

collaborative agreements or 

arrangements with childhood lead 

poisoning prevention programs, 

housing, community development, and 

code enforcement agencies (or 

equivalent) for the target area(s), as 

applicable. If these collaborative 

agreements or arrangements are not yet 

made, address plans to develop these 

agreements. 

(b) Discuss the opportunity-to-learn 

approaches to educate children, parents, 

workers, business people, and other 

community members about lead 

poisoning prevention and lead hazard 

control. Include how the proposed 

educational program will continue to 

meet the needs of those children already 

living in units to receive lead hazard 

control work. 

(c) Community and Private Sector 

Involvement: 

(i) Describe the role of grassroots, 

community-based nonprofit 

organizations, including faith-based 

organizations, in specific program 

activities (e.g., hazard evaluation and 

control, monitoring, awareness, 

education and outreach within the 

community). 

(ii) Explain how the intended 

education program(s) will be culturally 

sensitive, targeted, and linguistically 

appropriate. Identify the means 

available to supply the educational 

materials in other languages (identify all 

that apply) common to the community. 

(iii) Include the estimated number of 

individuals to receive the intended 

education and the estimated number of 

events to be delivered. 

(d) Affirmatively Furthering Fair 

Housing: 

(i) Describe strategies and 

methodologies that affirmatively further 

fair housing and increase access to leadsafe housing for all segments of the 

population: homeowners, owners of 

rental properties, and tenants. 

(ii) Identify who will ensure and how 

the applicant will ensure that the 

program will continue to affirmatively 

market and match treated units with 

low-income families with children less 

than six years of age in the future. 

(iii) Explain how this outreach 

strategy will avoid housing 

discrimination against families with 

young children, and how families will 

have adequate, lead-safe housing 

choices in the future. The strategy could 

also include affirmatively marketing 

your services to those populations least 

likely to apply and who may not be 

served by any of the organizations 

working with you or the grantee team. 

d. HUD’s Departmental Policy 

Priorities and Consolidated Plan (6 

points for all applicants; each policy 

priority is 1 point, except the policy 

priority addressing Removal of 

Regulatory Barriers (#4, which is 2 

points). Please note that HUD Form 

27300 requires the submission of 

documentation and contact information 

to receive policy priority points. 

Indicate if, and describe how, you will 

address any of HUD’s departmental 

policy priorities (see General Section for 

more detailed explanation of HUD’s 

policy priorities). Applicants shall also 

provide evidence of the priority that the 

community’s Consolidated Plan and 

Analysis of Impediments to Fair 

Housing Choice has placed on 

addressing the needs described. 

The policy priorities that are 

applicable to this NOFA, and which the 

applicant should address, are: (1) 

Improving our Nation’s Communities 

(focus on distressed communities); (2) 

Providing Full and Equal Access to 

Grassroots Community-based Non-profit 

Organizations, including Faith-based 

Organizations in HUD Program 

Implementation; (3) Participation of 

Minority-Serving Institutions in HUD 


rwilkins on PROD1PC63 with NOTICES_2
11552 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Programs; (4) Removal of Regulatory 

Barriers to Affordable Housing; and (5) 

Promoting Energy Efficiency and Energy 

Star. HUD expects the applicants to 

implement Energy Star building 

techniques and utilize Energy Star 

appliances whenever activities of the 

grant afford the opportunity. (For 

information on Energy Star Programs 

and Appliances, see http:// 

www.epa.gov/epahome/athome.htm and 

HUD’s scheduled webcast.) 

Describe how the proposed program 

would contribute to satisfying the stated 

needs in the Consolidated Plan or 

Indian Housing Plan, and eliminate 

impediments identified in the Analysis 

of Impediments (AI). 

e. Data Collection and other Program 

Support Activities (2 Points for all 

Applicants). 

(1) Identify and discuss the specific 

methods you will use (in addition to 

HUD reporting requirements) to 

document activities, progress, and 

program effectiveness. Explain how you 

will make necessary changes to improve 

program performance. 

(2) Describe how databases, including 

web sites, computer, paper or other 

formats, will incorporate the provisions 

of the Privacy Act of 1974, such that the 

addresses of enrolled, treated and/or 

cleared housing units shall not include 

personal information that could identify 

any child affected. 

f. Budget Proposal (5 points). 

(a) Your budget proposal should 

thoroughly estimate all applicable costs 

(administrative, direct, indirect, and 

other direct costs), and be presented in 

a clear and coherent format in 

accordance with the requirements listed 

in the General Section. HUD is not 

required to approve or fund all 

proposed activities. You must 

thoroughly document and justify all 

budget categories and costs (Form HUD–

424–CBW) and all major tasks, for 

yourself, sub-recipients, major 

subcontractors, joint venture 

participants, or others contributing 

resources to the project. A separate 

budget must be provided for partners 

who are proposed to receive more than 

10 percent of the federal budget request. 

Your application will be evaluated on 

the extent to which your resources are 

appropriate for the scope of your 

proposed project. 

(b) Your narrative justification 

associated with these budgeted costs 

should be submitted as part of the Total 

Budget (Federal Share, Matching and 

Leveraging), but is not included in the 

20-page limit for this submission. 

Separate narrative justifications should 

be submitted for partners that are 

submitting separate budgets. Your 

proposed budget should clearly identify 

the funding or cash equivalent amounts 

being provided as matching funds and 

as leveraged funds. These funds should 

reflect the numbers and contributions 

provided in response to Rating Factor 4, 

Leverage. 

(c) The application will not be rated 

on the proposed cost; however, cost will 

be considered in addition to the rated 

factors to determine whether the 

proposal is most advantageous to the 

Federal Government. Cost will be the 

deciding factor when proposals ranked 

under the listed factors are considered 

acceptable and are substantially equal. 

4. Rating Factor 4: Leveraging 

Resources (10 points maximum for 

Lead-Based Paint Hazard Control and 

Lead Hazard Reduction Demonstration 

Program, and 20 points maximum for 

LEAP). This rating factor applies to all 

programs unless otherwise specified. 

LBPHC and LHRD applicants will be 

given higher points for leveraged 

contributions that the applicant 

commits over and above the 10 percent 

or 25 percent statutory match 

requirement. For LEAP applicants, 

leveraged contributions at or above 100 

percent of the federal requested amount 

are eligible to receive higher points. See 

Section III.B, Cost Sharing and Match, 

regarding letters of commitment from 

organizations other than the applicant 

required for the leveraging to be eligible 

for points. Based on the documented 

match/leverage funding, points will be 

awarded in accordance with the charts 

below. 

Lead-based paint hazard control and lead 

hazard reduction demonstration 

Documented leveraged contributions of the requested 

HUD amount: 

at least (percent) 

Points 

awarded 

10 ............................................ 0 

15 ............................................ 1 

20 ............................................ 2 

30 ............................................ 3 

40 ............................................ 4 

50 ............................................ 5 

60 ............................................ 6 

70 ............................................ 7 

80 ............................................ 8 

90 ............................................ 9 

100 .......................................... 10 

LEAP 

0 .............................................. 0 

100 .......................................... 1 .00 

110 .......................................... 2 .25 

120 .......................................... 3 .50 

130 .......................................... 4 .75 

140 .......................................... 6 .00 

150 .......................................... 7 .25 

160 .......................................... 8 .50 

170 .......................................... 9 .75 

180 .......................................... 11 .00 

Lead-based paint hazard control and lead 

hazard reduction demonstration 

Documented leveraged contributions of the requested 

HUD amount: 

at least (percent) 

Points 

awarded 

190 .......................................... 12 .25 

200 .......................................... 13 .50 

210 .......................................... 14 .75 

220 .......................................... 16 .00 

230 .......................................... 17 .25 

240 .......................................... 18 .50 

250 .......................................... 20 .00 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (10 Points 

maximum for all applicants). This rating 

factor reflects HUD’s goal to embrace 

high standards of ethics, management, 

and accountability. 

a. Description of program activities, 

outputs and short-term, intermediateterm and long-term outcomes (5 points). 

(1) State clearly the project goals 

(‘‘benchmarks’’) and activities to 

achieve these goals. 

(2) Describe how you will measure the 

results. 

(3) Explain how you will document 

and track your goals, program activities, 

and schedules. 

(4) Identify the procedures you will 

follow to make adjustments to your 

work plan to improve performance if 

benchmarks are not met within 

established timeframes. 

b. Logic Model (5 points). 

(1) Submit Form HUD–96010. 

HUD is using an electronic Logic 

Model with dropdown menus from 

which you can select needs, activities, 

and outcomes appropriate to your 

program. See the General Section for 

detailed information on the use of the 

Logic Model. HUD is requiring grantees 

to use program-specific questions to 

self-evaluate the management and 

performance of their program. Training 

on HUD’s logic model and the reporting 

requirements for addressing the 

Management questions will be provided 

via satellite broadcast. 

In evaluating Rating Factor 5, HUD 

will consider how you have described 

the benefits and outcome measures of 

your program. HUD will also consider 

the evaluation plan, to ensure the 

project is on schedule and within 

budget. 

(2) Performance indicators should be 

objectively quantifiable and should 

measure actual achievements against 

anticipated achievements. Step 1. The 

planning component of the logic model 

should identify the problem or need and 

develop a plan. Step 2. The intervention 

component of the logic model should 

identify the kinds of services, activities, 

and outputs projected. Step 3. The 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11553 

impact component of the logic model 

should identify the projected outcomes. 

Step 4. The accountability (phase one) 

component of the logic model should 

include data sources, measurement, and 

reporting tools. Step 5. The 

accountability (phase two) component 

of the logic model should include the 

evaluation methodology or the 

evaluation process. As a planning tool, 

the logic model can provide the 

statement of need and also provide the 

rationale for the proposed service or 

activity. For goals or benchmarks, the 

logic model can provide a set of 

quantifiable goals including timeframes. 

These goals allow you, the applicant, 

and HUD to monitor and assess your 

progress in achieving your program 

work plan. The process for the 

achievement of outcome goals should 

include identifying the expected 

outcome and the estimated number 

needed to achieve the goal or the 

expected outcome in terms of the 

community impact or changes in 

economic and social status. Some 

examples of measurement-reporting 

tools are survey instruments; attendance 

logs; case report; pre-post tests; or 

waiting lists. Describe where/how data 

are maintained, for example, central 

databases; individual case records; 

specialized access databases, tax 

assessor databases; and local precinct. 

Also, identify the location where the 

database is maintained, updated, etc., 

for example, on-site, subcontractor, or 

specify (e.g., identify what the other is). 

6. Bonus Points (2 Points for All 

Programs) 

Applicants are eligible for two bonus 

points for projects that the applicant 

proposes to conduct in federally 

designated Empowerment Zones (EZs), 

Renewal Communities (RCs), or 

Enterprise Communities designated by 

United States Department of Agriculture 

(USDA) in round II (EC–IIs) and that are 

certified to be consistent with the area’s 

strategic plan or RC Tax Incentive 

Utilization Plan (TIUP). Applicants 

must submit a completed Certification 

of Consistency with the RC/EZ/EC–II 

Strategic Plan—Form HUD–2990 signed 

by the appropriate official of the RC/EZ/ 

EC II and also meet the requirements 

listed in the General Section for a 

possible award of two bonus points. 

Discuss whether any of the proposed 

activities will occur in any of these 

areas and how they will benefit the 

residents of those zones or 

communities. 

B. Reviews and Selection Process 

1. Rating and Ranking. Please refer to 

the General Section. 

a. Applicants that meet all of the 

threshold requirements will be eligible 

to be scored and ranked, based on the 

total number of points allocated for each 

of the rating factors described in Section 

V.A of this NOFA. 

b. Remaining Funds. Refer to the 

General Section for HUD’s procedures if 

funds remain after all selections have 

been made within a category. 

c. The scoring criteria to be used to 

award the maximum points for this 

NOFA are based on how fully and 

thoroughly the applicant answers each 

item listed in each rating factor. 

2. Factors for Award Used to Rate and 

Rank Applications. 

a. Implementing HUD’s Strategic 

Framework and Demonstrating Results. 

HUD is committed to ensuring that 

programs result in the achievement of 

HUD’s strategic mission. To support this 

effort, grant applications submitted for 

HUD programs will be rated on how 

well they tie proposed outcomes to 

HUD’s policy priorities and Annual 

Goals and Objectives, and the quality of 

proposed Evaluation and Monitoring 

Plans. 

b. The maximum number of points to 

be awarded is 100 plus two bonus 

points as described in the General 

Section and above. 

c. The factors for rating and ranking 

eligible applicants under all categories, 

and the maximum points for each factor 

are stated below: 

Rating factors 

Maximum points 

LBPHC 

& 

LHRD 

LEAP 

1. Capacity of the Applicant and Relevant Organizational Experience .......................................................................................... 20 20 

2. Need/Extent of the Problem ........................................................................................................................................................ 20 10 

3. Soundness of Approach .............................................................................................................................................................. 40 40 

4. Matching and Leveraging Resources .......................................................................................................................................... 10 20 

5. Achieving Results and Program Evaluation ................................................................................................................................ 10 10 

Empowerment Zone, Renewal Zones and Enterprise Community (II) Bonus Points ..................................................................... 2 2 

Total .......................................................................................................................................................................................... 102 102 

VI. Award Administration Information 

A. Award Notices 

1. Applicants Selected for Award. 

a. Successful applicants will receive a 

letter from the Office of Healthy Homes 

and Lead Hazard Control Grant Officer 

providing details regarding the effective 

start date of the grant agreement and any 

additional data and information to be 

submitted to execute the grant. This 

letter is not an authorization to begin 

work or incur costs under the grant. 

b. HUD may require that a selected 

applicant participate in negotiations to 

determine the specific terms of the grant 

agreement, budget, and Logic Model. 

Should HUD not be able to successfully 

conclude negotiations with a selected 

applicant, an award will not be made. 

Applicants should note that, if they are 

selected for multiple awards, they must 

ensure that they have sufficient 

resources to provide the promised 

match and/or leveraging for the multiple 

awards. During negotiations, such 

applicants would be required to provide 

alternative match and/or leveraged 

resources, if necessary, before the grant 

can be awarded in order to avoid 

committing duplicate match and/or 

leveraged resources to more than one 

OHHLHC grant. If the applicant accepts 

the terms and conditions of the grant 

agreement, a signed grant agreement 

must be returned by the date specified. 

Instructions on how to have the grant 

agreement account entered into HUD’s 

Line of Credit Control System (LOCCS) 

payment system will be provided. Other 

forms and program requirements will be 

provided. In accordance with OMB 

Circular A–133 (Audits of States, Local 

Governments and Nonprofit 

Organizations), if an awardee expends 

$500,000 in federal funds in a single 

year, they follow the requirements of the 

Single Audit Act and must submit their 

completed audit-reporting package 

along with the Data Collection Form 

(SF–SAC) to the Single Audit 

Clearinghouse. The address can be 


rwilkins on PROD1PC63 with NOTICES_2
11554 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

obtained from their Web site. The SF–

SAC can be downloaded at: http:// 

harvester.census.gov/sac/. 

2. Debriefing. The General Section 

provides the procedures for applicants 

to request a debriefing. 

3. Negotiation. Refer to the General 

Section for additional details. 

4. Adjustments to Funding. Refer to 

the General Section for additional 

details. 

B. Administrative and National Policy 

Requirements: Refer to the General 

Section for additional details regarding 

the Administrative and National Policy 

Requirements applicable to HUD 

Programs. 

1. National Historic Preservation Act. 

The National Historic Preservation Act 

of 1966 (16 U.S.C. 470) and the 

regulations at 36 CFR part 800 apply to 

the lead-hazard control or rehabilitation 

activities that are undertaken pursuant 

to this NOFA. 

2. Waste Disposal. You must handle 

waste disposal according to the 

requirements of the appropriate local, 

state, and federal regulatory agencies. 

You must handle disposal of wastes 

from hazard control activities that 

contain lead-based paint, but are not 

classified as hazardous in accordance 

with state or local law or the HUD 

Guidelines for the Evaluation and 

Control of Lead-Based Hazards in 

Housing (HUD Guidelines). The 

Guidelines are available from the HUD 

Web site at: http://www.hud.gov/offices/ 

lead/guidelines/hudguidelines/ 

index.cfm. 

3. Worker Protection Procedures. You 

must observe the procedures for worker 

protection established in the HUD 

Guidelines, as well as the requirements 

of the Occupational Health and Safety 

Administration (OSHA) (29 CFR 

1926.62, Lead Exposure in 

Construction), or the state or local 

occupational safety and health 

regulations, whichever are most 

protective. If other applicable 

requirements contain more stringent 

requirements than the HUD Guidelines, 

the more rigorous standards shall be 

followed. 

4. Relocation. The relocation 

requirements of the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act of 1970 (URA), 

as amended, and the implementing 

government-wide regulation at 49 CFR 

part 24, that cover any person 

(including individuals, businesses, and 

farms) displaced as a direct result of the 

acquisition, rehabilitation, or 

demolition of real property, apply to 

this grant program. If such persons are 

required to temporarily relocate for a 

project, the requirements of the URA 

regulations at 49 CFR 24.2(a)(9) must be 

met. HUD recommends you review 

these regulations when preparing your 

proposal. (They can be downloaded 

from the Government Printing Office 

Web site at http://www.gpoaccess.gov/ 

cfr/index.html by entering the 

regulatory citation in quotes without 

any spaces (e.g., ‘‘49CFR24.2’’) in the 

Quick Search box.). See Section III.C.4.e 

of the General Section for additional 

information about relocation. 

5. Davis-Bacon wage rates. The DavisBacon wage rates are not applicable to 

these programs. However, if you use 

grant funds in conjunction with other 

federal programs, Davis-Bacon 

requirements will apply to the extent 

required under the other federal 

programs. 

6. Procurement of Recovered 

Materials. See the General Section for 

information concerning this 

requirement. 

7. Executive Order 13202. 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and FederallyFunded Construction Projects.’’ See 

General Section for information 

concerning this requirement. 

C. Reporting: Reports shall comply 

with section VI.C. of the General 

Section. In addition, successful 

applicants will be required to submit 

quarterly, annual and final program and 

financial reports according the 

requirements of the Office of Healthy 

Homes and Lead Hazard Control. 

Specific guidance and additional details 

will be provided to successful 

applicants. The following items are a 

part of OHHLHC reporting 

requirements. 

1. Final Work Plan and Budget are 

due within sixty days of signing the 

grant agreement. 

2. Progress reports are due on a 

quarterly basis. In quarterly reports, 

grantees provide information about 

accomplishments in the areas of 

program management; assessment and 

intervention activities; community 

education, outreach, training and 

capacity building; data collection and 

analysis; as well as a listing of 

completed units and financial report. 

Project benchmarks and milestones will 

be tracked using a benchmark 

spreadsheet that uses the benchmarks 

and milestones identified in the Logic 

Model form (HUD–96010) approved and 

incorporated into your award 

agreement. For specific reporting 

requirements, see policy guidance at 

http://www.hud.gov/offices/lead. For FY 

2007, HUD is considering a new concept 

for the Logic Model. The new concept 

is a Return on Investment (ROI) 

statement. HUD will be publishing a 

separate notice on the ROI concept. 

3. Annual report shall be submitted at 

the end of each fiscal year. A final 

report is due at the end of the project 

period, which includes final project 

benchmarks and milestones achieved 

against the proposed benchmarks and 

milestones in the Logic Model (HUD–

96010) approved and incorporated into 

your award agreement. Specific 

information on all reporting 

requirements will be provided to 

successful applicants. 

4. Racial and Ethnic Beneficiary Data. 

HUD does not require LBPHC, LHRD 

and LEAP awardees to report ethnic and 

racial beneficiary data as part of their 

initial application package. However, 

such data must be reported on an 

annual basis, at a minimum, during the 

implementation of your grant 

agreement. You must report the data as 

described in the General Section and 

use the Office of Management and 

Budget’s Standards for the Collection of 

Racial and Ethnic Data, using Form 

HUD–27061, Race and Ethnic Data 

Reporting Form, if applicable (HUD 

Race Ethnic Form on Grants.gov), found 

on HUD’s Web site at http:// 

www.hudclips.org/cgi/index.cgi. 

Grantees can also use an online system 

to meet this requirement, provided the 

data elements and reports derived from 

the system are equivalent to the data 

collection in the form HUD–27061. 

5. All grant recipients must comply 

with reporting requirements of subpart 

E (Section 3 of the Housing and Urban 

Development Act of 1968, 12 U.S.C. 

1701u (Economic Opportunities for 

Low- and Very Low-Income Persons in 

Connection with Assisted Projects) and 

the HUD regulations at 24 CFR part 

135). 

VII. Agency Contact(s) 

For questions related to the 

application process, you may contact 

the Grants.gov help line at 800–518- 

GRANTS. For programmatic questions, 

you may contact: Ms. Jonnette G. 

Hawkins, Director, Program 

Management and Assurance Division, 

Office of Healthy Homes and Lead 

Hazard Control: Department of Housing 

and Urban Development; 451 Seventh 

Street, SW., Room 8236, Washington, 

DC 20410–3000; telephone (202) 755–

1785, extension 7593 (this is not a tollfree number); facsimile (202) 755–1000; 

e-mail: Jonnette_G._Hawkins@hud.gov. 

For administrative questions, you may 

contact Curtissa L. Coleman, Grants 

Officer, at the address above or by 

telephone at: (202) 755–1785, extension 

7580 (this is not a toll-free number); eVerDate Aug<31>2005 16:13 Mar 12, 2007 Jkt 211001 PO 00000 Frm 00122 Fmt 4701 Sfmt 4703 E:\FR\FM\13MRN2.SGM 13MRN2

rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11555 

mail at: Curtissa_L._Coleman@hud.gov. 

If you are a hearing- or speech-impaired 

person, you may reach the above 

telephone numbers via TTY by calling 

the toll-free Federal Information Relay 

Service at 1–800–877–8339. 

VIII. Other Information 

A. General. For additional general, 

technical, and grant program 

information pertaining to the Office of 

Healthy Homes and Lead Hazard 

Control, visit: http://www.hud.gov/ 

offices/lead. 

B. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2539–0015. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 80 hours to prepare the 

application, 16 hours to finalize the 

grant agreement, and 32 hours per 

annum for grant administration 

(progress reporting) per respondent. 

This includes the time for collecting, 

reviewing, and reporting the data for the 

application, quarterly reports, and final 

report. The information will be used for 

awardee selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

C. Appendices. Appendices A, B, C, D 

and E of this NOFA are available for 

downloading with the application at 

http://www.grants.gov/applicants/apply 

for grants.jsp. Appendix E lists HUD’s 

comments on selected issues related to 

the Lead Hazard Reduction 

Demonstration Grant Program. 


rwilkins on PROD1PC63 with NOTICES_2
11556 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.013</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11557 

Lead Technical Studies and Healthy 

Homes Technical Studies Programs 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Healthy Homes and Lead 

Hazard Control. 

B. Funding Opportunity Title: Lead 

Technical Studies and Healthy Homes 

Technical Studies. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–25, OMB Paperwork Approval 

number is 2539–0015. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Numbers: 14.902, 

Lead Technical Studies Grant Program, 

and 14.906, Healthy Homes Technical 

Studies Grant Program. 

F. Dates: The application deadline 

date is May 18, 2007. Applications must 

be received and validated by Grants.gov 

no later than 11:59:59 pm eastern time 

on the application deadline date. See 

Section IV of the General Section, 

regarding application submission 

procedures and timely filing 

requirements. 

G. Additional Information: 

1. Purpose: To fund technical studies 

to improve existing methods for 

detecting and controlling lead-based 

paint and other housing-related health 

and safety hazards, to develop new 

methods to detect and control these 

hazards, and to improve our knowledge 

of lead-based paint and other housingrelated health and safety hazards. 

2. Available funding: HUD anticipates 

that approximately $5.6 million will be 

available. Of this, approximately $3.6 

million is for Lead Technical Studies 

and approximately $2.0 million is for 

Healthy Homes Technical Studies. 

3. Anticipated awards: Approximately 

4 to approximately 10 awards will be 

made for the Lead Technical Studies 

Program, ranging from approximately 

$200,000 to a maximum of $1 million 

each for the entire period of 

performance. The anticipated amounts 

and number of individual awards for the 

Healthy Homes Technical Studies 

Program will be approximately 2 to 

approximately 6 awards, ranging from 

approximately $200,000 to a maximum 

of $1million each for the entire period 

of performance. 

4. Type of awards: Cooperative 

agreements, with substantial 

involvement of the government, will be 

awarded (see Paragraph II.C for a 

description of substantial involvement). 

5. Eligible applicants: Academic, notfor-profit and for-profit institutions 

located in the U.S., state and units of 

general local government, and federally 

recognized Native American tribes are 

eligible to apply. For-profit firms are not 

allowed to earn a fee (i.e., make a profit 

from the project). 

6. Cost sharing or ‘‘matching’’ is not 

required; however, applicant 

‘‘leveraging’’ contributions are 

encouraged (see Section V.A.3.d). 

7. There is no limit on the number of 

applications that each applicant may 

submit. 

8. The applications for this NOFA can 

be found at www.grants.gov.: The 

General Section contains information on 

submission requirements and 

procedures. Please carefully review the 

General Section before reading the 

program section so that you understand 

the Grants.gov electronic application 

process. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Purpose of the Programs 

The overall goal of both the Lead and 

the Healthy Homes Technical Studies 

programs is to gain knowledge to 

improve the efficacy and costeffectiveness of methods for evaluation 

and control of lead-based paint and 

other housing related health and safety 

hazards. This also supports HUD’s 

Strategic Goal to Strengthen 

Communities and the associated policy 

priority to Improve Our Nation’s 

Communities by improving the 

environmental health and safety of 

families living in public and privately 

owned housing. 

B. Program Description 

HUD is funding studies to improve 

HUD’s and the public’s knowledge of 

lead-based paint hazards and other 

housing-related health and safety 

hazards, and to improve or develop new 

hazard assessment and control methods, 

with a focus on the key residential 

health and safety hazards. Key hazards 

are discussed in Appendix A of this 

NOFA. A list of references that serves as 

the basis for the information provided in 

this NOFA is provided as Appendix B 

to this NOFA. Both Appendix A and 

Appendix B of this NOFA can be found 

on HUD’s Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

1. General Goals 

a. Lead Technical Studies 

The overall goal of the Lead Technical 

Studies grant program is to gain 

knowledge to improve the efficacy and 

cost-effectiveness of methods for 

evaluation and control of residential 

lead-based paint hazards. 

Through the Lead Technical Studies 

Program, HUD is working to fulfill the 

requirements of sections 1051 and 1052 

of the Residential Lead-Based Paint 

Hazard Reduction Act of 1992 (Title X) 

(42 U.S.C. 4854 and 4854a) which 

directs HUD to conduct research on 

topics which include the development 

of ‘‘improved methods for evaluating 

[and] reducing lead-based paint hazards 

in housing,’’ among others. 

Brief descriptions of active and 

previously funded lead technical 

studies projects can be found on HUD’s 

Web site at http://www.hud.gov/offices/ 

lead/techstudies/index.cfm. Where 

appropriate, you are strongly 

encouraged to build your proposed 

study upon HUD-sponsored work that 

has been previously completed, in 

addition to other relevant research (i.e., 

that contained in government reports 

and in the published literature). 

The results of the technical studies 

will be used in part to update HUD’s 

Guidelines for the Evaluation and 

Control of Lead-Based Paint Hazards in 

Housing (Guidelines). For supporting 

references, including where to find the 

Guidelines, see Appendix B on HUD’s 

Web site at http://www.grants.gov/ 

applicants/apply_for_grants.jsp. 

b. Healthy Homes Technical Studies 

The overall goals and objectives of the 

Healthy Home Initiative (HHI), which 

includes the Healthy Homes Technical 

Studies Program and the Healthy Homes 

Demonstration Grant Program (see the 

Healthy Homes Demonstration Grant 

Program NOFA published in this 

SuperNOFA), are to: 

(1) Mobilize public and private 

resources, involving cooperation among 

all levels of government, the private 

sector, grassroots community-based 

organizations, including faith-based 

organizations, and other non-profit 

organizations, to develop the most 

promising, cost-effective methods for 

identifying and controlling housingrelated hazards; and 

(2) Build local capacity to operate 

sustainable programs that will continue 

to prevent, minimize, and control 

housing-related hazards in low- and 

very low-income residences when HUD 

funding is exhausted. 

The HHI departs from the more 

traditional approach of attempting to 

correct one hazard at a time. HUD is 

interested in promoting approaches that 

are cost-effective and efficient and result 

in the reduction of health threats for the 

maximum number of residents and, in 

particular, low-income children. 

In April 1999, HUD submitted a 

preliminary plan that described the HHI 

to Congress. The submission (Summary 


rwilkins on PROD1PC63 with NOTICES_2
11558 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

and Full Report), and a description of 

the HHI are available on the HUD Web 

site at http://www.hud.gov/offices/lead/ 

hhi/index.cfm. 

In addition to deficiencies in basic 

housing facilities that may impact 

health, changes in the U.S. housing 

stock and more sophisticated 

epidemiological methods and 

biomedical research have led to the 

identification of new and often more 

subtle health hazards in the residential 

environment (e.g., asthma triggers). 

While such hazards will tend to be 

found disproportionately in housing 

that is substandard (e.g., structural 

problems, lack of adequate heat, poor 

maintenance, etc.), such housing-related 

environmental hazards may also exist in 

housing that is otherwise of good 

quality. Appendix A of this NOFA 

briefly describes the key housingassociated health and injury hazards 

HUD considers targets for intervention. 

HUD has also developed resource 

papers on a number of topics of 

importance under the HHI, including 

mold, environmental aspects of asthma, 

carbon monoxide, and unintentional 

injuries. These resource papers can be 

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

offices/lead/hhi/hhiresources.cfm. 

Brief descriptions of current and 

recently completed Healthy Homes 

Technical Studies projects and grantee 

contact information can be found on the 

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

offices/lead/hhi/hhigranteeinfo.cfm. 

2. Community Participation 

HUD believes that it is important for 

researchers to incorporate some aspect 

of meaningful community participation 

in the development and implementation 

of studies that are conducted in 

communities and/or involve significant 

interaction with community residents. 

Community participation can improve 

study effectiveness in various ways, 

including the development of more 

appropriate research objectives, 

improving recruitment and retention of 

study participants, improving 

participants’ involvement in and 

understanding of a study, improving 

ongoing communication between 

researchers and the affected community, 

and more effectively disseminating 

study findings. HUD encourages 

applicants to consider using a 

‘‘community based participatory 

research (CBPR)’’ approach, where 

applicable, in study design and 

implementation. (See, e.g., the report 

published by the National Institute of 

Environmental Health Sciences titled 

‘‘Successful Models of CommunityBased Participatory Research’’ at: 

http://www.niehs.nih.gov/translat/ 

pubs.htm). CBPR is characterized by 

substantial community input in all 

phases of a study (i.e., design, 

implementation, data interpretation, 

conclusions, and communication of 

results). 

C. Authority 

The Lead Technical Studies program 

is authorized under sections 1011(g)(1), 

1011(o), and 1051–1053 of the 

Residential Lead-Based Paint Hazard 

Reduction Act of 1992 (Title X of the 

Housing and Community Development 

Act of 1992, 42 U.S.C. 4851 et seq.). The 

Healthy Homes Technical Studies 

program is authorized under sections 

501 and 502 of the Housing and Urban 

Development Act of 1970 (12 U.S.C. 

1701z–1 and 1701z–2). Fiscal Year 2007 

funds for both programs are authorized 

under the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007). 

II. Award Information 

A. Funding Available 

Approximately $3.6 million in fiscal 

year 2007 funds are available for Lead 

Technical Studies. Approximately $2.0 

million is available for Healthy Homes 

Technical Studies. Cooperative 

agreements will be awarded on a 

competitive basis following evaluation 

of all eligible proposals according to the 

rating factors described in Section V.A.3 

of this NOFA. HUD anticipates that 

approximately 4 to 10 awards will be 

made for the Lead Technical Studies 

Program, and that approximately 2 to 6 

awards will be made for the Healthy 

Homes Technical Studies Program with 

awards ranging from approximately 

$200,000 to no more than $1 million per 

award for each program. Applications 

for additional work related to existing 

HUD-funded technical studies (i.e., for 

work outside of the scope of the original 

agreement) are eligible to compete with 

applications for awards on new subjects. 

These applications will be evaluated in 

the same manner as new applicants. 

B. Anticipated Start Date and Period of 

Performance for New Grants 

The start date for new awards is 

expected to be not later than October 1, 

2007. The period of performance cannot 

exceed 36 months from the time of 

award. The proposed performance 

period should include adequate time for 

such project components as the 

Institutional Review Board process, if 

required, the recruitment of new staff 

and/or study participants, and the 

development of new instrumentation or 

methods (e.g., analytical methods), all of 

which have been found to delay projects 

in the past. Period of performance 

extensions for delays due to exceptional 

conditions beyond the grantee’s control 

will be considered for approval by HUD 

in accordance with 24 CFR 84.25(e)(2) 

or 85.30(d)(2), as applicable, and the 

OHHLHC Program Guide. If approved, 

grantees will be eligible to receive a 

single extension of up to 12 months in 

length. Applicants are encouraged to 

plan studies with shorter performance 

periods than 36 months; however, when 

developing your schedule, you should 

consider the possibility that issues may 

arise that could cause delays. 

C. Type of Award Instrument 

Awards will be made as cooperative 

agreements. Anticipated substantial 

involvement by HUD staff for 

cooperative agreements may include, 

but will not be limited to: 

1. Review and suggestion of 

amendments to the study design, 

including: study objectives; field 

sampling plan; data collection methods; 

sample handling and preparation; and 

sample and data analysis. 

2. Review and provision of technical 

recommendations in response to 

quarterly progress reports (e.g., 

amendments to study design based on 

preliminary results). 

3. Review and provision of technical 

recommendations on the journal 

article(s) and final study report. 

4. Requirements for peer review of 

scientific data in accordance with the 

Office of Management and Budget 

Information Quality Guidelines. All 

HUD-sponsored research is subject to 

the OMB Final Information Quality 

Bulletin for Peer Review (70 FR 2664–

2677, January 14, 2005) prior to its 

public dissemination. In accordance 

with paragraph II.2 of the Bulletin, HUD 

will not need further peer review 

conducted on information that has 

already been subjected to adequate peer 

review. Therefore grantees must provide 

enough information on their peer review 

process for HUD to determine whether 

additional review is needed. 

III. Eligibility Information 

A. Eligible Applicants 

Academic and non-profit institutions 

located in the United States, state and 

units of general local government, and 

federally recognized Native American 

tribes are eligible under all existing 

authorizations. For-profit firms also are 

eligible; however, they are not allowed 

to earn a profit from the project. 

Applications to supplement existing 

projects are eligible to compete with 

applications for new awards. Federal 

agencies are not eligible to submit 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11559 

applications. The General Section 

identifies threshold requirements that 

must be met for an organization to 

receive an award. 

B. Cost Sharing or Matching 

Cost sharing or matching is not 

required. In rating your application, 

however, you will receive a higher score 

under Rating Factor 4 if you provide 

evidence of significant resource 

leveraging. 

C. Other 

1. Eligible Activities 

a. Lead Technical Studies. 

HUD is particularly interested in the 

following topics: 

(1) Development of alternative or 

improved clearance methods. The 

clearance of a dwelling following lead 

hazard control activities is achieved by 

collecting dust-wipe samples following 

a standard protocol, with subsequent 

analysis of the samples by a laboratory 

recognized under the National Lead 

Laboratory Accreditation Program 

(NLLAP). Lead hazard control costs 

could be reduced if immediate clearance 

results could be obtained in the field. 

Existing techniques that can be used to 

analyze dust samples in the field 

include the use of portable X-ray 

fluorescence (XRF) analyzers and 

anodic stripping voltammetry (ASV) 

instruments. It is theoretically possible 

to also employ colorimetric methods to 

analyze clearance samples. These 

techniques can be used in a screening 

context in which a ‘‘failure’’ would 

indicate the need for additional cleaning 

before definitive clearance wipe 

samples are collected for analysis by an 

appropriate laboratory. It is possible for 

an organization using a field-based 

technology to achieve recognition as a 

portable laboratory under NLLAP; 

however, it is HUD’s understanding 

that, to date, this has not been done. 

HUD is interested in funding research 

that improves the performance of 

portable analytical technologies for lead 

dust-wipe analysis with the ultimate 

goal of improving the feasibility for such 

technologies to be used to conduct 

definitive analyses in the field. 

HUD has funded research for the onsite use of X-Ray Fluorescence (XRF) for 

dust wipe lead analysis and does not 

intend to fund additional work on this 

topic through this NOFA. 

(2) Reducing exterior soil as a cause 

of dust-lead hazards. Studies have 

shown that lead in exterior dust and soil 

can be an important source of lead 

exposure to young children, both 

through direct contact and indirectly 

when tracked or blown into the home. 

HUD has funded several studies that 

have assessed approaches to reducing 

the risk posed by this large 

environmental lead reservoir. These 

previous studies have focused on the 

following topics: reducing the 

bioavailability (as determined using in 

vitro testing) of lead in soil through the 

addition of composted biosolids or other 

additives; reducing soil hazards in 

urban yards through targeted 

landscaping (e.g., raised beds, 

improving ground cover); reducing 

exterior dust-lead levels through 

exterior building treatments and street 

and sidewalk cleaning; development of 

new sampling method for surface soils, 

and reducing surface soil-lead hazards 

by overlaying with clean soil and grass 

cover (see, e.g.: Binns et al., 2004, and 

Farfel et al., 2005, in Appendix B). 

Additional study is needed to assess 

the long-term effectiveness of interim 

controls to reduce soil and exterior dustlead hazards. Research is also needed to 

develop interim controls and strategies 

for exterior dust and soil that are 

reasonable in cost, feasible to 

implement, and which do not require 

frequent maintenance to retain their 

effectiveness. Also, the relationship 

between control of soil lead hazards and 

interior dust lead levels has not been 

adequately described. 

(3) Effectiveness of Ongoing 

Maintenance Activities in Controlling 

Lead-Based Paint Hazards. There are 

few studies directly assessing the 

effectiveness of ongoing lead-based 

paint maintenance programs. HUD is 

interested in evaluating the 

effectiveness and feasibility of ongoing 

lead-based paint maintenance programs, 

identifying program components for 

which particular implementation 

difficulties exist, and evaluating 

proposed measures for overcoming 

those difficulties. Such an evaluation of 

program components could address 

whether and how technically-acceptable 

and cost-effective work practices are 

selected and implemented, how 

effectively supervisors monitor work 

activities to ensure that lead-based paint 

hazards are controlled and that dust and 

debris are contained and cleaned up 

during and after work, and how well 

clearance procedures (including 

necessary re-cleaning) are integrated 

into the maintenance program, among 

other factors. 

(4) Use of Available Databases to 

Evaluate the Efficacy of Lead Hazard 

Control Activities. Public databases can 

be used to help target and assess the 

effectiveness of lead hazard control 

activities. Examples of this include the 

use of census data to identify 

neighborhoods that are at high risk for 

lead poisoning (e.g., age and value of 

housing used in combination with 

indicators of socioeconomic status) and 

the use of blood-lead screening data to 

target dwellings that have been 

associated with repeated identification 

of resident children with elevated 

blood-lead levels. Geographic 

Information Systems (GIS) have also 

been successfully used as a tool to help 

target high-risk housing. At a broader 

level, serial blood-lead screening data 

could be used to assess the effectiveness 

of lead hazard control activities or laws 

that require lead hazard control 

treatments in high risk housing (e.g., by 

comparing community screening results 

before and after laws were enacted 

while accounting for the overall 

downward trend in blood lead levels 

and the performance of Lead Hazard 

Control grantees and other activities). 

HUD is interested in studies that assess 

effective and creative uses of public 

databases to improve the efficacy of lead 

hazard control programs (e.g., targeting 

neighborhoods), assess the effectiveness 

of enforcement and lead hazard control 

activities and regulations, and other 

uses of these data that further the goal 

of improving methods for the 

identification and control of residential 

lead-based paint hazards. Applicants 

proposing projects under this topic area 

should focus primarily on the use of 

existing data as opposed to the 

collection of new data through field 

activities. An applicant must 

demonstrate why the collection of any 

new data is important in the context of 

a proposed study (e.g., to validate a 

model developed using publicly 

available data) and that there is a 

limited amount of new data being 

collected. 

(5) Other Focus Areas that are 

Consistent with the Overall Goals of 

HUD’s Lead Technical Studies Program. 

HUD will consider funding applications 

for technical studies on other topics that 

are consistent with the overall goals and 

objectives of the Lead Technical Studies 

program, as described above. In such 

instances, for an applicant to receive an 

award, it is necessary that the applicant 

describe in sufficient detail how the 

proposed study is consistent with the 

overall lead technical studies program 

goals and objectives. 

Note: A limited amount of lead hazard 

control activities, which involve construction 

rather than research, may be conducted as 

part of a project (see Section IV.E.9 of this 

NOFA). 

b. Healthy Homes Technical Studies 

(1) HUD expects to advance the 

recognition and control of residential 


rwilkins on PROD1PC63 with NOTICES_2
11560 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

health and safety hazards and more 

closely examine the link between 

housing and health. The overall 

objectives of the Healthy Homes 

Technical Studies projects to be funded 

through this NOFA include, but are not 

limited to: 

(a) Development and evaluation of 

low-cost test methods and protocols for 

identification and assessment of 

housing-related hazards; 

(b) Development and assessment of 

cost-effective methods for reducing or 

eliminating housing-related hazards; 

(c) Evaluation of the effectiveness of 

housing interventions and public 

education campaigns, and barriers and 

incentives affecting future use of the 

most cost-effective strategies; 

(d) Investigation of the epidemiology 

of housing-related hazards and illness 

and injuries associated with these 

hazards, with an emphasis on children’s 

health; 

(e) Evaluation of residential health 

and safety hazard assessment and 

control methodologies and approaches 

(including both existing methods and 

the evaluation of novel approaches); 

(f) Analysis of existing data or 

generation of limited new data to 

improve knowledge regarding the 

prevalence and severity of specific 

hazards in various classes of housing, 

with a focus on low-income housing. 

Specific examples include: 

(i) The prevalence of carbon 

monoxide and other indoor air quality 

hazards; 

(ii) The prevalence and patterns of 

moisture problems and biological 

contaminants associated with excess 

moisture (e.g., fungi, mold, bacteria, 

dust mites); 

(iii) The prevalence of specific 

childhood injury hazards in housing; 

and 

(iv) Improved understanding of the 

relationship between a residential 

exposure and childhood illness or 

injury. 

Applicants that propose this type of 

study should discuss how the 

knowledge that is gained from the study 

could be used in a program to reduce 

these hazards in target communities. 

(g) Low-cost analytical techniques and 

instruments for the rapid, on- and offsite determination of environmental 

contaminants of concern (e.g., 

bioaerosols, pesticides, allergens). 

HUD’s primary interest is in the 

improvement of existing instruments or 

methods, and not in the development of 

new technologies or instruments. The 

OHHLHC has noted that these types of 

studies pose a high risk of experiencing 

significant delays. Applicants seeking to 

develop new technologies/instruments 

should discuss why, if funded, their 

proposed project would be unlikely to 

experience significant delays in its 

completion. 

(2) HUD is particularly interested in 

the following topics: 

(a) Improving or assessing the efficacy 

of current methods for residential 

Integrated Pest Management (IPM). IPM 

approaches focus on the use of 

economical means for managing pests, 

which incorporate information on the 

life cycles of pests and their interaction 

with the environment, while 

minimizing hazards to people, property, 

and the environment. HUD is 

particularly interested in IPM methods 

for reducing cockroach and/or rodent 

populations in multifamily housing, 

with an emphasis on low-income 

housing. 

(b) Controlling excess moisture by 

reducing migration through the building 

envelope and condensation of water 

vapor on interior surfaces, with an 

emphasis on low-cost interventions for 

low-income housing; 

(c) Improving indoor air quality, such 

as through cost-effective approaches to 

upgrading residential ventilation or 

improving control/management of 

combustion appliances. Applicants 

should discuss how proposed 

approaches might affect residential 

energy costs (e.g., increasing air 

exchange rates resulting in an increase 

in heating costs); 

(d) Dust control measures (e.g., 

preventing track-in of exterior dust and 

soil, improved methods for interior dust 

cleaning) have been identified as key 

areas in the HHI Preliminary Plan; 

(e) Evaluating the effectiveness of 

education and outreach methods 

designed to provide at-risk families with 

the knowledge to adopt self-protective 

behaviors with respect to housingrelated health hazards. If you propose a 

study in this focus area you should cite 

and discuss the theoretical basis for the 

education/outreach approach that you 

are proposing. 

(f) Other Focus Areas that are 

Consistent with the Overall Goals of 

HUD’s Healthy Homes Technical 

Studies Program. HUD will consider 

funding applications for technical 

studies on other topics that are 

consistent with the overall goals and 

objectives of the Healthy Homes 

Technical Studies program, as described 

above. In such instances, for an 

applicant to receive an award, it is 

necessary that the applicant describe in 

sufficient detail how the proposed study 

is consistent with the overall program 

goals and objectives. 

(3) General Information. In proposing 

to conduct a study on a particular topic, 

applicants should consider: 

(a) The ‘‘fit’’ of the proposed hazard 

assessment and/or control methods 

within the overall goal of addressing 

‘‘priority’’ health and safety hazards in 

a cost-effective manner; 

(b) The efficacy of the proposed 

methods for hazard control and risk 

reduction (e.g., how long is effective 

hazard reduction maintained); 

(c) Where and how these methods 

would be applied and tested, and/or 

perform demonstration activities; and 

(d) The degree to which the study will 

help develop practical, widely 

applicable methods and protocols or 

improve our understanding of a 

residential health hazard. 

Applications for a study for which the 

sole or primary focus is on lead-based 

paint hazards are ineligible for funding 

under the Healthy Homes Technical 

Studies program. Such studies should 

be submitted for funding under the Lead 

Technical Studies Program. 

Applicants should consider the 

efficiencies that might be gained by 

working cooperatively with one or more 

recipients of HUD’s Healthy Homes 

Demonstration and/or Lead Hazard 

Control grants, which are widely 

distributed throughout the United 

States. Information on current grantees 

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

offices/lead. 

You may address one or more than 

one of the above technical studies topic 

areas within your proposal, or submit 

separate applications for different topic 

areas. 

Note: A limited amount of hazard control 

activities, which involve construction rather 

than research, may be conducted as part of 

a Healthy Homes Technical Studies project 

(see Section IV.E.9 of this NOFA). 

2. Threshold Requirements 

Applicable to all Applicants. 

To receive an award of funds from 

HUD, you must meet all the threshold 

requirements in the General Section. 

3. Program Requirements. 

The following requirements are 

applicable to both the Healthy Homes 

Technical Studies and Lead Technical 

Studies Programs: 

a. Program Performance. Grantees 

shall take all reasonable steps to 

accomplish all activities within the 

approved period of performance. HUD 

reserves the right to terminate the 

cooperative agreement prior to the 

expiration of the period of performance 

if the grantee fails to make reasonable 

progress in implementing the approved 

program of activities or fails to comply 

with the terms of the cooperative 

agreement. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11561 

b. Regulatory Compliance. Grantees 

must comply with all relevant federal, 

state, and local regulations regarding 

exposure to and proper disposal of 

hazardous materials. 

c. Blood Lead Testing. Any blood lead 

testing, blood lead level test results, 

medical referral, or follow-up for 

children under 6 years of age will be 

conducted according to the 

recommendations of the Centers for 

Disease Control and Prevention (CDC), 

Preventing Lead Poisoning in Young 

Children (see Appendix B of this 

NOFA). 

d. Restricted Use of Funds. HUD 

technical studies grant funds will not 

replace existing resources dedicated to 

any ongoing project. 

e. Laboratory Analysis for Lead. 

Laboratory analysis covered by the 

NLLAP will be conducted by a 

laboratory recognized under the 

program. 

f. Laboratory Analysis for Mold. 

Samples to be analyzed for mold (fungi) 

must be submitted to a laboratory 

accredited through the Environmental 

Microbiological Laboratory 

Accreditation Program (EMLAP), 

administered by the American 

Industrial Hygiene Association (AIHA). 

g. Human Research. Human research 

subjects will be protected from research 

risks in conformance with Federal 

Policy for the Protection of Human 

Subjects, required by HUD at 24 CFR 

60.101, which incorporates the 

Department of Health and Human 

Services (DHHS) Protection of Human 

Subjects regulation at 45 CFR part 46. 

h. OSHA Compliance. The 

requirements of the Occupational Safety 

and Health Administration (OSHA) 

(e.g., 29 CFR part 1910 and/or 1926, as 

applicable) or the state or local 

occupational safety and health 

regulations, whichever are most 

stringent, will be met. 

i. Civil Rights. The institution 

administering the grant must meet the 

civil rights threshold set forth in the 

General Section. 

j. Disclosure. All test results and other 

information in pre-1978 housing related 

to lead-based paint or lead-based paint 

hazards must be provided to the owner 

of the unit, together with a statement 

describing the owner’s legal duty to 

disclose the knowledge of lead-based 

paint and its hazards to tenants (before 

initial leasing, or before lease renewal 

with changes) and buyers (before sale) 

(24 CFR Part 35, subpart A). Disclosure 

of other identified housing-related 

health or safety hazards to the owner of 

the unit, for purposes of remediation, is 

encouraged but not required. 

k. Privacy. Submission of any 

information on the properties to 

databases (whether Web site, computer, 

paper, or other format) of addresses of 

identified, treated or cleared housing 

units is subject to the protections of the 

Privacy Act of 1974, and shall not 

include any personal information that 

could identify any child affected. You 

should also check to ensure you meet 

state privacy regulations. 

l. Applicants must incorporate 

meaningful community involvement 

into any study that requires a significant 

level of interaction with a community 

during implementation (e.g., projects 

being conducted within occupied 

dwellings or which involve surveys of 

community residents). The term 

community refers to a variety of 

populations comprised of persons who 

have commonalities that can be 

identified (e.g., based on geographic 

location, ethnicity, health condition, 

common interests). Applicants should 

identify the community that is most 

relevant to their particular project. 

There are many different approaches to 

involving the community in the 

conception, design, and implementation 

of a study and the subsequent 

dissemination of findings. Examples 

include but are not limited to: 

Establishing a structured approach to 

obtain community input and feedback 

(e.g., through a community advisory 

board); including one or more 

community-based organizations as 

study partners; employing community 

residents to recruit study participants 

and collect data; and enlisting the 

community in the dissemination of 

findings and translation of results into 

improved policies and/or practices. A 

discussion of community involvement 

in research involving housing-related 

health hazards can be found in Chapter 

5 of the Institute of Medicine 

publication titled ‘‘Ethical 

Considerations for Research on 

Housing-Related Health Hazards 

Involving Children’’ (see Appendix B 

for more information on this report). 

m. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). This program is subject to the 

requirements of section 3 of the Housing 

and Urban Development Act of 1968 (12 

U.S.C. 1701u). Section 3 requires 

recipients to ensure that, to the greatest 

extent feasible, training, employment, 

and other economic opportunities will 

be directed to low- and very low-income 

persons, particularly those who are 

recipients of government assistance for 

housing, and to businesses which 

provide economic opportunities to lowand very low-income persons. The 

regulations may be found at 24 CFR part 

135. 

n. Standardized Dust Sampling 

Protocol and Quality Control 

Requirements. Grantees collecting 

samples of settled dust from participant 

homes for environmental allergen 

analyses (e.g., cockroach, dust mite) will 

be required to use a standard dust 

sampling protocol, unless there is a 

strong justification to use an alternate 

protocol (e.g., the study involves the 

development of an alternative sampling 

method). The HUD protocol can be 

found on the OHHLHC Web site at: 

http://www.hud.gov/offices/lead/hhi/ 

hhiresources.cfm. Grantees conducting 

these analyses will also be required to 

include quality control dust samples, 

provided by OHHLHC at no cost to the 

grantee, with the samples that are 

submitted for laboratory analyses. For 

the purpose of budgeting laboratory 

costs, you should assume that 5 percent 

of your total allergen dust samples will 

consist of Quality Control samples. 

4. DUNS Requirement. 

Refer to the General Section for 

information regarding the DUNS 

requirement. A DUNS number must be 

provided for the institution that is 

submitting an application. Your DUNS 

number must be included in your 

electronic application submission. Be 

sure to use the DUNS number that you 

have registered as an Authorized 

Organization Representative (AOR) with 

Grants.gov and that your eBusiness 

Point of Contact has authorized you to 

submit an application on behalf of the 

applicant organization (see the General 

Section for details about the Grants.gov 

registration process). 

IV. Application and Submission 

Information 

If you are interested in applying for 

funding under this program, please 

review carefully the General Section 

and the following additional 

information. 

A. Addresses to Request Application 

Package 

All applications must be submitted 

electronically. The information required 

to submit an application is contained in 

the program section of this NOFA and 

the General Section. Applications can 

be downloaded from the web at: http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information you 

may call the Grants.gov help line tollfree at (800) 518–GRANTS (4726) from 

Monday to Friday from 7 a.m. to 9 p.m. 

eastern time, or send an e-mail to 

Support@grants.gov. 


rwilkins on PROD1PC63 with NOTICES_2
11562 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

B. Content and Form of Application 

Submission 

1. Applicant Data. Your application 

must contain the items listed in this 

section. These items include the 

standard forms contained in the General 

Section that are applicable to this 

funding announcement (collectively 

referred to as the ‘‘standard forms’’). 

Copies of these forms are available on 

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

applicants/apply_for_grants.jsp. The 

required items are: 

a. Application Abstract. An abstract 

with the project title, the names and 

affiliations of all investigators, and a 

summary of the objectives, expected 

results, and study design (two-page 

maximum) must be included in the 

proposal. Information contained in the 

abstract will not be considered in the 

evaluation and scoring of your 

application. Any information you wish 

to be considered should be provided 

under the appropriate rating factor 

response. 

b. All forms as required by the 

General Section. However, forms HUD–

2991 (Certification of Consistency with 

the Consolidated Plan) and HUD–27061 

(Race and Ethnicity Data) are not 

required with the application for these 

programs. 

c. Materials Submitted. A project 

description/narrative statement 

addressing the rating factors for award 

under the program (Lead Technical 

Studies or Healthy Homes Technical 

Studies) for which you are applying. 

The narrative statement must be 

identified in accordance with each 

factor for award (Rating Factors 1 

through 5). Number the pages of your 

narrative statement. The project 

description or narrative must be 

included in the responses to the rating 

factors. The response to the rating 

factors should not exceed a total of 25 

pages, single-sided, with a minimum 12- 

point font and a minimum margin width 

of 1-inch. Any pages in excess of this 

limit will not be read. The points you 

receive for each rating factor will be 

based on the portion of your narrative 

statement that you submit in response to 

that particular factor, supplemented by 

any appendices that are referenced in 

your narrative response to the rating 

factor. Supporting materials that are not 

referenced or discussed in your 

responses to the individual rating 

factors will not be considered. 

Additional materials (e.g., appendices) 

must be submitted with your 

application according to the directions 

in the General Section. The footer on the 

pages of these materials should identify 

the rating factor that they are 

supporting. 

d. Supporting Materials. Include the 

resumes of the principal investigator 

and other key personnel and other 

materials that are needed in your 

response to the rating factors (e.g., 

organizational chart, letters of 

commitment, a list of references cited in 

your responses to the rating factors). 

Each resume shall not exceed three 

pages, and is limited to information that 

is relevant in assessing the 

qualifications and experience of key 

personnel to conduct and/or manage the 

proposed technical studies. This 

information will not be counted towards 

the Rating Factors narrative 25-page 

limit. 

e. Additional Information. Submit 

other optional information provided in 

support of your application following 

the directions in the General Section. 

These additional optional materials 

must not exceed 20 pages. Any pages in 

excess of this limit will not be read. Do 

not include additional narrative 

information that is an extension of or 

expands upon any of your rating factor 

responses. Such narrative will not be 

considered. 

f. Budget. Include a total budget with 

supporting cost justification up to four 

pages, which will cover all budget 

categories of the federal grant request. 

This information will not be counted 

towards the Rating Factors narrative 25- 

page limit. Use the budget format 

discussed in Rating Factor 3, Section 

V.A.3.c, below. In completing the 

budget forms and justification, you 

should address the following elements: 

(1) Direct Labor costs, including all 

full- and part-time staff required for the 

planning and implementation phases of 

the project. These costs should be based 

on full time equivalent (FTE) or hours 

per year (hours/year) (i.e., one FTE 

equals 2,080 hours/year); 

(2) Allowance for one trip to HUD 

Headquarters in Washington, DC, for 

each year of your grant, planning each 

trip for two people. The first trip will 

occur shortly after grant award for a stay 

of two or three days, depending on your 

location, and the remaining trips will 

have a stay of one or two days, 

depending on your location; 

(3) A separate budget proposal for 

each subrecipient receiving more than 

10 percent of the total federal budget 

request; 

(4) Supporting documentation for 

salaries and prices of materials and 

equipment, upon request; and 

(5) Indirect Cost Rates. Organizations 

that have a federally negotiated indirect 

cost rate should use that rate and the 

appropriate base. The documentation 

will be verified during award 

negotiations. Organizations that do not 

have a federally negotiated rate 

schedule must obtain a rate from their 

cognizant federal agency, otherwise the 

organization will be required to obtain 

a negotiated rate through HUD. 

g. Checklist for Technical Studies 

Program Applicants. 

(1) Applicant Abstract (limited to 2 

pages). 

(2) Rating Factor Responses (Total 

narrative response limited to 25 pages.) 

(a) Capacity of the Applicant and 

Relevant Organizational Experience (21 

points). 

(b) Need/Extent of the Problem (15 

points). 

(c) Soundness of Approach (50 

points). 

(d) Leveraging Resources (6 points). 

(e) Achieving Results and Program 

Evaluation (8 points). 

(f) Bonus Points (RC/EZ/EC–II) (2 

points). 

(3) Required materials in response to 

rating factors (does not count towards 

25-page limit). 

(a) Resumes of Key Personnel (limited 

to 3 pages per resume). 

(b) Organizational Chart. 

(c) Letters of Commitment (if 

applicable)—Letters of commitment 

should include language defining the 

activities to be performed, the 

contributions to be made, and the 

monetary value of each. 

Note: HUD recommends against including 

letters of support that do not commit 

services, materials, or funds; they will not 

add to the consideration of your application. 

(4) Optional material in support of the 

Rating Factors (20 page limit). 

(5) Required Forms and Budget 

Material. 

(a) Form SF 424 (Application for 

Federal Assistance). 

(b) Form HUD–424–CBW (Budget 

Worksheet). 

(c) Form HUD–96010 (Logic Model 

Form). 

(d) Form SF–424 Supplement, 

‘‘Survey on Ensuring Equal 

Opportunities for Applicants’’ (‘‘Faith 

Based EEO Survey (SF–424 SUPP)’’ on 

Grants.gov) (to be completed by private 

nonprofit organizations only). 

(e) Form SF LLL (Disclosure of 

Lobbying Activities, if applicable). 

(f) Form HUD–2880, ‘‘Applicant/ 

Recipient Disclosure/Update Report’’

(‘‘HUD Applicant Recipient Disclosure 

Report’’ on Grants.gov). 

(g) Form HUD–2990 (Certification of 

Consistency with the RC/EZ/EC–II 

Strategic Plan, required only for 

applicants who are seeking these 2 

bonus points). 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11563 

(h) Form HUD–2994–A (You Are Our 

Client Grant Applicant Survey, 

Optional). 

(i) Form HUD–27300, ‘‘Questionnaire 

for HUD’s Removal of Regulatory 

Barriers’’ (‘‘HUD Communities Initiative 

Form’’ on Grants.gov) including the 

required information, if applicable. 

(j) Form HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘ Facsimile Transmittal Form’’ on 

Grants.gov) (Used as the cover page to 

transmit third party documents and 

other information designed for each 

specific application for tracking 

purposes. HUD will not read faxes that 

do not use the HUD–96011 as the cover 

page to the fax). 

C. Submission Dates and Times 

Electronic applications must be 

received and validated by Grants.gov on 

or before 11:59:59 PM eastern time on 

the application deadline date. Refer to 

the General Section for submission 

requirements. 

D. Intergovernmental Review 

This NOFA is excluded from the 

requirement of an Intergovernmental 

Review. 

E. Funding Restrictions 

1. Administrative Costs. There is a 10 

percent maximum allowance for 

administrative costs. Additional 

information about allowable 

administrative costs is provided in 

Appendix C of this NOFA, which can be 

downloaded from Grants.gov. 

2. Indirect Costs. Please see http:// 

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

fundsavail.cfm for reference to the 

Indirect Cost requirements. 

3. Purchase of Real Property. The 

purchase of real property is not an 

allowable cost under this program. 

4. Purchase or Lease of Equipment. 

The purchase or lease of equipment 

having a per unit cost in excess of 

$5,000 is not an allowable cost, unless 

prior written approval is obtained from 

HUD. 

5. Medical Treatment. Medical 

treatment costs are not allowable under 

this program. 

6. Profit. For profit institutions are not 

allowed to earn a profit. 

7. You must comply with the Coastal 

Barrier Resources Act (16 U.S.C. 3501). 

8. You may not conduct lead-based 

paint or healthy home hazard control 

activities or related work that 

constitutes construction, reconstruction, 

repair or improvement (as referenced in 

Section 3(a)(4) of the Flood Disaster 

Protection Act of 1973 (42 U.S.C. 4001–

4128)) of a building or mobile home 

which is located in an area identified by 

the Federal Emergency Management 

Agency (FEMA) as having special flood 

hazards unless: 

a. The community in which the area 

is situated is participating in the 

National Flood Insurance Program in 

accordance with the applicable 

regulations (44 CFR parts 59–79), or less 

than a year has passed since FEMA 

notification regarding these hazards; 

and 

b. Where the community is 

participating in the National Flood 

Insurance Program, flood insurance on 

the property is obtained in accordance 

with section 102(a) of the Flood Disaster 

Protection Act (42 U.S.C. 4012a(a)). You 

are responsible for assuring that flood 

insurance is obtained and maintained 

for the appropriate amount and term. 

9. Construction Activities. The 

amount of HUD Lead Technical Studies 

grant funds used for lead-based paint 

hazard control activities may not exceed 

20% of the total HUD funds awarded. 

The amount of HUD Healthy Homes 

Technical Studies grant funds used for 

construction activities may not exceed 

40% of the total HUD funds awarded. 

Furthermore, the majority of any funds 

dedicated to Healthy Homes 

construction activities shall be spent for 

interventions not intended for lead 

hazard control. 

F. Other Submission Requirements 

Applicants are required to submit 

applications electronically via the Web 

site http://www.grants.gov/applicants/ 

apply_for_grants.jsp. See sections IV.B 

and F of the General Section for 

additional information on the electronic 

process and how to request a waiver 

from the requirement if necessary. 

Applicants should submit their waiver 

requests in writing using e-mail. Waiver 

requests must be submitted no later than 

15 days prior to the application 

deadline date and should be submitted 

to Ms. Jonnette Hawkins at: 

Jonnette_G._Hawkins@hud.gov. 

V. Application Review Information 

A. Criteria 

1. Threshold Requirements. 

Applications that meet all of the 

threshold requirements will be eligible 

to be scored and ranked, based on the 

total number of points allocated for each 

of the rating factors described in Section 

V.A.3 of this NOFA. Your application 

must receive a total score of at least 75 

points to be considered for funding. 

2. Award Factors. Each of the five 

factors is weighted as indicated by the 

number of points that are assigned to it. 

The maximum score that can be attained 

is 100 points plus a possible 2 bonus 

points. Applicants should be certain 

that each of these factors is adequately 

addressed in the project description and 

accompanying materials. 

3. Rating Factors. 

a. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Experience (21 Points). This factor 

addresses the extent to which you have 

the ability and organizational resources 

necessary to successfully implement 

your proposed activities in a timely 

manner. The rating of your application 

will include any sub-grantees, 

consultants, sub-recipients, and 

members of consortia that are firmly 

committed to the project (generally, 

‘‘subordinate organizations’’). In rating 

this factor, HUD will consider the extent 

to which your application demonstrates: 

(1) The capability and qualifications 

of key and supporting personnel (14 

points). HUD will assess the 

qualifications of key personnel to carry 

out the proposed study as evidenced by 

relevant academic background, 

publications, and recent (within the past 

10 years) research experience. 

Publications and/or research experience 

are considered relevant if they required 

the acquisition and use of knowledge 

and skills that can be applied in the 

planning and execution of the technical 

study that is proposed under this 

NOFA. HUD will also evaluate the 

qualifications of supporting personnel 

such as statisticians and research 

assistants. Partner organizations will 

also be evaluated with respect to their 

qualifications and capabilities to 

successfully implement their proposed 

project roles. 

(2) Past performance of the study 

team in managing similar projects (7 

points). HUD will evaluate your 

demonstrated ability to successfully 

manage various aspects (e.g., personnel 

management, data management, quality 

control, reporting) of a complex 

technical study, as well as your overall 

success in completing projects on time 

and within budget. If applicable, 

provide the number and title of current 

and past OHHLHC grants as well as past 

performance of the organization 

(applicant and/or partners) on other 

grant(s) or project(s) related to 

residential environmental health and 

safety research, or other relevant 

experience. Provide details about the 

nature of the project, the funding 

agency, and your performance (e.g., 

timely completion, achievement of 

desired outcomes). You should also 

discuss the degree to which the results 

from past research have been used to 

develop new or improved methods or 

tools for residential hazard assessment 

or control. If your organization has an 


rwilkins on PROD1PC63 with NOTICES_2
11564 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

active OHHLHC grant or cooperative 

agreement, provide a description of the 

progress and outcomes achieved under 

that award. 

If you completed one or more HUDfunded Technical Studies grants, your 

performance will be evaluated in terms 

of achievements made under the 

previous grant(s). If you have completed 

a previous HUD-funded Technical 

Studies grant but you have not 

published the study results in a peerreviewed scientific journal, you should 

explain why the results have not been 

published. 

b. Rating Factor 2: Need/Extent of the 

Problem (15 Points). This factor 

addresses the extent to which there is a 

need for your proposed technical study. 

In responding to this factor, you should 

document in detail how your project 

will make a significant contribution 

towards achieving some or all of HUD’s 

stated goals and objectives for one or 

more of the topic areas described in 

Section I.B.1.a (Lead Technical Studies) 

or I.B.1.b (Healthy Homes Technical 

Studies), as appropriate for the program 

to which you are applying. For example, 

you should demonstrate how your 

proposed study addresses a need with 

respect to the development of improved 

methods for the assessment and control 

of residential lead-based paint hazards 

or addresses a need associated with an 

important housing-related health 

hazard, with an emphasis on children’s 

health. This is especially important for 

applicants that are proposing to study a 

lead or healthy homes topic that is not 

highlighted as a priority area by HUD in 

section III.C of this NOFA; such 

applicants that do not provide 

supporting language to demonstrate this 

will not receive points under this rating 

factor. Specific topics to be addressed 

for this factor include (five points for 

each item): 

(1) A concise review of the research 

need that is addressed in your study and 

why it is high priority with respect to 

the program. For Healthy Homes 

Technical Studies applicants, include 

available documented rates of illness or 

injury associated with the hazard or 

hazards that you are addressing, 

including local, regional, and national 

data, as applicable. 

(2) A discussion of how your 

proposed project would significantly 

advance the current state of knowledge 

for your focus area, especially with 

respect to the development of practical, 

cost-effective solutions. 

(3) A discussion on how you 

anticipate your study findings will be 

used to improve current methods for 

assessing or mitigating the hazards 

under study. Indicate why the method/ 

protocol that would be improved 

through your study would likely be 

widely adopted (e.g., low cost, easily 

replicated, lack of other options). 

c. Rating Factor 3: Soundness of 

Approach (50 Points). This factor 

addresses the quality of your proposed 

technical study plan. Specific 

components include: 

(1) Soundness of the study design (26 

points). Clearly and thoroughly describe 

the design of your proposed study and 

identify the major objectives. If possible, 

your study should be designed to 

address testable hypotheses that are 

clearly stated. The study should be 

presented as a logical sequence of steps 

or phases with individual tasks 

described for each phase. Your narrative 

should reflect the relevant scientific 

literature, which should be thoroughly 

cited in your application. Describe the 

statistical basis for your study design 

and demonstrate that you would have 

adequate statistical power to test your 

stated hypotheses and achieve your 

study objectives. You should identify 

any important ‘‘decision points’’ in your 

study plan and you should discuss your 

plans for data management, analysis and 

archiving. You should demonstrate that 

it is clearly feasible to complete the 

study within the proposed period of 

performance and successfully achieve 

your objectives. HUD has observed that 

studies can miss targeted performance 

timelines because of delays in the IRB 

approval process or unexpected 

difficulties with recruiting study 

participants, and delays in developing 

new laboratory methods or instruments. 

If applicable, describe actions that you 

will take to minimize the possibility 

that your study would experience 

delays in these areas (e.g., 

understanding likely IRB requirements 

in advance, planning on additional 

avenues for recruitment of participants, 

initiating the development of new 

methods/instruments). 

If you are proposing to conduct a 

study that includes a significant level of 

community interaction (e.g., studies 

involving participant recruitment, 

survey research, environmental 

sampling on private property), describe 

your plan for meaningful involvement 

of the affected community in your 

proposed study. You should define the 

community of interest with respect to 

your proposed study and discuss why 

and how your proposed approach to 

community involvement will make a 

meaningful contribution to your study 

and to the community. 

(2) Policy Priorities (5 points). Indicate 

if your proposed study will address any 

of the FY 2007 policy priorities that are 

applicable to this NOFA (see the 

General Section for additional details 

regarding these policy priorities). You 

will receive one point under Rating 

Factor 3(2) for each of the applicable FY 

2007 policy priorities that are found in 

the General Section and applicable to 

the Technical Studies NOFA that are 

adequately addressed in your 

application, with the exception of 

‘‘Removal of Barriers to Affordable 

Housing,’’ for which you can receive up 

to two points (see the General Section). 

Policy priorities that are applicable to 

the Technical Studies NOFA are: (1) 

Improving our Nation’s Communities 

(focus on distressed communities); (2) 

Providing Full and Equal Access to 

Grass-Roots Faith-based and other 

Community-based Organizations in 

HUD Program Implementation; (3) 

Participation of Minority-Serving 

Institutions in HUD Programs, and (4) 

Removal of Barriers to Affordable 

Housing. 

Each policy priority is worth one 

point, except for policy priority (4), 

Removal of Regulatory Barriers to 

Affordable Housing, which is worth up 

to 2 points provided the applicant 

includes a narrative response and 

submits the required documentation as 

described in Form HUD 27300 to this 

policy priority. Applicants may also 

provide a Web site address where the 

documentation can be readily found. 

(3) Quality assurance mechanisms (8 

points). You must describe the quality 

assurance mechanisms that will be 

integrated into your project design to 

ensure the validity and quality of the 

results. Applicants that receive awards 

will be required to submit a Quality 

Assurance Plan to HUD. You should 

plan for this and include Quality 

Assurance activities in your study work 

plan. The Office of Management and 

Budget paperwork approval for the 

Quality Assurance Plan template for this 

program is currently pending. 

(a) Discuss the major quality 

assurance mechanisms that are relevant 

for your proposed study. Examples of 

quality assurance mechanisms include, 

but are not limited to: procedures for 

selection of samples/sample sites, 

sample handling, use of quality control 

samples, validating the accuracy of 

instrumentation, measures to ensure 

accuracy during data management, staff 

training, and final validation of your 

dataset. Documents (e.g., government 

reports, peer-reviewed academic 

literature) that provide the basis for your 

quality assurance mechanisms should 

be cited. Also, identify members of the 

study team who will have primary 

responsibility for drafting and ensuring 

compliance with the Quality Assurance 

Plan. Your application will be rated on 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11565 

the thoroughness, clarity, and validity of 

your proposed quality assurance 

activities, and their appropriateness for 

ensuring the validity and quality of the 

data. 

(b) For the collection of data using 

instruments, such as surveys and visual 

assessment tools, describe the 

procedures that you will follow to 

ensure accurate data capture and 

transfer (e.g., transfer of data from the 

field to a database). Also, describe any 

research done (or planned) to validate 

the instrument. 

(c) Institutional Review Boards. In 

conformance with the Common Rule 

(Federal Policy for the Protection of 

Human Subjects, codified by HUD at 24 

CFR 60.101, which incorporates the 

DHHS regulation at 45 CFR part 46), if 

your research involves human subjects, 

your organization must provide proof 

(e.g., a letter signed by an appropriate 

official) that the research has been 

reviewed and approved by an 

Institutional Review Board (IRB) before 

you can initiate activities that require 

IRB approval. Before initiating such 

activities you must also provide the 

number for your organization’s 

assurance (i.e., an ‘‘institutional 

assurance’’) that has been approved by 

the DHHS’s Office for Human Research 

Protections (OHRP). 

You do not have to provide proof of 

IRB approval with your application. If 

you do not have IRB approval yet, you 

should address how you will obtain 

such approval. Describe how you will 

obtain informed consent (e.g., from the 

subjects, their parents or their 

guardians, as applicable) and discuss 

the steps you will take to help ensure 

participants’ understanding of the 

elements of informed consent, such as 

the purposes, benefits and risks of the 

research. Describe how this information 

will be provided and how the consent 

will be collected. For example, describe 

your use of ‘‘plain language’’ forms, 

flyers and verbal scripts, and how you 

plan to work with families with limited 

English proficiency or primary 

languages other than English, and with 

families including persons with 

disabilities. For additional information 

on what constitutes human subject 

research or how to obtain an 

institutional assurance see the OHRP 

Web site at http://www.hhs.gov/ohrp/. 

(4) Project management plan (5 

points). The proposal should include a 

management plan that provides a 

schedule for the clear and expeditious 

completion of major tasks, with 

associated benchmarks and major study 

milestones, and major deliverables. If 

your application includes multiple 

organizations, you should identify the 

organization/person that has primary 

responsibility for completion of each of 

the major study tasks. The major tasks 

and benchmarks/deliverables identified 

in the management plan should be 

consistent with those identified in the 

Logic Model (see description under 

Rating Factor 5). You should include 

plans for preparation of one or more 

articles for publication in peer-reviewed 

academic journals and submission of 

the draft(s) to the journal(s) after HUD 

acceptance. The final deliverable can be 

submitted to HUD during the agreed 

upon period of performance or during 

the 90-day closeout period following 

award expiration. 

(5) Budget Proposal (6 points). 

(a) Your budget proposal should 

thoroughly estimate all applicable direct 

and indirect costs, and be presented in 

a clear and coherent format in 

accordance with the requirements listed 

in the General Section. HUD is not 

required to approve or fund all 

proposed activities. You must 

thoroughly document and justify all 

budget categories and costs (Form HUD–

424–CBW) and all major tasks, for 

yourself, sub-recipients, major 

subcontractors, joint venture 

participants, or others contributing 

resources to the project. A separate 

budget must be provided for partners 

who are proposed to receive more than 

10 percent of the federal budget request. 

Your application will be evaluated on 

the extent to which your resources are 

appropriate for the scope of your 

proposed study. 

(b) Your narrative justification 

associated with these budgeted costs 

should be submitted as part of the Total 

Budget (Federal Share and Matching), 

but is not included in the 25-page limit 

for this submission. Separate narrative 

justifications should be submitted for 

partners that are submitting separate 

budgets. 

(c) The application will not be rated 

on the proposed cost; however, cost will 

be considered in addition to the rated 

factors to determine the proposal most 

advantageous to the Federal 

Government. Cost will be the deciding 

factor when proposals ranked under the 

listed factors are considered acceptable 

and are substantially equal. 

d. Rating Factor 4: Leveraging 

Resources (6 Points). Your proposal 

should demonstrate that the 

effectiveness of HUD’s Technical 

Studies grant funds is being increased 

by securing other public and/or private 

resources or by structuring the project in 

a cost-effective manner, such as 

integrating the project into an existing 

study (either funded by HUD or another 

source) that will be concurrent with 

your proposed study. Resources may 

include funding or in-kind 

contributions (such as services, facilities 

or equipment) allocated to the 

purpose(s) of your project. Staff and inkind contributions should be assigned a 

monetary value. 

You should provide evidence of 

leveraging/partnerships by submitting: 

letters of firm commitment, memoranda 

of understanding, and/or agreements to 

participate from those entities identified 

as partners in the project efforts. Each 

document must include the 

organization’s name, proposed level of 

commitment (with monetary value) and 

responsibilities as they relate to specific 

activities or tasks of your proposed 

program. The commitment must also be 

signed by an official of the organization 

legally able to make commitments on 

behalf of the organization. Simple letters 

that only indicate support of the 

proposed study are not sufficient. 

Leveraging is discussed in Appendix D, 

‘‘Matching and Leveraging Contribution 

Guidance,’’ of this NOFA. 

e. Rating Factor 5: Achieving Results 

and Program Evaluation (8 Points). This 

factor emphasizes HUD’s commitment 

to ensuring that applicants keep 

promises made in their applications and 

assess their performance to ensure 

performance goals are met. Achieving 

results means you, the applicant, have 

clearly identified the benefits or 

outcomes of your program. Outcomes 

are ultimate goals. Benchmarks or 

outputs are interim activities or 

products that lead to the ultimate 

achievement of your goals. 

Program evaluation requires that you, 

the applicant, identify program 

outcomes, interim products or 

benchmarks, and indicators that will 

allow you to measure your performance. 

Performance indicators should be 

objectively quantifiable and measure 

actual achievements against anticipated 

goals. Your evaluation plan should 

identify what you are going to measure, 

how you are going to measure it, and the 

steps you have in place to make 

adjustments to your work plan if 

performance targets are not met within 

established timeframes. 

This rating factor reflects HUD’s goal 

to embrace high standards of ethics, 

management and accountability. In 

evaluating this factor, HUD will 

consider how you have described the 

procedures you will follow to have 

reliable outcome measures and 

performance, so that the project will be 

recognized as being of high quality that 

provides benefits to the community. 

In your response to this Rating Factor, 

discuss the performance goals for your 

project and identify specific outcome 


rwilkins on PROD1PC63 with NOTICES_2
11566 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

measures. Describe how the outcome 

information will be obtained, 

documented, and reported. You must 

complete and return the eLogic 

ModelTM Form HUD–96010 included in 

the download instructions found as part 

of the application at http:// 

www.grants.gov. You must show your 

proposed project short-term, 

intermediate, long-term and final 

results. Instructions on the Logic model 

are contained in the General Section 

and are also contained in Tab 1 of the 

electronic form. The form features drop 

down menus from which to select and 

construct the Logic Model response 

relevant to your proposal. The 

electronic logic model with dropdown 

menus is in the instruction download at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp under the program 

NOFA. 

Also, in responding to this factor, you 

should: 

(1) Identify benchmarks that you will 

use to track the progress of your study; 

(2) Identify important study 

milestones (e.g., the end of specific 

phases in a multiphase study, 

recruitment of study participants, 

developing a new analytical protocol), 

which should also be clearly indicated 

in your study timeline. Also identify 

potential obstacles in meeting these 

objectives, and discuss how you would 

respond to these obstacles; 

f. Bonus Points (2 points). Applicants 

are eligible to receive up to two bonus 

points for projects located within 

federally designated Renewable 

Communities (RCs), Empowerment 

Zones (EZs), or Enterprise Communities 

(ECs) designated by USDA in round II 

(EC–IIs) (collectively referred to as RC/ 

EZ/EC–IIs), and which will serve the 

residents of these communities (see the 

General Section). In order to be eligible 

for these bonus points, applicants must 

meet the requirements of the General 

Section and submit a completed form 

HUD–2990, with descriptive language in 

the budget discussion describing the 

actual work that is to be done in these 

communities. 

B. Review and Selection Process 

1. Corrections To Deficient 

Applications. The General Section 

provides the procedures for correcting 

deficient applications. 

2. Rating and Ranking. Awards will 

be made in rank order for each type of 

Technical Studies Program applications 

(Lead or Healthy Homes), within the 

limits of funding availability for the 

program. 

a. Partial Funding. In the selection 

process, HUD reserves the right to offer 

partial funding to any or all applicants. 

If you are offered a reduced grant 

amount, you will have a maximum of 14 

calendar days to accept such a reduced 

award. If you fail to respond within the 

14-day limit, you shall be considered to 

have declined the award. 

b. Remaining Funds. See the General 

Section for HUD’s procedures if funds 

remain after all selections have been 

made within either type of Technical 

Studies Program. 

VI. Award Administration Information 

A. Award Notices 

1. Notice of Award. Applicants who 

have been selected for award will be 

notified by letter from the Office of 

Healthy Homes and Lead Hazard 

Control Grant Officer. The letter will 

state the program for which the 

application has been selected, the 

amount the applicant is eligible to 

receive, and the name of the 

Government Technical Representative 

(GTR). This letter is not an authorization 

to begin work or incur costs under the 

award. An executed cooperative 

agreement is the authorizing document. 

HUD may require that all the selected 

applicants participate in negotiations to 

determine the specific terms of the 

cooperative agreement, budget, and 

Logic Model. If you accept the terms 

and conditions of the cooperative 

agreement, you must return your signed 

cooperative agreement by the date 

specified during negotiation. In cases 

where HUD cannot successfully 

conclude negotiations with a selected 

applicant or a selected applicant fails to 

provide HUD with requested 

information, an award will not be made 

to that applicant. In this instance, HUD 

may offer an award, and proceed with 

negotiations with the next highestranking applicant. Applicants should 

note that, if they are selected for 

multiple OHHLHC awards, they must 

ensure that they have sufficient 

resources to provide the promised 

match and/or leveraging for the multiple 

awards. During negotiations, applicants 

selected for multiple awards will be 

required to provide alternative match 

and/or leveraged resources, if necessary, 

before the grant can be awarded. This is 

required in order to avoid committing 

duplicate match and/or leveraged 

resources to more than one OHHLHC 

grant. 

Awardees will receive additional 

instructions on how to have the grant 

account entered into HUD’s Line of 

Credit Control System (LOCCS) 

payment system or its successor will be 

provided. Other forms and program 

requirements will also be provided. 

In accordance with OMB Circular A–

133 (Audits of States, Local 

Governments and Non-Profit 

Organizations), grantees expending 

$500,000 in Federal funds within a 

program or fiscal year must submit their 

completed audit-reporting package 

along with the Data Collection Form 

(SF–SAC) to the Single Audit 

Clearinghouse, the address can be 

obtained from their Web site. The SF–

SAC can be downloaded at http:// 

harvester.census.gov/sac/. 

2. Debriefing. The General Section 

provides the procedures applicants 

should follow for requesting a 

debriefing. 

B. Administrative and National Policy 

Requirements 

1. Environmental Requirements. 

a. Eligible Construction and 

Rehabilitation Activities. 

(1) A Technical Studies award does 

not constitute approval of specific sites 

where activities that are subject to 

environmental review may be carried 

out. Recipients conducting eligible 

construction and rehabilitation 

activities must comply with 24 CFR part 

58, ‘‘Environmental Review Procedures 

for Entities Assuming HUD 

Environmental Responsibilities’’. 

Recipients that are States, units of 

general local government or Indian 

tribes must carry out environmental 

review responsibilities as a responsible 

entity under part 58. Where the 

recipient is not a State, unit of general 

local government or Indian tribe, a 

responsible entity, usually the unit of 

general local government or Indian 

tribe, must assume the environmental 

review responsibilities for construction 

or rehabilitation activities funded under 

this NOFA. Under 24 CFR 58.11, where 

the recipient is not a State, unit of 

general local government or Indian 

tribe, if a responsible entity objects to 

performing the environmental review, 

or the recipient objects to the 

responsible entity performing the 

environmental review, HUD may 

designate another responsible entity to 

perform the review or may perform the 

environmental review itself under the 

provisions of 24 CFR part 50. In such 

cases, following grant award execution, 

HUD will be responsible for ensuring 

that any necessary environmental 

reviews are completed. See paragraph 

(2) below for additional assistance. 

(2) For all grants under this NOFA, 

recipients and other participants in the 

project are prohibited from undertaking, 

or committing or expending HUD or 

non-HUD funds (including HUD 

leveraged or match funds) on, a project 

or activities under this NOFA (other 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11567 

than activities listed in 24 CFR 58.34, 

58.35(b) or 58.22(f)) until the 

responsible entity completes an 

environmental review and the applicant 

submits and HUD approves a Request 

for the Release of Funds and the 

responsible entity’s environmental 

certification (both on form HUD 

7015.15) or, in the case where the 

recipient is not a State, unit of general 

local government or Indian tribe and 

HUD has determined to perform the 

environmental review under part 50, 

HUD has completed the review and 

notified the grantee of its approval. The 

results of the environmental reviews 

may require that proposed activities be 

modified or proposed sites rejected. For 

Part 58 procedures, see http:// 

www.hud.gov/offices/cpd/environment/ 

index.cfm. For assistance, contact 

Edward Thomas, the Office of Healthy 

Homes and Lead Hazard Control 

Environmental Officer at (215) 861–

7670 (this is not a toll free-number) or 

the HUD Environmental Review Officer 

in the HUD Field Office serving your 

area. If you are a hearing- or speechimpaired person, you may reach the 

telephone number via TTY by calling 1–

800–877–8339. Recipients of a grant 

under these funded programs will be 

given additional guidance in these 

environmental responsibilities. 

b. All other activities not related to 

construction and rehabilitation 

activities are categorically excluded 

under 24 CFR 50.19(b)(1), (3), and (9) 

from the requirements of the National 

Environmental Policy Act of 1969 (42 

U.S.C. 4321) and are not subject to 

environmental review under the related 

laws and authorities. 

2. Conducting Business in Accordance 

with HUD Core Values and Ethical 

Standards. If awarded assistance under 

this NOFA, prior to entering into a 

cooperative agreement with HUD, you 

will be required to submit a copy of 

your code of conduct and describe the 

methods you will use to ensure that all 

officers, employees, and agents of your 

organization are aware of your code of 

conduct. See the General Section for 

information about conducting business 

in accordance with HUD’s core values 

and ethical standards. 

3. Participation in HUD-Sponsored 

Program Evaluation. See the General 

Section. 

4. Removal of Barriers to Affordable 

Housing. See the General Section. 

5. HUD Reform Act of 1989. The 

provisions of the HUD Reform Act of 

1989 that apply to this NOFA are 

explained in the General Section. 

6. Executive Order 13202. Compliance 

with HUD regulations at 24 CFR 5.108 

that implement Executive Order 13202, 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and FederallyFunded Construction Projects’’, is a 

condition of receipt of assistance under 

this NOFA. 

Note: This Order only applies to 

construction work. 

7. Procurement of Recovered 

Materials. See the General Section for 

information concerning this 

requirement. 

8. Davis-Bacon Wage Rates. The 

Davis-Bacon prevailing wage rates do 

not apply to this program. However, if 

program funds are used in conjunction 

with other federal programs in which 

Davis-Bacon prevailing wage rates 

apply, then Davis-Bacon provisions 

would apply to the extent required 

under the other federal programs. 

C. Reporting 

1. Post Award Reporting 

Requirements. Final budget and work 

plans are due 60 days after the start 

date. 

2. Progress Reporting. Progress 

reporting is required on a quarterly 

basis. Project benchmarks and 

milestones will be tracked using a 

benchmark spreadsheet that uses the 

benchmarks and milestones identified 

in the Logic Model form (HUD–96010) 

approved and incorporated into your 

award agreement. For specific reporting 

requirements, see policy guidance at: 

http://www.hud.gov/offices/lead. For FY 

2007, HUD is considering a new concept 

for the Logic Model. The new concept 

is a Return on Investment (ROI) 

statement. HUD will be publishing a 

separate notice on the ROI concept. 

3. Racial and Ethnic Beneficiary Data. 

HUD does not require grantees to collect 

racial and ethnic beneficiary data for 

this program. Grantees conducting 

studies that do not involve people, such 

as those confined to the laboratory or 

certain types of environmental 

sampling, will not be required to submit 

Form-27061 to HUD. If, however, racial 

and ethnic data are collected and 

reported as part of a study funded under 

this program NOFA, you must use the 

Office of Management and Budget’s 

Standards for the Collection of Racial 

and Ethnic Data as presented on Form 

HUD–27061, Racial and Ethnic Data 

Reporting Form (and instructions for its 

use), found on http://www.hudclips.org/ 

sub_nonhud/html/forms.htm. 

4. Final Report. The cooperative 

agreement will specify the requirements 

for final reporting (e.g., final technical 

report and final project benchmarks and 

milestones achieved against the 

proposed benchmarks and milestones in 

the Logic Model which was approved 

and incorporated into your cooperative 

agreement). 

5. Draft Scientific Manuscript(s). 

Grantees will be required to complete a 

minimum of one draft manuscript for 

publication in a peer-reviewed journal. 

VII. Agency Contact(s) 

For technical help in downloading an 

application from Grants.gov or 

submitting an application via 

Grants.gov, call the Grants.gov help 

desk at 800–518–GRANTS. For 

programmatic questions on the Lead 

Technical Studies program, you may 

contact Dr. Robert Weisberg, Office of 

Healthy Homes and Lead Hazard 

Control, at (202) 755–1785, extension 

7687 (this is not a toll-free number) or 

via e-mail at 

Robert_F._Weisberg@hud.gov. For 

programmatic questions on the Healthy 

Homes Technical Studies program, you 

may contact Dr. Peter Ashley, Office of 

Healthy Homes and Lead Hazard 

Control, at (202) 755–1785, extension 

7595 (this is not a toll-free number) or 

via e-mail at Peter_J._Ashley@hud.gov. 

For grants administrative questions, you 

may contact Ms. Curtissa L. Coleman, 

Office of Healthy Homes and Lead 

Hazard Control, at telephone (202) 755–

1785, extension 7580 (this is not a tollfree number) or via e-mail at 

Curtissa_L._Coleman@hud.gov. If you 

are a hearing- or speech-impaired 

person, you may reach the above 

telephone numbers through TTY by 

calling the toll-free Federal Information 

Relay Service at 1–800–877–8339. 

VIII. Other Information 

A. Other Office of Healthy Homes and 

Lead Hazard Control Information. For 

additional general, technical, and grant 

program information pertaining to the 

Office of Healthy Homes and Lead 

Hazard Control, visit http:// 

www.hud.gov/offices/lead. 

B. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2539–0015. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 80 hours per respondent for the 

application and 16 hours to finalize the 

cooperative agreement. This includes 


rwilkins on PROD1PC63 with NOTICES_2
11568 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

the time for collecting, reviewing, and 

reporting the data for the application. 

This information will be used for 

grantee selection. The reporting burden 

for completion of the Quality Assurance 

Plan by applicants who are awarded a 

grant is estimated at 24 hours per 

grantee (OMB approval is pending). 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

C. Appendices. Appendices A, B, C 

and D to this NOFA are available for 

downloading with the application at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.014</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11569 

Lead Outreach Grant Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Healthy Homes and Lead 

Hazard Control (OHHLHC). 

B. Funding Opportunity Title: Lead 

Outreach Grant Program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: The 

Federal Register number is: FR–5100–

N–26. The OMB approval number is 

2539–0015. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): 14.904, 

Lead Outreach Grant Program. 

F. Dates: The application deadline 

date is May 18, 2007. Applications must 

be received and validated by grants.gov 

no later than 11:59:59 pm eastern time 

on the application deadline date. See 

Section IV of the General Section, 

regarding application submission 

procedures and timely filing 

requirements. 

G. Additional Important Information: 

1. Overall Purpose. This funding 

opportunity is to provide funding for 

information dissemination about lead 

poisoning prevention through outreach. 

2. Available Funds. Approximately $2 

million is available under this program. 

3. Number of Awards. Approximately 

5 to 8 cooperative agreements will be 

awarded. 

4. Type of Awards. The awards will be 

made as cooperative agreements. 

5. Eligible Applicants. Academic and 

non-profit institutions located in the 

U.S., state and local governments, and 

federally recognized Native American 

tribes are eligible under all existing 

authorizations. For-profit firms are also 

eligible; however, they are not allowed 

to earn a fee (i.e., no profit can be made 

from the project). 

6. Matching Requirements and 

Leveraging. Ten percent match or cost 

sharing from applicant and partners is 

required. All contributions, regardless of 

source, above the 10 percent match are 

considered leverage. Leveraging is 

encouraged. Applications will receive a 

higher score under Rating Factor 4 if 

you provide evidence of significant cost 

sharing and leveraging. Leveraging 

means increasing the amount or number 

of eligible activities that can be 

performed under this award through 

cash or in-kind contributions of 

resources. Applicants must provide 

evidence that proposed matching 

resources are not from Federal funds, 

and provide a statement of commitment 

that proposed matching or leveraging 

resources are not previously committed 

as match or leverage to support other 

applications or existing awards. Match 

and leveraged resources may be used 

only for eligible activities. See Section 

III.B and Section V, Rating Factor 4. 

7. Limitations on Applications. Each 

applicant, partner, sub-contractor and 

sub-recipient may participate in only 

one application to the Lead Outreach 

program. Outreach applicants are not 

prohibited from receiving other 

OHHLHC grant awards if those grant 

programs’ selecting official selects them 

for such awards. 

Full Text of Announcement 

I. Funding Opportunity Description. 

Background information about lead, 

lead-based paint hazards and other 

information applicable to this NOFA 

can be found at: http://www.grants.gov/ 

applicants/apply_for_grants.jsp. 

A. Purpose of the Program. The 

purpose of this program is to raise 

public awareness and deliver HUDapproved training about lead-based 

paint as a source of lead poisoning, 

childhood lead poisoning prevention, 

and proper lead hazard identification, 

control and lead safe rehabilitation and 

maintenance methods for at-risk 

communities and children, primarily to 

underserved populations. Only entities, 

states or local governments that are not 

current Lead-Based Paint Hazard 

Control, Lead Hazard Reduction 

Demonstration, or Operation Lead 

Elimination Action Program (LEAP) 

grantees, or sub-grantees, contractors or 

sub-contractors receiving 10 percent or 

greater of the award may apply to this 

program. If an applicant has received 

previous OHHLHC funding, the 

application must clearly explain why 

there remains a need for lead outreach 

in that jurisdiction. 

B. Authority. The authority for this 

program is Sections 1011(e)(8) and (g)(1) 

of the Residential Lead-Based Paint 

Hazard Reduction Act of 1992 (Title X 

of the Housing and Community 

Development Act of 1992), and the 

Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5, 

approved February 15, 2007). 

C. Changes in the FY 2007 

Competitive NOFA. Listed below are 

major changes from the FY 2006 Lead 

Outreach NOFA: 

1. The outreach and education 

categories have been merged and the 

technical assistance category of activity 

has been eliminated. 

2. Eligible outreach and educational 

activities are clearly identified and 

described. 

3. For this round of funding, higher 

points will be awarded to communities 

having confirmed elevated blood level 

(EBL) rates for children under 6 years of 

age equal to or greater than 2.5 percent 

and that track and report lead poisoning 

data. 

II. Terms of Award 

A. Available Funding 

Approximately $2 million from fiscal 

year 2007 and prior year funds is 

available under this program. HUD 

anticipates that approximately five to 

approximately eight cooperative 

agreements will be awarded, for a 

minimum of $200,000 and a maximum 

of $400,000 each for the entire period of 

performance. 

B. Type of Award and Period of 

Performance 

1. Awards will be made as 

cooperative agreements. 

2. The anticipated start dates for new 

awards is expected to be no later than 

October 1, 2007. The period of 

performance for awards will be 24 

months from the date of award. 

3. Period of performance extensions 

for delays due to exceptional conditions 

beyond the grantee’s control will be 

considered for approval by HUD in 

accordance with 24 CFR 84.25(e)(2) or 

85.30(d)(2), as applicable, and the 

OHHLHC Program Guide. If approved, 

grantees will be eligible to receive a 

single extension of up to 12 months in 

length. Although applicants are 

encouraged to plan projects with shorter 

performance periods than 24 months, 

you should consider the possibility that 

issues may arise that could cause delays 

when developing your schedule. 

III. Eligibility Information 

A. Eligible Applicants 

1. Academic, not-for-profit and forprofit institutions located in the United 

States, states and units of general local 

government, and federally recognized 

Native American tribes are eligible to 

apply. For-profit firms are not allowed 

to earn a fee (i.e., make a profit from the 

project). 

2. Current Lead-Based Paint Hazard 

Control, Lead Hazard Reduction 

Demonstration, or Operation Lead 

Elimination Action Program (LEAP) 

grantees, sub-grantees, entities, states or 

local governments receiving 10 percent 

or greater of the grant award are not 

eligible to apply to this program as 

applicants, sub-grantees, team members, 

contractors or sub-contractors in any 

capacity receiving 10 percent or greater 

of grant funds. Conversely, an entity 

may not apply under this NOFA or be 

a sub-grantee, sub-contractor, 

participant, or partner receiving 10 

percent or greater of grant funds. An 

entity that is an existing grantee, subVerDate Aug<31>2005 16:13 Mar 12, 2007 Jkt 211001 PO 00000 Frm 00137 Fmt 4701 Sfmt 4703 E:\FR\FM\13MRN2.SGM 13MRN2

rwilkins on PROD1PC63 with NOTICES_2
11570 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

grantee, sub-contractor or partner 

receiving 10 percent or greater of grant 

funds on another application or grant 

may not apply under this program in 

any role. Organizations that are ‘‘doing 

business as’’ a different organization are 

considered to be the same entity. 

Organizations may not qualify for 

eligibility by applying under a different 

name. 

B. Cost Sharing or Matching 

Requirements. A 10 percent match is 

required. Leveraging is encouraged. 

Applicants must provide a matching 

contribution of at least 10 percent of the 

requested cooperative agreement sum. If 

an applicant does not include proper 

documentation of the minimum 10 

percent match requirements in the 

application, it will be considered 

ineligible for an award and will not be 

reviewed. Matching contributions may 

be in the form of cash or in-kind (noncash) contributions or a combination of 

these sources. Matched resources must 

be used only for eligible activities. With 

the exception of Community 

Development Block Grant (CDBG) 

funds, or other programs that only allow 

their funds to be considered local funds 

and therefore eligible to be used as 

matching funds, federal funds may not 

be used to satisfy any statutorily 

required matching requirement, as 

applicable. Federal funds may be used, 

however, for contributions above the 10 

percent match requirement, provided 

that these funds are used only for 

eligible activities under the Lead 

Outreach program. The applicant must 

submit a letter of commitment for the 

match or leverage from each 

organization other than itself that is 

providing match or leverage, whether 

cash and/or in-kind. The letter must 

indicate the amount and source of the 

match, and detail how the matching 

funds will be specifically dedicated to 

and integrated into supporting the 

proposed cooperative agreement 

program. The signature of the 

authorized official on the Form SF–424 

commits proposed matching or other 

contributed resources of the applicant 

organization. A separate letter from the 

applicant organization is not required. 

C. Other 

1. Threshold Requirements. 

Applicants must also meet the threshold 

requirements of the General Section, 

including the Civil Rights threshold. 

2. Policies applicable to all activities 

in this NOFA. 

a. Each awardee will be assigned a 

GTR (Government Technical 

Representative) who will provide 

oversight and approve grantees’

activities and deliverables. 

b. Awardees must use existing 

outreach, training and technical 

assistance documents unless they can 

adequately justify in their application 

that a great need exists in their 

community to substantively modify 

existing documents or create new ones. 

Before creating a new product (such as 

a brochure, curriculum or technical 

document), grantees must investigate if 

a similar item already exists and can be 

used or revised with a level of effort 

lower than would be spent creating a 

new equivalent product. Applicants 

must ensure that materials are 

appropriate for the target populations, 

including persons with Limited English 

Proficiency (LEP), and for visually 

impaired or other disabled persons (see 

Eligible Activities, below). All new 

products and adaptations/translations 

must be submitted to HUD as 

deliverables, in electronic format 

suitable for web posting. 

c. For use under this program, all 

documents in languages other than 

English must be culturally neutral 

(understandable by speakers of all 

dialects of the target language). For a 

new translation to be acceptable, 

grantees must provide evidence that 

translators are certified by the American 

Translators Association. Awardees are 

responsible for first determining if a 

translation already exists. Quality 

reviews are required for all translations. 

Reimbursements will not be allowed for 

translations of federal documents that 

have previously been translated into the 

target language. 

d. HUD has noted that during prior 

funding rounds, some applicants to this 

program have not met all requirements 

for application content and submission. 

HUD recommends that applicants use 

and follow the application checklist in 

this NOFA to help them identify any 

missing elements and complete the 

application before it is submitted. No 

information may be submitted after the 

deadline date except under the 

threshold review process. Although 

applications with curable deficiencies 

are offered an opportunity at threshold 

review to submit certain information to 

cure these deficiencies, non-curable 

deficiencies are not correctable and may 

disqualify an application. (See General 

Section.) 

3. Eligible Activities. Consideration 

will only be given to proposed activities 

that are specifically listed as eligible in 

this NOFA. Other work activities are 

ineligible. All activities must address 

childhood lead poisoning prevention 

(primarily from lead-based paint in 

housing) and/or control at the national, 

regional, and/or local levels. If an 

activity or training curriculum is not 

specifically listed below, it may not be 

used. The following section lists 

specific eligible activities. 

a. Door-to-door canvasses, smallgroup meetings, community meeting 

visits, health fairs, conducting 

presentations or speaking engagements 

to inform the public and owners of 

housing, including owners receiving 

rehabilitation or other tax credits, about 

programs that can assist in control of the 

identified lead hazards, and other 

activities to publicize or conduct events 

that highlight lead hazards in the home 

environment; 

b. Earned media (no-cost public 

service announcements), news stories in 

radio, print, or TV to raise public 

awareness and promote name 

recognition for treatment programs; 

c. Advertising (paid ads on buses, 

billboards, etc.); 

d. Use of collateral materials and 

campaign props and incentives. These 

materials include outreach brochures 

and printed materials, visual 

presentations, giveaways with outreach 

providers’ phone numbers/contact 

information, mascots, cleaning kits, 

meals not to exceed $10 in value per 

meal per person, etc. The use of 

appropriate training materials is also 

eligible, but training materials are not 

considered to be collateral materials, 

props or incentives. (See paragraph 

III.C.3.o., Eligible Activities, below.) 

Outreach materials and props can 

support general lead outreach and 

education efforts. However, the budget 

must include details of the items 

including cost per item. All 

expenditures made by a grantee must be 

linked to specific outreach activities and 

listed in the approved budget; 

e. Development and maintenance of 

infrastructure and support such as 

telephone hotlines and Web sites; 

f. Entering into working arrangements 

with regional/local non-profit 

organizations, including grassroots 

community-based organizations, faithbased organizations; chambers of 

commerce; public and private social 

service agencies; corporations, retailers, 

construction organizations, or unions 

for the purpose of coordinating or 

conducting joint outreach activities; 

g. Other outreach activities designed 

to disseminate information to targeted 

populations identified as being at-risk of 

lead poisoning; 

h. Making materials available in 

alternative formats for persons with 

disabilities (e.g., Braille, audio, large 

type) upon request, and providing 

materials in languages other than 

English that are common in the 

community, consistent with HUD’s 

published Limited English Proficiency 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11571 

(LEP) Recipient Guidance, 68 FR 70968 

(see above); 

i. Program administration in 

accordance with the guidelines 

established under funding restrictions; 

j. Program evaluation and assessment 

activities to improve the effectiveness of 

present and future outreach efforts and 

to measure whether efforts have 

successfully been targeted to at risk 

populations; 

k. Innovative use of funds to outreach 

and education to regional/local 

community groups, residents, and other 

appropriate community stakeholders to 

resolve regional/local lead poisoning 

problems, as approved by the GTR; 

l. Delivery of HUD-approved (or stateapproved, as applicable) Lead Safe 

Work Practices (Interim Controls), EPAor state-approved lead training, Lead 

Awareness training curricula, or visual 

assessment training, for the target 

audience(s); 

m. Training regional/local residents 

and businesses, including retail paint 

sales associates and managers, on 

identifying and preventing lead-based 

paint hazards, and lead safe 

maintenance and renovation work 

practices, etc.; 

n. Educating tenants, owners, housing 

inspectors, and others about HUD’s lead 

safety regulations, including the Lead 

Disclosure Rule and Lead Safe Housing 

Rule (24 CFR part 35), regional/local 

building codes, and HUD’s Housing 

Quality Standards (HQS) and Uniform 

Physical Condition Standards (UPCS), 

as applicable; 

o. Training curriculum design, 

development, maintenance and 

evaluation; preparing, distributing 

appropriate training materials, 

including photographs, other graphics 

and visual presentations (compliance 

with copyright and trademark laws is 

the responsibility of the grantee); 

p. Applying for or maintaining EPA, 

State or HUD approval of training 

program (as applicable); 

q. Promoting or marketing training 

courses directly or through partnerships 

with organizations conducting outreach; 

r. Delivery of formal or one-on-one or 

group educational or training sessions 

in classrooms, homes or other locations; 

s. Delivery of informal one-on-one or 

group educational sessions, workshops 

or demonstrations in homes or other 

locations (cleaning techniques, etc.); 

t. Participation in training-related 

partnerships and task forces; and, 

u. Auditing course delivery, training, 

mentoring and evaluating trainers to 

increase lead safety training capacity. 

IV. Application and Submission 

Information 

A. Address to Request Application 

Package. All the information required to 

submit an application can be 

downloaded from the web at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. Consult the 

General Section for more information. If 

you have difficulty accessing the 

information, you may call the 

Grants.gov helpline toll-free at (800) 

518-GRANTS or e-mail Support@grants.

gov. 

B. Content and Form of Application 

Submission 

1. Application Format. Because of the 

electronic submission process, 

proposals must conform to the 

formatting requirements below to be 

eligible. All material submitted must be 

required or be in support of the 

narrative response to the rating factors. 

Any material, whether required or 

supplemental, that is not properly 

located in the application, and 

referenced and discussed within the 

narrative statement as described below, 

will not be rated. The narrative response 

to all rating factors (see below) must be 

submitted within a single electronic file 

within the zip file attached to the 

application. The narrative response to 

the five rating factors may not exceed 25 

pages (excluding required additional 

materials and worksheets, see below) 

equivalent to one-side only on 81⁄2 x 11 

inch paper using a standard 12-point 

font with not less than 3⁄4-inch margins 

on all sides. Each attachment or 

appendix must be an individual 

electronic file. All pages must be 

numbered in order starting with the 

cover page and continuing through the 

appendices. HUD is not responsible for 

electronic transmission errors or 

omissions. Applicants are responsible 

for verifying the successful transmission 

of all documents submitted with their 

applications. 

2. Prohibition on Materials Not 

Required. Submission of materials other 

than those specified as allowable by this 

NOFA are prohibited. Reviewers will 

not consider resumes (other than those 

called for in response to the rating 

factors), reports, charts, letters, or any 

other documents attached to the 

application. 

3. Required Application Contents. 

Applications must contain all of the 

information required by this NOFA, 

including the following items: 

a. Application Abstract. An abstract is 

required. It may not exceed 2 pages of 

81⁄2 x 11 inch paper using a standard 12- 

point font with not less than 3⁄4inch 

margins on all sides in length, and must 

summarize the proposed project, 

including the objectives, proposed 

activities and expected results, the 

dollar amount requested, and contact 

information for the applicant and 

project partners. Information contained 

in the abstract will not be considered in 

the evaluation and scoring of your 

application. Any information you wish 

considered should be provided under 

the appropriate rating factor. The 2-page 

abstract will not be included in the 25- 

page limit of the application. 

The abstract will be used for 

developing the news release to the 

public if the application is funded. 

b. Narrative Response. A narrative 

statement with supporting required 

forms and other documents addressing 

the five rating factors for award is 

required. This portion of the application 

consists of a narrative response to each 

of the five rating factors (total 25-page 

limit), specific HUD-required forms 

documents (which do not count toward 

the page limit), and optional 

supplemental material (20-page limit). 

Pages in excess of these limits will not 

be read. Each of Rating Factors 1–5 has 

an associated required form (HUD–

96012, HUD–96013, HUD–96014, HUD–

96015, and HUD–96010, respectively) 

that does not count toward the page 

limits, and must be located immediately 

after the response to that rating factor 

(see list of forms, below). You are 

advised to review each factor carefully 

for program specific requirements. The 

response to each factor should be 

concise and contain only information 

relevant to the factor, but detailed 

enough to address each factor fully. 

Please do not repeat material in 

response to the five factors; instead, 

focus on how well the proposal 

responds to each of the factors. In 

factors where there are sub-factors, each 

sub-factor must be presented separately. 

All information relative to a given 

rating factor MUST be contained in the 

narrative for that rating factor. If it is 

found in a different rating factor, IT 

WILL NOT BE CONSIDERED. In 

addition, supplemental material that is 

not referenced and discussed within 

that portion of the narrative will not be 

considered. 

c. In addition to the abstract and 

narrative response described above, the 

following materials (which do not count 

toward the page limits) must be 

included in the locations specified: 

resumes, process flow diagram for the 

project (not the employer’s 

organizational chart), budget, and other 

required forms. The standard forms can 

be found in the application package on 

Grants.gov. 


rwilkins on PROD1PC63 with NOTICES_2
11572 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(1) Resumes and a process flow 

diagram for your project must be placed 

immediately following the narrative 

response to Rating Factor 1. Resumes for 

project director, day-to-day program 

manager and up to 3 key personnel 

(limited to 3 pages per resume) are 

required. (See Rating Factor 1.) 

(2) Include a detailed budget for any 

sub-contractors, sub-grantees, or subrecipients receiving greater than 10 

percent of the federal budget request. 

Use the budget format discussed in 

Rating Factor 3. 

(3) Form HUD–96010, Logic Model 

(See Rating Factor 5). 

(4) General letters of support will not 

be considered and are discouraged. 

d. Applicants are encouraged to use 

the following checklist to ensure that all 

required materials have been prepared 

and submitted. Do not submit the 

checklist (see below) with the 

application. 

Checklist for Applicants 

Abstract (Limited to 2 Pages) 

Required Information Supporting Rating 

Factors 

1. Capacity of the Applicant and 

Relevant Organizational Experience, 

plus Form HUD–96012; Resumes of 

Proposed Project Director, Day-to-day 

Program Manager and up to 3 Key 

Personnel; Project Organization Chart. 

2. Need/Extent of the Problem, plus 

Form HUD–96013. 

3. Soundness of Approach, plus Form 

HUD–96014; budget forms and narrative 

budget justification. 

4. Matching and Leveraging Resources 

plus Form HUD–96015, Leveraging 

Resources, Letters of Commitment 

attached immediately after Rating Factor 

4. 

5. Achieving Results and Program 

Evaluation plus Form HUD–96010 Logic 

Model. 

Additional Material Supporting the 

Rating Factors (attachments, 

appendices, etc.: 20-page limit) 

Complete Checklist of Required Forms 

and Budget Material 

1. Form SF–424 (Application for 

Federal Assistance). 

2. Form HUD–CBW (Detailed Budget 

Worksheet). 

3. Form SF–424 SUPP (Faith Based 

EEO Survey) (to be completed by private 

nonprofit organizations only). 

4. Form SF–LLL (if applicable) 

(Disclosure of Lobbying Activities). 

5. Form HUD–2880 (Applicant 

Recipient Disclosure Report). 

6. Form-2990 Certification of 

Consistency with the RC/EZ/EC/II 

Strategic Plan (required only for 

applicants who are seeking these bonus 

points). 

7. Form HUD–2994A You Are Our 

Client Grant Applicant Survey 

(Optional). 

8. Form HUD–27300 HUD 

Communities Initiative (if applicable) 

(up to 2 points can be awarded). 

9. Form HUD–96011 Facsimile 

Transmittal, for electronic applications 

(used as the cover page to transmit 

third-party documents and other 

documentation designed for each 

specific application for tracking 

purposes. HUD will not read faxes that 

do not use the HUD–96011 as the cover 

page to the fax). 

C. Submission Dates and Times 

Application Submission Dates: 

Applications must be received and 

validated by Grants.gov by 11:59:59 

p.m. eastern time on the deadline date. 

Refer to the General Section for 

additional requirements including 

registration requirements, deadline 

dates, Grants.gov validation, proof of 

delivery, and other information 

regarding electronic application 

submission via http://www.grants.gov. 

D. Intergovernmental Review. Not 

applicable to this program. See 24 CFR 

Part 52. 

E. Funding Restrictions. 

1. Administrative Costs. There is a 10 

percent maximum allowance for 

administrative costs. Additional 

information about allowable 

administrative costs is provided in 

Appendix A and can be downloaded 

with this application from http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. Eligible 

administrative costs include leases for 

office space, under the following 

conditions: 

a. The lease must be for existing 

facilities not requiring rehabilitation or 

construction; 

b. No repairs or renovations of the 

property may be undertaken with 

federal funds: 

c. Properties in the Coastal Barrier 

Resources System designated under the 

Coastal Barrier Resources Act (16 U.S.C. 

3501) cannot be leased with federal 

funds. 

2. Indirect Costs. You must comply 

with Indirect Cost requirements. 

Guidelines for indirect cost 

requirements are provided in Appendix 

B and may be downloaded as part of 

your application package from http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

3. HUD will not fund the following 

ineligible activities: 

a. Purchase of real property. 

b. Purchase or lease of equipment 

having a per-unit cost in excess of 

$5,000, unless prior written approval is 

obtained from HUD. 

c. Identification of lead-based paint or 

lead-based paint hazards, hazard 

reduction (including, interim controls or 

abatement), rehabilitation, remodeling, 

maintenance, repair, or any other 

construction work, blood lead testing of 

adults or children, laboratory analysis, 

medical treatment, clearance 

examinations and visual assessment. 

d. Renovations or construction work 

on office space leased for the program. 

e. Activities required in order to fulfill 

court orders or consent decrees, 

settlements, conciliation agreements, or 

other compliance agreements. 

F. Other Submission Requirements 

1. Applications are required to be 

received and validated electronically via 

the Web site http://www.grants.gov. See 

Section IV of the General Section for 

additional information on the electronic 

process. Waivers may only be granted 

for cause. See General Section for 

further discussion. 

2. Waiver of Electronic Submission 

Requirements. Applicants should 

submit their waiver requests in writing 

by e-mail. Waiver requests must be 

submitted no later than 15 days prior to 

the application deadline date and 

should be submitted to Jonnette 

Hawkins, Director, Program 

Management and Assurance Division, 

Office of Healthy Homes and Lead 

Hazard Control, 

Jonnette_G._Hawkins@hud.gov. 

V. Application Review Information 

A. Criteria 

1. Threshold Requirements. 

Applications that meet all of the 

threshold requirements will be eligible 

to be scored and ranked, based on the 

total number of points allocated for each 

of the rating factors described in Section 

V.A.3 of this NOFA. Your application 

must receive a total score of at least 75 

points to be considered for funding. 

2. Award Factors. Each of the five 

factors is weighted as indicated by the 

number of points that are assigned to it. 

The maximum score that can be attained 

is 100 plus 2 possible bonus points. 

Applicants should be certain that each 

of these factors is adequately addressed 

in the project description and 

accompanying materials. 

3. Rating Factors for All Categories. 

a. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Experience (20 points). This factor 

includes information about the 

organization, its individual employees 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11573 

and partners, and past performance. 

Higher points will be given for more 

recent, relevant experience of high 

quality. The following areas will be 

evaluated: organizational capacity, 

experience and past performance, 

individual staff and participants’

qualifications including education and 

experience, and specific qualifications 

related to the categories of activities 

under this NOFA. Applicants should 

not explain their work plans in this 

rating factor response, but should 

demonstrate the ability and 

commitment of its organization as a 

whole and the individuals proposed to 

serve on this project. 

(1) Organizational Experience. This 

sub-factor addresses the extent to which 

the applicant’s organization has the 

organizational experience necessary to 

successfully implement the proposed 

activities in a timely manner. HUD will 

evaluate the organization’s experience 

in initiating, implementing, and 

evaluating related outreach, health 

education and training and recruitment 

projects, or solving community 

problems directly related to this 

program. In rating this sub-factor, HUD 

will consider the extent to which the 

proposal demonstrates organizational 

experience that is recent and relevant. 

HUD will consider organizational 

experience within the last 5 years to be 

recent and experience pertaining to 

activities of similar scope to be relevant. 

(a) Describe whether you have 

sufficient personnel, or will be able to 

quickly hire qualified experts or 

professionals to begin your proposed 

project within 30 days of award, if 

funded. 

(b) Describe how the principal 

components of your project organization 

will participate in, or support, your 

project, and how you propose to 

coordinate with your partners. Include a 

project-specific organizational chart 

indicating the organizational capacities 

of and interrelationships among the 

various entities involved in the project. 

Do not provide an organization chart of 

your employer unless it meets the 

project-specific criteria described above. 

(c) Past performance in previous 

projects with an emphasis on health 

education, outreach and recruitment, 

training and education, or technical 

assistance. This sub-factor evaluates the 

extent to which an applicant has 

performed previous work successfully. 

Provide details about the nature of 

projects performed through grants or 

contracts. Applicants failing to disclose 

previous grants or contracts with 

OHHLHC or HUD may be deemed 

ineligible for award. To receive 

maximum points for this factor, 

applicants must provide the following 

specific information: 

(i) A detailed list outlining the period 

of performance, achievement of specific 

tasks, measurable objectives 

(benchmarks) and outcomes consistent 

with the approved timeline/work plan 

and budget; 

(ii) If any applicant, proposed partner, 

contractor, sub-contractor or subrecipient intending to receive 10 percent 

or greater of the award funding has had 

previous OHHLHC grant funding, the 

application must provide details about 

the level of performance on that grant, 

clear justification as to why additional 

funds are requested at this time and 

explanation regarding the local lead 

poisoning surveillance and a tracking 

system. If the jurisdiction has no local 

system for tracking and reporting blood 

lead data, do not enter any EBL data on 

HUD-Form 96013 (see Rating Factor 2, 

Need/Extent of the Problem). 

(iii) Comparison of previous awards’

proposed match or leveraged resources 

compared to what was actually 

matched; and, 

(iv) A detailed list outlining the 

timeliness and completeness of 

complying with all reporting 

requirements. In addressing timeliness, 

compare when reports were due with 

when they were actually submitted. 

(2) Individual Qualifications: 

(a) Project Director and Day-to-Day 

Project Manager. OHHLHC considers 

these to be among the most important 

individuals working on its grants. 

Programs that do not experience 

vacancies or high turnover in these 

important positions typically have 

levels of performance and success that 

are higher than those of programs 

having vacancies or high turnover. 

Identify by name the individuals 

proposed to serve as the overall project 

director and day-to-day project manager. 

The terms ‘‘Project Director’’ and ‘‘Dayto-Day Project Manager’’ must be used 

consistently in the application to earn 

points for individuals having these 

responsibilities, regardless of their 

current employer-assigned position 

titles. Describe their individual 

qualifications that will enable them to 

function effectively in their assigned 

roles, including knowledge, work 

experience, management experience, 

education, training, and publications. 

Include specific projects they have 

performed involving planning and 

managing large and complex 

interdisciplinary outreach or 

educational programs, especially those 

involving housing, public health, or 

environmental initiatives. 

(b) Other Key Personnel. Identify by 

name and position up to three 

additional key personnel. In this rating 

factor response, provide the individual 

qualifications, experience, percentage 

commitment to the project, salary costs 

to be paid by funds from this program, 

and role in the proposed project for each 

key personnel. You must provide 

resumes (or position descriptions and 

copies of job announcements including 

salary range, for vacant positions) for 

the project director, day-to-day project 

manager, and up to three additional key 

personnel to receive maximum points 

for this rating sub-factor. 

(c) Sub-recipients (sub-grantees, subcontractors and consultants). Include 

descriptions of their experience and 

qualifications. Detail their grant and 

financial management experience. You 

may find it useful to include a table 

indicating the name, position and 

percentage contribution of participating 

individuals, specifying organizational 

affiliation. Describe who is responsible 

for quality control of processes and 

materials produced by sub-recipients. 

(3) In addition to other eligibility 

criteria and knowledge of OHHLHC’s 

grant programs, applicants must also 

demonstrate specific capacity as 

follows: 

(a) Outreach Providers: Specific 

capacity to provide outreach services, 

such as holding community meetings, 

health fairs, adapting printed materials, 

writing public service announcements, 

etc. Applications that include 

development and distribution of media 

products in languages other than 

English must include a discussion of the 

applicant’s (or sub-grantee’s/ 

contractor’s) expertise in those 

languages and in meeting the 

informational needs of non-Englishspeaking, underserved populations. 

Outreach grantees involving face-to-face 

interaction with the community should 

have staff that are well-trained, 

motivated, committed to the program, 

and reflect the characteristics of the 

target community. 

b. Rating Factor 2: Need/Extent of the 

Problem (10 Points). This factor 

addresses the extent to which there is a 

need for funding the proposed program 

activities and an indication of the 

importance of meeting the need(s) in the 

target area. In this round of funding, 

HUD is targeting those communities 

with significant numbers of lead 

poisoned children. All applicants are 

encouraged to target minority 

populations and utilize minority media 

in an effort to achieve diversity in 

outreach and educational efforts. The 

proposal will be evaluated on the extent 

to which the level of need for the 

proposed activities and the importance 

of meeting the need(s) are documented. 


rwilkins on PROD1PC63 with NOTICES_2
11574 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

To earn any points for this factor, the 

data used must be specific to the area 

where the proposed activities will be 

carried out (for projects with specific 

regional/local target areas, do not apply 

the data to the entire regional/locality or 

state). To receive maximum points for 

this factor, proposals must demonstrate 

that the target area(s) has a rate of 

elevated blood lead levels in children 

up to age six of 2.5 percent or greater. 

Lead poisoned children are children up 

to age 6 (72 months) who are tested and 

have confirmed blood lead levels of at 

least 10 micrograms per deciliter (μg/ 

dL). For this program, the confirmed 

EBL rate is the total number of 

confirmed cases expressed as a 

percentage of the total number of 

children tested. 

In order to receive maximum points, 

proposals addressing one or a few 

communities must explain how the 

targeted community’s(ies’) Five Year 

Consolidated Plan(s) and Analysis(es) of 

Impediments to Fair Housing Choice 

(AI) identify the level of the problem 

and the urgency in meeting the need. 

Only communities whose Consolidated 

Plans identify lead-based paint hazards 

in housing as a serious problem and 

have a clear implementation strategy for 

meeting this need will receive 

maximum points for this rating factor. 

Communities having Consolidated Plans 

that indicate the most serious needs and 

present the clearest strategies will 

receive higher points for this rating 

factor. 

To demonstrate these needs, 

applicants must use surveys or other 

analyses contained in at least one or 

more current and reliable data sources. 

In rating this factor, HUD will consider 

data collected within the last five (5) 

years and published by government 

agencies or peer-reviewed journals to be 

current and reliable. Sources for 

regional/localized data can be found at: 

http://www.ffiec.gov. Other reliable 

sources of data include, but are not 

limited to, Census reports, HUD 

Continuum of Care gap analysis and its 

E-Map (to find additional information, 

go to HUD’s Web site: http:// 

www.hud.gov/emaps), Comprehensive 

Plans, community needs analyses such 

as provided by the United Way, and 

other sound, reliable, and appropriate 

sources. 

c. Rating Factor 3: Soundness of 

Approach (40 Points). This factor 

contains three sub-factors: 

(1) your goals and objectives; 

(2) the quality and cost-effectiveness 

of your proposed work plan; and, 

(3) proposed budget. 

Before developing a work plan, 

applicants should review the activities 

that are not eligible under this program, 

as described in Section IV.E.3, above. 

No points will be awarded for ineligible 

activities. Higher points will be given to 

applications that contain approaches 

with clearly articulated goals, activities 

and sub-activities, and demonstrate a 

logical progression of implementation 

steps. 

(1) Project Goals (10 Points). Describe: 

(a) The goals and objectives for your 

project based on the need described 

under Rating Factor 2, and 

(b) How proposed activities would 

address your goals and HUD’s policy 

priorities. 

See the General Section for 

information on HUD’s policy priorities. 

The policy priorities that are applicable 

to the Lead Outreach NOFA and that are 

eligible for one point each are: (1) 

Improving our Nation’s Communities 

(focus on distressed communities); and 

(2) Providing full and equal access to 

grass-roots, faith-based and other 

community-based organizations in HUD 

program implementation. Removal of 

regulatory barriers to affordable housing 

is eligible for up to 2 points provided 

the required documentation, as 

specified in form HUD 27300 (HUD 

Communities Initiative), is part of the 

application submission to HUD. 

Applicants may also provide a Point of 

Contact Name and phone or email 

address and the required documentation 

as noted in the form HUD 27300. You 

may provide a URL for a Web site where 

the required documentation is readily 

accessible for use. 

(2) Work Plan (20 Points). HUD will 

award maximum points for this subfactor to applications that demonstrate a 

high probability of success of the 

program, convey the significance of the 

tasks identified, and propose realistic 

time frames. This portion of the 

response will be evaluated based on the 

extent to which the proposed work plan 

demonstrates the following: 

(a) The general approach and overall 

strategy; 

(b) Specific, measurable and timephased objectives for each major 

program activity, accompanied by a 

complementary schedule indicating 

proposed date(s) of completion (in 

three-month intervals); 

(c) Specific services and/or activities. 

The work plan must identify all major 

tasks and list all proposed activities in 

sequential order. For maximum points, 

the activities must correlate to the needs 

explained in the narrative response to 

Rating Factor 2. All activities under this 

program must assist the regional/local 

area to develop or implement a strategy 

to eliminate lead poisoning, target atrisk populations or areas, and 

implement programs to meet those 

populations’ information needs. In 

addition, grantees’ regular, routine 

activities must provide information to 

owners and low-income occupants 

about regional/local resources for 

housing rehabilitation and lead hazard 

control programs. 

Describe in detail how you will 

identify and serve participants receiving 

services, especially participants in highrisk groups and communities, 

vulnerable populations and persons 

traditionally underserved. Include a 

brief, concise outreach strategy or 

marketing plan, as applicable, in the 

work plan and list on the Logic Model 

(submitted under Rating Factor 5). To 

receive maximum points, you must: 

(i) Identify your approaches to 

overcoming poor response, attendance 

or participation difficulties and explain 

how you will ensure that proposed 

activities do not duplicate activities by 

others for the target area previously 

completed or currently underway; 

(ii) Identify the personnel responsible 

for major tasks; 

(iii) Describe your products or outputs 

and expected outcomes or impacts; 

(iv) Describe your proposed methods 

to research existing materials or develop 

new ones, and print and disseminate 

materials for outreach or training. (Note: 

All products to be distributed to the 

public, whether in hard copy or 

electronic format, must be submitted to 

HUD for review and in final form as 

deliverables in electronic format 

suitable for web posting.) 

(v) Describe how you will ensure that 

materials will be of consistently high 

quality and technically sound; 

(vi) Describe the plan to manage the 

project. Include details about the 

management and financial systems, and 

how you will track and ensure the costeffectiveness of expenditures and will 

link them to specific activities; 

(vii) Describe how you propose to 

coordinate with HUD field offices and 

HUD program personnel, as applicable, 

in your application; and 

(viii) Describe how you will make 

materials available in alternative 

formats for persons with disabilities 

(e.g., Braille, audio, large type) upon 

request, and provide materials in 

languages other than English that are 

common in the community, consistent 

with HUD’s published Limited English 

Proficiency (LEP) Recipient Guidance, 

68 FR 70968. 

(d) Outreach providers must follow 

these specific program requirements: 

(i) Increase lead awareness among the 

general public; 

(ii) Provide information to owners and 

low-income occupants about regional/ 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11575 

local resources for housing 

rehabilitation and lead hazard control 

programs; and 

(iii) Create a detailed outreach 

strategy as part of their work plan. 

(e) Training providers must follow 

these specific program requirements: 

(i) Meet a documented regional/local 

need to develop a sustainable capacity 

of lead safety trained workers and/or 

EPA-or state-certified lead professionals; 

(ii) Have underserved and minority 

populations as the primary target 

audience; 

(iii) Provide information to owners 

and low-income occupants about 

regional/local resources for housing 

rehabilitation and lead hazard control 

programs; 

(iv) Perform structured education of 

other groups about lead poisoning 

prevention and control; 

(v) Target a specific, appropriate 

audience; 

(vi) Use a HUD-approved curriculum 

for all interim controls training and 

specify in the application all training 

materials to be used; 

(vii) Provide plans for sustainability 

including train-the-trainer programs; 

(viii) Design the course materials as 

’’step-in’’ packages so that HUD or other 

training providers may independently 

conduct the course on their own; 

(ix) Make the course materials 

available to the GTR in sufficient time 

for review (minimum of three weeks), 

for you to provide revision, and for the 

GTR to provide concurrence on the 

content and quality prior to delivery; 

(x) Provide all course materials in an 

electronic format that will permit wide 

distribution among field offices, and 

HUD grantees (see the General Section 

for information on formats acceptable to 

HUD); 

(xi) Arrange for delivery of the 

training with HUD participation when 

requested by the GTR; 

(xii) Establish minimum enrollments 

for deliveries of training courses; 

implement and disseminate fair course 

cancellation policies; 

(xiii) Deliver HUD-approved training 

courses that have been designed and 

developed by others on a ’’step-in’’ basis 

when requested; and 

(xiv) For Interim Controls (Lead Safe 

Work Practices), training providers must 

comply with HUD’s Interim Criteria to 

Evaluate Training Courses in Lead Safe 

Work Practices (http://www.hud.gov/ 

offices/lead). The costs associated with 

attending these required sessions are 

eligible under the grant. 

(f) Institutionalization (applies to all 

applicants). All applicants must provide 

a detailed description of how the 

applicant plans to mainstream or 

continue integrating lead poisoning 

prevention into its regular, permanent 

programs. To evaluate 

institutionalization, HUD will evaluate 

the extent to which the applicant (and 

partners) demonstrate: 

(i) Other lead poisoning prevention 

projects that are locally funded; 

(ii) Specific examples of and the 

degree of implementation of the Lead 

Safe Housing Rule in the jurisdiction’s 

publicly-funded housing programs, as 

applicable; 

(iii) Commitment to undertake project 

activities in the future; 

(iv) Support and involvement of the 

applicant’s organizational leadership; 

and 

(v) Commitment to include leadrelated work in decisions affecting 

policy and program development. 

(3) Budget Justification (10 Points). 

HUD is not required to approve or fund 

all proposed activities. Your budget will 

be evaluated for its reasonableness, clear 

justification, and consistency with the 

work plan. Submit a narrative 

justification associated with the budget 

that explains all budget categories and 

costs for each major task of the work 

plan and that does not simply repeat the 

budget numbers in the narrative. 

Identify the source of funds as HUD, 

applicant match, or third-party (partner) 

leverage. Each budget page should 

identify the entity and project year to 

which it applies. Higher points will be 

awarded for greater percentages of subcontracting and substantive work 

performed by bona fide and legitimate 

grassroots organizations, including 

faith-based and other community-based 

non-profit organizations, Fair Housing 

Organizations, advocates for various 

minority and ethnic groups, and persons 

with disabilities. Applicants should 

note that national-level organizations 

are not considered by HUD to be 

grassroots organizations, which are 

generally small, local groups with social 

services budgets less than $300,000. In 

completing the budget forms and 

justification, you should address the 

following specific elements: 

(a) Direct Labor. Direct Labor costs 

should include all full- and part-time 

staff required for the planning and 

implementation phases of the project. 

These costs should be based on full-time 

equivalent (FTE) or hours per year 

(hours/year) (i.e., one FTE equals 2,080 

hours/year); 

(b) Travel to HUD Meetings. You 

should budget for one trip annually to 

HUD Headquarters in Washington, DC, 

planning each trip for two people for 2 

or 3 days, depending on your location; 

(c) Sub-grantee and Sub-recipient 

Budgets. Without exception, a separate 

budget proposal must be provided for 

any sub-recipient(s) receiving greater 

than 10 percent of the total federal 

budget request; 

(d) Provide supporting documentation 

for salaries and cost of materials and 

equipment; and 

(e) Federally Negotiated Indirect Cost 

Rate, without exception. Organizations 

that have a federally negotiated indirect 

cost rate should provide documentation 

of that rate. Organizations not having a 

federally negotiated rate schedule must 

obtain a rate from their cognizant 

federal agency. Applicant and subgrantee budgets should reference only 

their own indirect cost rates. 

d. Rating Factor 4: Leveraging 

Resources (15 points). This factor 

evaluates the ability to: 

(1) Contribute allowable resources 

from your organization; (2) leverage 

(secure) other allowable public and/or 

private sector resources (such as 

financing, supplies, or services) that can 

be added to HUD’s funds to perform 

eligible activities; and, (3) sustain your 

proposed project from sources other 

than HUD at the end of the period of 

performance. This program has a 10 

percent match requirement. Higher 

points will be awarded for percentages 

of leveraged resources, compared to the 

amount of HUD funds requested. To 

receive points for leveraged resources 

above the 10 percent required match, all 

contributions committed for the period 

of performance, whether cash or inkind, must be expressed in dollar values 

and documented in a commitment letter 

(or memorandum of understanding, or 

agreement to participate) on official 

letterhead submitted with the 

application signed and dated by a 

responsible official legally able to make 

commitments on behalf of the 

organization, from each contributing 

organization (except that leveraging 

from the applicant’s own resources does 

not require a letter of commitment). The 

letter must describe the contributed 

resource(s) that will be used in your 

project, and roles and responsibilities as 

they relate to the proposed project. 

Letters must be submitted with your 

application. 

For more information on matching 

and leveraging resources, see Appendix 

C, which can be downloaded from 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. 

e. Rating Factor 5: Achieving Results 

and Program Evaluation (15 points). 

This rating factor reflects HUD’s goal to 

embrace high standards of ethics, 

management, and accountability. 

Describe in detail your Year 1, Year 2 

and Total goals. State clearly the project 

activities including specific goals 


rwilkins on PROD1PC63 with NOTICES_2
11576 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(outputs) of each activity and how you 

will achieve those goals. Describe how 

you will measure the results. Provide 

your goals, activities (outputs), 

outcomes and projected performance 

results (goals) for the entire grant 

period. In the narrative, explain how 

you will document and track your goals, 

program activities, and schedules. 

Identify the procedures you will follow 

to make adjustments to your work plan 

to improve performance if projected 

outputs and outcomes are not met 

within established timeframes. To 

receive maximum points for this rating 

factor, you must explain your plan to 

actively manage, not solely implement, 

the proposed program. All awardees 

will be required to use HUD’s Logic 

Model to report results. Grantees may 

also use a project management tool, to 

manage and evaluate the programs’

effectiveness and modify strategies as 

needed to achieve the greatest return on 

HUD’s investment. HUD has found that 

modest additional actions to gather 

information about results would enable 

grantees to better measure the impact of 

their outreach and education efforts. 

Outcomes that are vague or not 

measurable will not receive points. 

Applicants must complete and return 

the Logic Model Form HUD–90610. 

HUD is using a standardized ‘‘Master’’

Logic Model from which you can select 

needs, activities (outputs), and 

outcomes appropriate to your program. 

See the General Section for detailed 

information on use of the ‘‘Master’’

Logic Model. HUD is requiring grantees 

to use program-specific questions to 

self-evaluate the management and 

performance of their program. Training 

on HUD’s Logic Model and reporting 

requirements will be provided via 

satellite broadcast. In evaluating Rating 

Factor 5, HUD will consider how you 

have described the management and 

evaluation mechanisms, benefits, and 

outcome measures of your program. 

HUD will also consider the proposed 

objectives and performance objectives 

relative to cost and achieving the 

purpose of the program, as well as 

evaluation plan, to ensure the project is 

on schedule and within budget. 

Instructions for completing the Logic 

model are found in Tab 1 of the form 

HUD 96010. Training on the Logic 

Model is available via satellite broadcast 

and webcast. The training schedule can 

be found on http://www.hud.gov/ 

offices/admin/grants/fundsavail.cfm. 

f. Bonus Points for Federally 

Designated Zones and Communities (2 

points). HUD will award two bonus 

points to each application that includes 

a valid Form HUD–2990 certifying that 

the proposed activities/projects in the 

application are consistent with the 

strategic plan for an empowerment zone 

(EZ) designated by HUD or the United 

States Department of Agriculture 

(USDA), the tax incentive utilization 

plan for an urban or rural renewal 

community designated by HUD (RC), or 

the strategic plan for an enterprise 

community designated in round II by 

USDA (EC–II) and that the proposed 

activities/projects will be located within 

the RC/EZ/EC–II identified above and 

are intended to serve the residents. A 

listing of the RC/EZ/EC–IIs is available 

on the Internet at http://www.hud.gov/ 

cr. 

B. Reviews and Selection Process. 

1. The review and selection process is 

provided in the General Section. The 

General Section also provides the 

procedures for correcting deficient 

applications. 

2. Partial Funding. In the selection 

process, HUD reserves the right to offer 

partial funding to any or all applicants. 

If you are offered a reduced grant 

amount, you will have a maximum of 14 

calendar days to accept such a reduced 

award. If you fail to respond within the 

14-day limit, you shall be considered to 

have declined the award. Please see the 

General Section for a discussion of 

adjustments to funding that may be 

made by HUD during the selection 

process. 

3. Remaining Funds. See the General 

Section for HUD’s procedures if funds 

remain after all selections have been 

made. 

4. Minimum Points for Award. Your 

application must receive a total score of 

at least 75 points to be considered for 

funding. 

C. Anticipated Announcement and 

Award Dates. HUD anticipates 

announcing awards under this program 

no later than October 1, 2007. 

VI. Award Administration Information 

A. Award Notices 

1. Notice of Award. Applicants that 

have been selected for award will be 

notified by letter from the Office of 

Healthy Homes and Lead Hazard 

Control Grant Officer. The letter will 

state the program for which the 

application has been selected, the 

amount the grantee is eligible to receive, 

and the name of the Government 

Technical Representative (GTR). This 

letter is not an authorization to begin 

work or incur costs under the 

cooperative agreement. 

2. Negotiations. HUD may require that 

selected applicants participate in 

negotiations to determine the specific 

terms of the cooperative agreement, 

budget, and Logic Model. In cases where 

HUD cannot successfully conclude 

negotiations with a selected applicant or 

a selected applicant fails to provide 

HUD with requested information, an 

award will not be made to that 

applicant. In this instance, HUD may 

offer an award, and proceed with 

negotiations with the next highestranking applicant. If you accept the 

terms and conditions of the cooperative 

agreement, you must return your signed 

cooperative agreement by the date 

specified during negotiation. 

3. Award Adjustments. If funds 

remain after all selections have been 

made, the remaining funds may be 

redistributed or made available for other 

competitions. 

4. LOCCS Payment System. After 

receiving the letter, additional 

instructions on how to have the grant 

account entered into HUD’s Line of 

Credit Control System (LOCCS) 

payment system will be provided. Other 

forms and program requirements will 

also be provided. 

5. Start of Work. All awardees are 

expected to commence activity 

immediately upon completion of 

negotiations, and execution of the 

cooperative agreement. 

6. Applicant Debriefing. See the 

General Section for information 

regarding unsuccessful applicant 

debriefing. 

B. Administrative and National Policy 

Requirements 

1. Environmental Review. In 

accordance with 24 CFR 50.19(b)(2), 

(b)(3) and (b)(9), activities assisted 

under this program are categorically 

excluded from the requirements of the 

National Environmental Policy Act of 

1969 (42 U.S.C. 4321) and are not 

subject to environmental review under 

the related laws and authorities. 

2. HUD Reform Act of 1989. 

Applicants must comply with the 

requirements for funding competitions 

established by the HUD Reform Act of 

1989 (42 U.S.C. 3531 et seq.) as defined 

in the General Section. 

3. Audit Requirements. Any grant 

recipient that expends $500,000 or more 

in federal financial assistance in a single 

year must meet the audit requirements 

established in 24 CFR Parts 84 and 85 

in accordance with OMB Circular A–

133. In accordance with OMB Circular 

A–133 (Audits of States, Regional/local 

Governments and Non-Profit 

Organizations), grantees will have to 

submit their completed audit-reporting 

package along with the Data Collection 

Form (SF–SAC) to the Single Audit 

Clearinghouse, at the address obtained 

from their Web site. The SF–SAC can be 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11577 

downloaded at: http:// 

harvester.census.gov/sac/. 

4. Timely Hiring of Staff. HUD 

reserves the right to terminate awards 

made to recipients that fail to timely 

hire (within 30 days of award) staff to 

fill key positions identified in the 

applicant’s proposal as vacant. 

5. Executive Order 13202. Compliance 

with HUD regulations at 24 CFR 5.108 

that implement Executive Order 13202, 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects’’, is a 

condition of receipt of assistance under 

this NOFA. 

6. Procurement of Recovered 

Materials. See the General Section for 

further information. 

7. Conducting Business in Accordance 

with HUD Core Values and Ethical 

Standards. Refer to the General Section 

for information about conducting 

business in accordance with HUD’s core 

values and ethical standards. 

C. Reporting 

The following items are Post-Award 

Reporting Requirements: 

1. Final Budget and Work Plan. Final 

budget and work plans are due 60 days 

after the effective date of the cooperative 

agreement. 

2. Racial and Ethnic Data. HUD does 

not require Lead Outreach applicants to 

report ethnic and racial beneficiary data 

as part of their initial application 

package. However, such data must be 

reported on an annual basis, at a 

minimum, during the implementation of 

your grant agreement. You must report 

the data as described in the General 

Section and use the Office of 

Management and Budget’s Standards for 

the Collection of Racial and Ethnic Data, 

using Form HUD–27061, Racial and 

Ethnic Data Reporting Form, found on 

http://www.hudclips.org/sub_nonhud/ 

html/forms.htm along with instructions 

for its use. 

3. Progress reporting. Progress 

reporting is done on a quarterly and 

annual basis. For specific reporting 

requirements, see policy guidance at: 

http://www.hud.gov/offices/lead. 

OHHLHC awardees will submit 

quarterly reports via an on-line 

reporting system and will use the their 

Logic Model approved as part of the 

grant agreement to measure and report 

performance for each quarter. The 

quarterly report must reflect all 

benchmarks (output goals) and 

proposed outcomes (results) that are 

indicated on the Logic Model with an 

associated cost estimate. For FY 2007, 

HUD is considering a new concept for 

the Logic Model. The new concept is a 

Return on Investment (ROI) statement. 

HUD will be publishing a separate 

notice on the ROI concept. Deviations 

from projected outputs and outcomes, 

either positive or negative, should be 

reported in the Logic Model under the 

reporting Tab. The completed Logic 

Model showing output and outcome 

status must be submitted as part of the 

quarterly progress report. 

4. Final Report. An overall final 

cooperative agreement report, due at the 

completion of the cooperative 

agreement, will detail activities (e.g., the 

number of low-income housing units 

enrolled in lead hazard treatment 

programs as a result of activities 

performed under the cooperative 

agreement, number and type of 

materials produced, activities 

conducted, evaluation of the various 

outreach and educational methods used, 

findings, and recommended future 

actions at the conclusion of cooperative 

agreement activities). The final report 

shall include cumulative achievements, 

final project outputs, outcomes and 

results reported against the project’s 

Logic Model (Form HUD–96010) as 

approved and incorporated into your 

award agreement, including 

explanations of any deviations from 

projected levels of performance. 

VII. Agency Contacts 

For programmatic questions, you may 

contact Jonnette Hawkins, Office of 

Healthy Homes and Lead Hazard 

Control; telephone (202) 755–1785, 

extension 7593 (this is not a toll-free 

number) or via e-mail at 

Jonnette_G._Hawkins@hud.gov. For 

grants administrative questions, you 

may contact Mr. Royal Rucker, Office of 

Healthy Homes and Lead Hazard 

Control; telephone (202) 755–1785 

extension 7584 (this is not a toll-free 

number) or via e-mail at Royal_A._ 

Rucker@hud.gov. If neither of these 

individuals is available, you may 

contact the Office’s general Lead 

Regulations hotline, at (202) 755–1785, 

extension 7698. Your call will be 

forwarded in one business day for 

subsequent response by the appropriate 

staff. Hearing- or speech-challenged 

individuals may access these numbers 

through TTY by calling the toll-free 

Federal Information Relay Service at 

800–877–8339. 

VIII. Other Information 

A. For additional information about 

this NOFA, program, or for general, 

technical, and grant program 

information pertaining to the Office of 

Healthy Homes and Lead Hazard 

Control, visit: http://www.hud.gov/ 

offices/lead. 

B. Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2539–

0015. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 80 hours to prepare the 

application, 16 hours to finalize the 

cooperative agreement, and 32 hours per 

annum for grant administration 

(progress reporting) per respondent. 

This includes the time for collecting, 

reviewing, and reporting the data for the 

application, semi-annual reports, and 

final report. The information will be 

used for grantee selection and 

monitoring the administration of funds. 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

C. Appendices 

Appendices A, B, and C of this NOFA 

are available for downloading with the 

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

applicants/apply_for_grants.jsp. 


rwilkins on PROD1PC63 with NOTICES_2
11578 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.015</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11579 

Healthy Homes Demonstration Program 

Overview Informattion 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Healthy Homes and Lead 

Hazard Control (OHHLHC). 

B. Funding Opportunity Title: 

Healthy Homes Demonstration Program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–19, OMB Paperwork approval 

number 2539–0015. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): 14.901, 

Healthy Homes Demonstration Program. 

F. Dates: The application deadline 

date is May 18, 2007. Applications must 

be received and validated by Grants.gov 

no later than 11:59:59 pm eastern time 

on the application deadline date. See 

the General Section IV, regarding 

application submission procedures and 

timely filing requirements. 

G. Additional Information 

1. Purpose of the Program. The 

purpose of the Healthy Homes 

Demonstration Program is to develop, 

demonstrate, and promote cost-effective, 

preventive measures to correct multiple 

safety and health hazards in the home 

environment that produce serious 

diseases and injuries in children in lowand very low-income families. The 

Healthy Homes Demonstration program 

is committed to supporting the 

Departmental Strategic Goal of 

strengthening communities by 

addressing housing conditions that 

threaten health. As a part of this 

commitment, the Healthy Homes 

Initiative strives to reduce allergen 

levels in 5,000 units by 2011, and 

correspondingly, reduce asthmatic 

episodes for 3,000 children living in 

those units. 

2. Available Funds. HUD anticipates 

that approximately $5,000,000 in fiscal 

year 2007 and prior year funds will be 

available. 

3. Anticipated Awards. 

Approximately five to seven cooperative 

agreements will be awarded for a 

maximum of $1,000,000 each for the 

entire period of performance. 

4. Eligible Applicants. Not-for-profit 

institutions and for-profit firms state 

and local governments, federally 

recognized Indian Tribes, and colleges 

and universities located in the United 

States. For-profit firms are not allowed 

to make a profit from the project. 

5. Type of award. Cooperative 

Agreements, with substantial 

involvement of the Government, will be 

awarded (see Paragraph II.C for a 

description of substantial involvement). 

6. Match. None required, but 

leveraging strongly encouraged. 

7. Limitations. There are no 

limitations on the number of 

applications that each applicant may 

submit. 

8. Information on application. The 

applications for this NOFA can be found 

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

apply_for_grants.jsp. The General 

Section contains information about 

Grants.gov registration, submission 

requirements, and submission 

procedures. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Background 

The Healthy Homes Demonstration 

Program is a part of HUD’s Healthy 

Homes Initiative (HHI). In April 1999, 

HUD submitted to Congress a Healthy 

Homes Initiative: Preliminary Plan 

containing a full description of the HHI. 

This description (Summary and Full 

Report) is available on the HUD Web 

site at: http://www.hud.gov/offices/lead/ 

hhi/index.cfm. This site also contains 

additional information on the HHI. 

HUD believes that it is important for 

grantees to incorporate meaningful 

community participation, to the greatest 

extent possible, in the development and 

implementation of programs that are 

conducted in communities and/or 

involve significant interaction with 

community residents. Community 

participation can improve program 

effectiveness in various ways, including 

the development of more salient 

program objectives, recruitment and 

retention of study participants, 

participants’ understanding of the 

program, ongoing communication, and 

more effectively disseminating study 

findings. 

HUD encourages applicants to 

consider using a ‘‘community-based 

participatory research (CBPR)’’

approach, where applicable, in study 

design and implementation. For 

example, see the report published by the 

National Institute of Environmental 

Health Sciences titled ‘‘Successful 

Models of Community-Based 

Participatory Research’’ at: http:// 

www.niehs.nih.gov/translat/pubs.htm. 

CBPR is characterized by substantial 

community input in all phases of a 

study, including the design, 

implementation, data interpretation, 

conclusions, and communication of 

results. The HHI seeks proposals that 

provide a coordinated approach to 

address multiple hazards caused by a 

limited number of building deficiencies. 

The HHI approach is anticipated to 

reduce labor and travel costs and 

provide substantial savings, since 

separate visits to a home by an 

inspector, public health nurse, or 

outreach worker can add significant 

costs to project activities. OHHLHC is in 

the process of evaluating the 

effectiveness of the Healthy Homes 

Initiative, and, as a result of this 

evaluation, will be examining the 

efficiencies (as measured by per-unit 

costs and benefits) of a coordinated 

approach to assess and remediate 

multiple housing-related hazards. 

In addition to deficiencies in basic 

housing facilities that may impact 

health and safety, changes in the U.S. 

housing stock and more sophisticated 

epidemiological methods and 

biomedical research have led to the 

identification of new, and often more 

subtle, health and safety hazards in the 

residential environment. While such 

health hazards will tend to be found 

disproportionately in housing that is 

substandard, these environmental 

health and safety hazards also exist in 

housing that is otherwise of good 

quality. ‘‘Housing-Related Health and 

Injury Hazards,’’ Appendix A, a brief 

description of the housing-associated 

health and injury hazards HUD 

considers key targets for remediation, 

can be downloaded with your 

application package at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. The Web site 

http://www.hud.gov/offices/lead/hhi/ 

index.cfm also lists some of the 

references that serve as the basis for 

information provided in the Healthy 

Homes Demonstration Program NOFA. 

HUD’s authority for making funding 

available under this NOFA is the 

Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5, 

approved February 15, 2007). 

B. Healthy Homes Initiative Goals 

1. Develop and implement 

demonstration projects that address 

multiple housing-related problems 

affecting the health of children; 

2. Achieve the Healthy Homes 

Initiative’s Departmental Strategic Goal 

objective of reducing allergen levels in 

5,000 units by 2011, and 

correspondingly, reducing asthmatic 

episodes for 3,000 children living in 

those units; 

3. Mobilize public and private 

resources, involving cooperation among 

all levels of government, the private 

sector, and grassroots community-based, 

nonprofit organizations, including faithbased organizations, to develop the most 

promising, cost-effective methods for 

identifying and controlling housingrelated environmental health and safety 

hazards; 


rwilkins on PROD1PC63 with NOTICES_2
11580 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

4. Build local capacity to operate 

sustainable programs that will prevent 

and control housing-related 

environmental health and safety hazards 

in low- and very low-income residences 

when HUD funding is exhausted; and 

5. Affirmatively further fair housing 

and environmental justice. 

HUD also encourages applicants to 

undertake specific activities that will 

assist the Department in implementing 

its Policy Priorities. HUD’s fiscal year 

2007 Policy Priorities are discussed in 

the General Section. 

C. Healthy Homes Demonstration 

Program Objectives 

The objectives of the Healthy Homes 

Demonstration Program include direct 

remediations, including assessment of 

housing-related hazards, education and 

outreach and capacity building. HUD 

recognizes that, in many cases, activities 

may meet multiple objectives. Because 

the development and evaluation of 

effective methods for assessing and 

remediating housing-related hazards is 

the principal focus of the Healthy 

Homes Demonstration Program, 

awardees must expend at least 65 

percent of grant funds on direct 

remediations in the home. Additional 

expenditures may include capacity 

building (training) and information 

dissemination. 

1. Direct remediations in homes of 

children where environmental triggers 

may contribute to a child’s illness, 

including the following kinds of 

activities: 

a. Development of cost-effective 

protocols for identifying homes that are 

candidates for remediations, identifying 

environmental health and safety hazards 

in these homes, and screening out 

homes where structural or other factors, 

including cost issues, make 

remediations impractical; 

b. Development of appropriately 

scaled, flexible, cost-effective and 

efficient assessment and intervention 

strategies that take into account the 

range of unhealthy conditions 

encountered in housing, that maximize 

the number of housing units that receive 

remediations and the number of positive 

or negative health outcomes as a result. 

HUD believes health outcomes, 

particularly the reduction in asthmatic 

episodes or injuries, are an important 

component of this NOFA and wants to 

assess how Healthy Homes remediations 

affect the health of the population being 

served relative to the population at 

large. Therefore, any health outcome 

should be documented. 

c. Development of methodologies for 

evaluating the effectiveness of 

remediations and assessing the effect of 

the remediation on the health of the 

resident or program participant. 

2. Education and outreach that 

furthers the goal of protecting children 

from environmentally induced illnesses, 

including: 

a. Targeting, through education and 

outreach, specific high-risk 

communities and other identified 

audiences such as homeowners, 

landlords, health care providers, 

pregnant women, children, residential 

construction contractors, maintenance 

personnel, housing inspectors, real 

estate professionals, home buyers, and 

low- or very low-income minority 

families; 

b. Developing and delivering public 

outreach programs that provide 

information about effective methods for 

preventing housing-related childhood 

diseases and injuries, and promoting the 

use of these methods, especially in lowand very low-income residences; and 

c. Increasing public awareness of 

housing-related environmental health 

and safety hazards that threaten the 

health of children, through the use of 

media strategies using print, radio and 

television, including the use of minority 

media and provision of materials in 

alternative formats and materials for 

populations with Limited English 

Proficiency (LEP). 

3. Building capacity in the target 

community to assure that Healthy 

Homes programs are sustained beyond 

the life of the award period, including 

the development of local capacity in 

target areas for target groups to operate 

sustainable programs to prevent and 

control housing-related environmental 

health and safety hazards. 

II. Award Information 

A. Funding Available 

Approximately $5,000,000 in fiscal 

year 2007 and prior year funds are 

available for Healthy Homes 

Demonstration cooperative agreements. 

HUD anticipates that approximately five 

to seven cooperative agreements will be 

awarded, for a maximum of $1,000,000 

each for the entire period of 

performance. 

Applicants may wish to review 

currently funded grants on the Healthy 

Homes Web site at: http://www.hud.gov/ 

offices/lead/hhi/index.cfm. 

B. Anticipated Start Date and Period of 

Performance for New Cooperative 

Agreements 

1. The start date for new cooperative 

agreements is expected to be no later 

than October 1, 2007, with a period of 

performance not to exceed 36 months. 

For planning purposes, applicants need 

to include adequate time for start up 

activities such as the Institutional 

Review Board approval process, 

recruitment of study participants, 

fulfillment of environmental 

requirements, and development of new 

methods (e.g., survey forms, database, 

etc.) within this period of performance. 

2. Period of performance extensions 

for delays due to exceptional conditions 

beyond the grantee’s control will be 

considered for approval by HUD in 

accordance with 24 CFR 85.24(e)(2) or 

85.30(d)(2), as applicable, and the 

OHHLHC Program Guide. Because 

delays have been associated with 

recruitment and Institutional Review 

Board approval issues, HUD encourages 

applicants to involve all partners in preplanning processes. If approved, 

grantees will be eligible to receive a 

single extension of up to 12 months in 

length. Although applicants are 

encouraged to plan projects with shorter 

performance periods than 36 months, 

you should consider the possibility that 

issues may arise that could cause delays 

when developing your schedule. 

C. Type of Award Instrument 

Awards will be made as cooperative 

agreements. Anticipated substantial 

involvement by HUD staff for 

cooperative agreements may include, 

but will not be limited to: 

1. Review and suggestion of 

amendments to the study design, 

including: study objectives; field 

sampling plan; data collection methods; 

sample handling and preparation; and 

sample and data analysis. 

2. Review and provision of technical 

recommendations in response to 

quarterly progress reports (e.g., 

amendments to study design based on 

preliminary results). 

3. Review and provision of technical 

recommendations on journal article(s) 

and the final report for the project. 

4. Collaboration on peer review of 

scientific data in accord with the Office 

of Management and Budget (OMB) 

Information Quality Guidelines. All 

HUD-sponsored research is subject to 

the OMB Final Information Quality 

Bulletin for Peer Review (70 FR 2664–

2677, published on January 14, 2005) 

prior to its public dissemination. In 

accordance with paragraph II.2 of the 

Bulletin, HUD will not need further peer 

review conducted on information that 

has already been subjected to adequate 

peer review. Therefore, grantees must 

provide enough information on their 

peer review process for HUD to 

determine whether additional review is 

needed. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11581 

III. Eligibility Information 

A. Eligible Applicants 

Eligible applicants include not-forprofit institutions and for-profit firms, 

state and local governments, federally 

recognized Indian Tribes, and colleges 

and universities located in the United 

States. For-profit firms are not allowed 

to make a profit from the project. 

B. Cost Sharing or Matching 

Cost sharing or matching is not 

required. In rating your application, 

however, HUD will award a higher score 

under Rating Factor 4 if you provide 

documentation of commitments for 

significant leveraging. 

C. Other 

1. Threshold Requirements 

Applicable to all Applicants Under the 

SuperNOFA. As an applicant, you must 

meet all the threshold requirements 

described in the General Section. 

Applications that do not address the 

threshold items will not be funded. 

Cooperative agreements will be awarded 

on a competitive basis following 

evaluation of all proposals according to 

the rating factors described in this 

NOFA. A minimum score of 75 points 

is required for consideration for award. 

The maximum score that can be attained 

is 100 points for the narrative responses 

and an additional 2 bonus points for 

activities proposed to be located in RC/ 

EZ/EC-II communities. 

2. Eligible Activities 

The following activities and support 

tasks are eligible under the Healthy 

Homes Demonstration Program. a. 

Assessing (evaluating) housing to 

determine the presence of 

environmental health and safety hazards 

(e.g., moisture intrusion, mold growth, 

pests and allergens, unvented 

appliances, exposed steam pipes or 

radiators, deteriorated lead-based paint) 

through the use of accepted assessment 

procedures. 

b. Remediating existing housing-based 

environmental health and safety hazards 

and addressing conditions that could 

recur. 

c. Undertaking rehabilitation 

activities to effectively control housing 

deficiencies that are required for 

remediating environmental health and 

safety hazards in the unit. Funds under 

this program may only be used to 

address lead-based hazards at the de 

minimis level (see 24 CFR 35.1350(d)). 

These lead hazard evaluation and/or 

control activities may not be a principal 

focus of the cooperative agreement. 

(Lead hazard evaluation and control 

activities are carried out under HUD’s 

Lead-Based Paint Hazard Control Grant 

Program, Lead Hazard Reduction 

Demonstration Grant Program, and 

Operation Lead Elimination Action 

Program.) For information about 

conducting remediation of de minimis 

amounts of lead-based paint hazards, 

refer to the HUD Guidelines for the 

Evaluation and Control of Lead-Based 

Paint Hazards in Housing (HUD 

Guidelines). The HUD Guidelines and/ 

or applicable regulations may be 

downloaded from HUD’s Web site at 

http://www.hud.gov/offices/lead/ 

guidelines/index.cfm. 

d. Carrying out temporary relocation 

of families and individuals while the 

remediation is conducted and until the 

time the affected unit receives clearance 

for re-occupancy. See III.C.4.e, Real 

Property Acquisition and Relocation, of 

the General Section, and Section VI.B.4 

of this NOFA for a discussion of 

regulations that apply when relocating 

families. 

e. Environmental sampling and 

medical testing to protect the health of 

the remediation workers, supervisors, 

and contractors, unless reimbursable 

from another source. 

f. Conducting testing, analysis, and 

mitigation for lead, mold, carbon 

monoxide and/or other housing-related 

environmental health and safety hazards 

as appropriate, following generally 

accepted standards or criteria. A 

laboratory recognized by the U.S. 

Environmental Protection Agency’s 

(EPA’s) National Lead Laboratory 

Accreditation Program (NLLAP) must 

analyze paint, soil or dust samples 

related to lead-based paint. Samples to 

be analyzed for fungi should be 

submitted to a laboratory accredited in 

the Environmental Microbiological 

Laboratory Accreditation Program 

(EMLAP), administered by the 

American Industrial Hygiene 

Association (AIHA). 

g. Carrying out necessary 

architectural, engineering and work 

specification development and other 

construction management services. 

h. Providing training on Healthy 

Homes practices to homeowners, 

renters, landlords, painters, remodelers, 

and housing maintenance staff working 

in low- or very low-income housing. 

i. Providing cleaning supplies for 

hazard remediation to grassroots 

community-based nonprofit 

organizations, including faith-based 

organizations, for use by homeowners 

and tenants in low-income housing, or 

providing these supplies to homeowners 

and tenants directly. (See the General 

Section for more information about 

grassroots community-based nonprofit 

organizations, including faith-based 

organizations.) 

j. Providing incentives (financial or 

other incentives, including coupons for 

a video rental, coupons for groceries, 

stipends for completion of surveys, 

child care, cleaning kits, etc.) with a 

value up to $10 for recruitment, through 

up to $250 for the most significant or 

lengthy participation. These incentives 

are subject to approval by HUD. Their 

purpose is to encourage recruitment and 

retention in the healthy homes program, 

and participation in educational and 

training activities and other programrelated functions. 

k. Conducting community education 

programs on housing-related 

environmental health and safety 

hazards. Materials should be available 

in alternative formats for persons with 

disabilities including Braille, audio, 

large type), upon request, and in 

languages other than English that are 

common in the community, consistent 

with HUD’s published ‘‘Limited English 

Proficiency (LEP) Recipient Guidance’’

(see http://www.hud.gov/offices/fheo/ 

library/lepFRguidance.html). 

l. Securing liability insurance for 

housing-related environmental health 

and safety hazard evaluation and 

control activities. This is not considered 

an administrative cost. 

m. Supporting data collection, 

analysis, and evaluation of project 

activities. (As a condition of the receipt 

of financial assistance under this NOFA, 

all successful applicants will be 

required to cooperate with HUD staff 

and contractors who are performing 

HUD-funded research and evaluation 

studies.) 

3. Program Requirements. In addition 

to the program requirements in the 

General Section, applicants must also 

meet the following program 

requirements. 

a. Institutional Review Board (IRB) 

Approval. In conformance with the 

Common Rule (Federal Policy for the 

Protection of Human Subjects, 45 CFR 

46, codified by HUD at 24 CFR 60.101), 

if your grant activities include research 

involving human subjects, your 

organization must provide an assurance 

(e.g., a letter signed by an appropriate 

official) that the research has been 

reviewed and approved by an IRB before 

you can initiate activities that require 

IRB approval. You must also provide the 

number for your organization’s 

assurance (institutional assurance) that 

has been approved by the Department of 

Health and Human Service’s Office of 

Human Research Protections (OHRP). 

For additional information on elements 

of human subject research or obtaining 


rwilkins on PROD1PC63 with NOTICES_2
11582 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

an institutional assurance, see the OHRP 

Web site at: http://www.hhs.gov/ohrp. 

b. HIPAA Authorization. The Privacy 

Rule of the Health Insurance Portability 

and Accountability Act of 1996 requires 

covered entities that transmit health 

information electronically (health care 

providers, health plans, etc.) to protect 

that information. This may be 

accomplished by obtaining 

authorization from the patient or parent, 

obtaining a waiver of authorization from 

an IRB or HIPAA Privacy Board or deidentifying data. You should identify 

whether your proposal is subject to 

requirements of the HIPAA Privacy Rule 

and, if so, how you plan to address 

these requirements. Additional 

information on HIPAA and the Privacy 

Rule can be found at http:// 

www.hhs.gov/ocr/hipaa and http:// 

privacyruleandresearch.nih.gov/ 

authorization.asp. 

c. Community Involvement. 

Applicants must incorporate meaningful 

community involvement in any 

programmatic study that requires a 

significant level of interaction with a 

community (including, projects being 

conducted within occupied dwellings or 

which involve surveys of community 

residents). A community is made up of 

various groups of persons who have 

commonalities that can be identified on 

the basis of geographic location, 

ethnicity, health condition, and 

common interests. Applicants should 

identify the community that is most 

relevant to their particular project. 

There are many different approaches for 

involving the community in the 

conception, design, and implementation 

of a project and the subsequent 

dissemination of findings. Examples 

include, but are not limited to: 

establishing a structured approach to 

obtain community input and feedback 

(such as involving a community 

advisory board); including one or more 

community-based organizations as 

study partners; employing community 

residents to recruit study participants 

and collect data; and enlisting the 

community in the dissemination of 

findings and translation of results into 

improved policies and/or practices. A 

discussion of community involvement 

in research involving housing-related 

health hazards can be found in Chapter 

5 of the Institute of Medicine 

publication titled ‘‘Ethical 

Considerations for Research on 

Housing-Related Health Hazards 

Involving Children,’’ at http:// 

www.iom.edu/cms/12552/26004/ 

29871.aspx. 

d. Program Performance. Awardees 

shall take all reasonable steps to 

accomplish all healthy homes activities 

within the approved period of 

performance. HUD will closely monitor 

the awardee’s performance with 

particular attention to completion of 

specified activities, deliverables and 

milestones, and number of units 

proposed to be assessed or to receive 

remediation. Any previous requests for 

no-cost extensions will be considered in 

the evaluation of the capacity of the 

applicant under Rating Factor 1. 

e. Lead Hazard Control Activities. All 

lead hazard control activities must be 

conducted in compliance with HUD’s 

Lead-Safe Housing Rule, 24 CFR Part 35. 

Grantees must also comply with any 

additional requirements in effect under 

a state or Native American Tribal LeadBased Paint Training and Certification 

Program that has been authorized by the 

EPA pursuant to 40 CFR 745.320. See 

Section III.C.2.c regarding lead activity 

limitations. 

f. Compliance with Lead Disclosure 

Rule. All lead-based paint and leadbased paint hazard test and hazard 

reduction results must be provided to 

the owner of the unit, with a statement 

describing the owner’s legal duty to 

disclose the results to tenants (before 

initial leasing, or before lease renewal 

with changes) and buyers (before sale) if 

the housing was constructed before 

1978 (24 CFR Part 35, subpart A). This 

information may only be used for 

purposes of remediation of hazards in 

the unit and not for retribution/eviction. 

Disclosure of other identified housingrelated environmental health and safety 

hazards to the owner of the unit, for 

purposes of remediation, is encouraged 

but not required unless disclosure is 

required by Federal, state or local 

regulations. 

g. Integrated Pest Management. All 

pest control activities shall incorporate 

the principles and methods of integrated 

pest management (IPM). In technical 

terms, IPM is the coordinated use of 

pest and environmental information 

with available pest control methods to 

prevent unacceptable levels of pest 

damage by the most economical means 

and with the least possible hazard to 

people, property, and the environment. 

The IPM approach emphasizes a 

targeted use of pesticides that limits the 

possibility of human exposure (e.g., as 

opposed to wide-spread applications) 

and includes interventions based on the 

behavior of the target pest (e.g., 

preventing access to food or water). One 

source for information on IPM is 

Environmental Health Watch; you can 

download information from its Web site: 

http://www.ehw.org/Asthma/ 

ASTH_Cockroach_Control.htm. 

h. Dust Sampling Protocol. Collection 

of settled dust samples for 

environmental allergen analysis (e.g., 

cockroach, dust mite) must follow a 

standard dust sampling protocol, such 

as the protocol posted on the OHHLHC 

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

lead/hhi/hhiresources.cfm. If an 

applicant chooses to use a different 

protocol, such as a protocol from the 

Occupational Safety and Health 

Administration (OSHA), the U.S. 

Environmental Protection Agency 

(EPA), the National Institute of 

Environmental Health Sciences (NIEHS) 

or the American Society of Testing and 

Materials (ASTM), the applicant must 

provide a justification to HUD. The 

awardee is also required to submit 

quality control (QC) samples of 

allergens in household dust, provided at 

no cost, as blind samples in the train of 

samples submitted for laboratory 

analysis. For the purpose of budgeting 

laboratory costs, assume that 5 percent 

of your total allergen dust samples will 

consist of HUD-provided QC samples. 

i. Hazardous Waste Disposal. 

Awardees must follow procedures for 

hazardous waste disposal as required by 

the EPA (e.g., 40 CFR parts 61, 260–282, 

300–374, and/or 700–799, as 

applicable), the Department of 

Transportation (e.g., 49 CFR parts 171–

177), and/or appropriate state or local 

regulatory agencies. 

j. Worker Protection Procedures. 

Awardees must comply with the 

procedures for worker protection 

established in the HUD Guidelines as 

well as the requirements of OHSA, e.g., 

29 CFR part 1910 and/or 1926, as 

applicable, or the state or local 

occupational safety and health 

regulations, whichever are more 

stringent. 

k. Written Policies and Procedures. 

You must have written policies and 

procedures for all phases of 

interventions, including recruitment, 

enrollment, participant prioritization, 

unit assessment, development of 

specifications, remediations, training, 

financing, occupant relocation, 

independent project inspection, and 

clearance testing (e.g., for mold, lead, 

carbon monoxide or other hazards, as 

applicable). You and all your 

subcontractors, sub-recipients, and their 

contractors must comply with these 

policies and procedures. 

l. Data Collection and Provision. You 

must collect, maintain, and provide to 

HUD the data necessary to document 

the various approaches used to evaluate 

and control housing-related 

environmental health and safety 

hazards, including evaluation and 

remediation methods, building 

conditions, medical and familial 

information (with confidentiality of 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11583 

individually-identifiable information 

ensured) in order to determine the 

effectiveness and relative cost of these 

methods. 

m. Section 3 Employment 

Opportunities. Recipients of assistance 

in the Healthy Homes Demonstration 

Program must comply with Section 3 of 

the Housing and Urban Development 

Act of 1968, 12 U.S.C. 1701u (Economic 

Opportunities for Low- and Very-LowIncome Persons in Connection with 

Assisted Projects) and the HUD 

regulations at 24 CFR part 135, 

including the reporting requirements of 

subpart E. See Section V, Rating Factor 

3, for recommendations for 

implementing Section 3 Employment 

Opportunities. 

n. Conducting Business in 

Accordance with HUD Core Values and 

Ethical Standards. If selected for an 

award under the Healthy Homes 

Demonstration Program NOFA, you will 

be required to submit a copy of your 

Code of Conduct and describe the 

methods you will use to ensure that all 

officers, employees, and agents of your 

organization are aware of your Code of 

Conduct. If you previously submitted 

your Code of Conduct to HUD and it 

appears in the listing on HUD’s Web site 

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

grants/codeofconduct/cconduct.cfm, 

you do not have to resubmit the 

information unless there has been a 

change in the legal name, address or 

authorizing official for your 

organization. See the General Section 

for information about conducting 

business in accordance with HUD’s core 

values and ethical standards. 

4. DUNS Requirement. Refer to the 

General Section for information 

regarding the DUNS requirement. 

IV. Application and Submission 

Information 

A. Web Address To Access an 

Application Package 

Copies of this published NOFA and 

application forms for this program may 

be downloaded from the Grants.gov 

Web site at http://www.grants.gov/ 

applicants/apply_for_grants.jsp. If you 

have difficulty accessing the 

information you may call the Grants.gov 

helpline toll-free at (800) 518-GRANTS 

or e-mail Support@grants.gov. Helpline 

customer representatives will assist you 

in accessing the information. 

B. Content and Form of Application 

Submission 

The following section provides 

instructions on the items to be 

submitted as part of the application. See 

the General Section for instructions for 

submitting third party documents and 

electronic files. 

1. An abstract describing the goals 

and objectives of your proposed 

program (2 page limit, single-spaced, 12 

point standard font, at least 3⁄4-inch 

margins) must be included in the 

proposal. The abstract should include 

the title of your proposed project, 

amount of funding requested from HUD, 

amount of funding leveraged or 

matched, period of performance, a short 

summary of the proposed project and 

the name, mailing address, e-mail 

address and telephone number of the 

principal contact person for the primary 

entity. Information contained in the 

abstract will not be considered in the 

evaluation and scoring of your 

application. Any information you wish 

considered should be provided under 

the appropriate rating factor. The 2-page 

abstract will not be included in the 25 

page limit of the application. 

2. A narrative statement addressing 

the rating factors for award. Number the 

pages of your narrative statement and 

include a header and a footer that 

provides the name of the applicant and 

the name of the program to which you 

are applying. Narrative statements 

provided as part of the application 

should be individually labeled to 

identify the rating factor to which the 

narrative is responding (for example, 

Factor 1, Capacity of the Applicant, 

etc.). You are strongly advised to use the 

format of the NOFA as an outline for 

discussion of your rating factors. The 

overall response to the rating factors 

must not exceed a total of 25 pages 

including all rating factors (single-sided, 

single-spaced, 12 point standard font, at 

least 3⁄4-inch margins). Any pages in 

excess of this limit will not be read. 

Application packages without narrative 

statements addressing the rating factors 

will not be reviewed or considered for 

funding. Applicants should carefully 

review each narrative attached to the 

electronic application to make sure that 

you have attached the correct file and 

not an incomplete one, as this is not a 

curable deficiency. 

3. The score for each rating factor will 

be based on the content of the narrative 

submitted for each rating factor, 

supplemented by materials referenced 

and discussed in that portion of your 

narrative statement. Information relative 

to a given rating factor must be 

contained in the narrative for that rating 

factor. If it is found in another rating 

factor, it will not be considered. In 

addition, supplemental material that is 

not referenced and discussed within the 

narrative statements will not be rated. 

4. The position descriptions and 

resumes, if available, of your project 

director and project manager and up to 

three additional key personnel (in 

accordance with Rating Factor 1), not to 

exceed 2 pages each (single-spaced, 12- 

point font, with at least 3⁄4 inch 

margins). This information will not be 

counted toward the page limit. 

5. Any attachments, materials, 

references, or other relevant information 

that directly support the narrative must 

not exceed 20 pages for your entire 

application. Any pages in excess of this 

limit will not be read. See the General 

Section for instructions for submitting 

third party documents or material not 

readily available in electronic format. 

6. A detailed budget narrative 

(maximum 4 pages) with supporting 

justification for all budget categories of 

your funding request, in accordance 

with Rating Factor 3, Section V.A.2.c(3). 

This budget narrative will not be 

counted towards the 25-page limit of the 

application. In completing the budget 

forms and justification, you should 

address the following elements: 

a. Direct Labor costs should include 

all full- and part-time staff required for 

the planning and implementation 

phases of the project. These costs 

should be based on full-time equivalent 

(FTE) or hours per year (hours/year). 

(One FTE equals 2,080 hours/year.) 

b. You should budget for one trip 

annually for two people for meetings at 

HUD Headquarters in Washington, DC, 

assuming a 2–3 day stay per trip 

depending upon your location. 

c. A separate budget proposal should 

be provided for any sub-recipients 

receiving more than 10 percent of the 

total federal budget request. 

d. You should be prepared to provide 

supporting documentation for salaries 

and prices of materials and equipment, 

upon request. 

e. Organizations that have a federally 

negotiated indirect cost rate should use 

that rate and the appropriate base. Other 

organizations should submit their 

proposal with their suggested indirect 

rate. If they are funded and HUD is the 

cognizant agency, it will set a rate; 

otherwise HUD will request the 

cognizant federal agency to set the rate. 

f. You should submit a copy of the 

negotiated rate agreements for fringe 

benefits and indirect costs, if applicable, 

as an attachment to the budget sheets. 

7. Applicants are encouraged to use 

the following checklist to ensure that all 

required materials have been prepared 

and submitted. You are not required to 

submit this checklist with your 

application. 


rwilkins on PROD1PC63 with NOTICES_2
11584 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Checklist for Healthy Homes 

Demonstration Program Applicants 

Applicant Abstract (Limited to 2 Pages) 

• Rating Factor Responses (Total 

narrative response limited to 25 pages. 

Rating Factor tables (Forms HUD–

96012, 96016, 96015 and 96010) do not 

count toward the 25-page limit.) 

1. Capacity of the Applicant and 

Relevant Organizational Experience—

Form HUD 96012. 

2. Need/Extent of the Problem—Form 

HUD–96016. 

3. Soundness of Approach. 

4. Leveraging Resources—Form HUD–

96015. 

5. Achieving Results and Program 

Evaluation—Form HUD–96010 (Logic 

Model). 

• Required materials in response to 

rating factors (does not count towards 

25-page limit) 

Form SF 424, Application for Federal 

Assistance. 

Form HUD–424–CB, ‘‘Grant 

Application Detailed Budget’’ (HUD 

Detailed Budget Form on Grants.gov). 

Form SF–424 Supplement, ‘‘Survey 

on Ensuring Equal Opportunities for 

Applicants’’ (Faith-Based EEO Survey 

on Grants.gov). 

Faith-Based EEO Survey (to be 

completed by private nonprofit 

organizations only). 

Form SF–LLL, Disclosure of Lobbying 

Activities 

Form HUD–2880, ‘‘Applicant/ 

Recipient Disclosure/Update Report’’

(HUD Applicant Recipient Disclosure 

Report on Grants.gov). 

Form HUD–2990, Certification of 

Consistency with the RC/EZ/EC–II 

Strategic Plan (if applicable). 

Form HUD–27300, ‘‘Questionnaire for 

HUD’s Removal of Regulatory Barriers’’

(HUD Communities Initiative Form on 

Grants.gov). 

Form HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(Facsimile Transmittal Form on 

Grants.gov). This is to be used as the 

cover page for faxing third party 

information for electronic applications 

only. See the General Section. 

Resumes of Project Director, Project 

Manager and up to 3 Key Personnel 

(limited to 2 pages per resume). 

Position Descriptions for Key 

Personnel to be hired (limited to 2 pages 

per description). 

Organizational Chart. 

Letters of Commitment (if applicable). 

Form HUD–2994A—You are Our 

Client! Grant Applicant Survey 

(Optional). 

• Optional material in support of the 

Rating Factors (20-page limit) 

C. Submission Dates and Times. 

Electronic applications must be received 

and validated by Grants.gov on or before 

11:59:59 p.m. eastern time on the 

application submission date. Refer to 

the General Section for submission 

requirements. Materials associated to 

your electronic application submitted 

by facsimile transmission must also be 

received by 11:59:59 p.m. eastern time 

on the application submission date. See 

sections IV.B and IV.F of the General 

Section for additional information on 

the electronic process and how to 

request a waiver from this requirement, 

if necessary. 

D. Intergovernmental Review. Not 

required for this submission. 

E. Funding Restrictions 

1. Administrative Costs. There is a 10 

percent maximum allowance for 

administrative costs. Additional 

information about allowable 

administrative costs is provided in 

Appendix B and can be downloaded 

with this application at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

2. Indirect Costs. You must comply 

with Indirect Cost requirements. 

Guidelines for indirect cost 

requirements, presented in Appendix C, 

may be downloaded as part of your 

application package at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

3. Purchase of Real Property is not 

permitted. 

4. Purchase or lease of equipment 

having a per-unit cost in excess of 

$5,000 is not permitted, unless prior 

written approval is obtained from HUD. 

5. Medical costs are not permitted 

(except for medical testing to protect the 

health of the intervention workers, 

supervisors, and contractors, unless 

reimbursable from another source). 

6. For-profit organizations cannot 

receive a fee or profit. 

7. Applicants must comply with the 

Coastal Barrier Resources Act (16 U.S.C. 

3501). 

8. You may not use grant funds for 

hazard control of a building or 

manufactured home that is located in an 

area identified by the Federal 

Emergency Management Agency 

(FEMA) under the Flood Disaster 

Protection Act of 1973 (42 U.S.C. 4001–

4128) as having special flood hazards 

unless: 

a. The community in which the area 

is situated is participating in the 

National Flood Insurance Program in 

accordance with the applicable 

regulations (44 CFR parts 59–79), or less 

than a year has passed since FEMA 

notification regarding these hazards; 

and 

b. Where the community is 

participating in the National Flood 

Insurance Program, flood insurance on 

the property is obtained in accordance 

with section 102(a) of the Flood Disaster 

Protection Act (42 U.S.C. 4012a(a)). You 

are responsible for assuring that flood 

insurance is obtained and maintained 

for the appropriate amount and term. 

F. Other Submission Requirements. 

HUD requires applicants to submit 

applications electronically through 

http://www.grants.gov unless you 

request and are granted a waiver to the 

electronic submission requirements. See 

the General Section. Applicants should 

submit their waiver requests in writing 

by e-mail. Waiver requests must be 

submitted no later than 15 days prior to 

the application deadline date and 

should be submitted to Jonnette 

Hawkins, Director, Program 

Management and Assurance Division, 

Office of Healthy Homes and Lead 

Hazard Control, 

Jonnette_G._Hawkins@hud.gov. 

V. Application Review Information 

A. Criteria 

1. Rating and Ranking. Applications 

that meet all of the threshold 

requirements will be eligible to be 

scored and ranked, based on the total 

number of points allocated for each of 

the rating factors described in Section 

V.A.2 of this NOFA. Your application 

must receive a total score of at least 75 

points to be considered for funding. 

Each of the five factors is weighted as 

indicated by the number of points that 

are assigned to it. The maximum score 

that can be attained is 100 points for the 

narrative responses, and 2 bonus points 

for activities carried out in a RC/EZ/EC–

II. Applicants should be certain that 

each of these factors is clearly and 

comprehensively addressed in the 

project description and accompanying 

materials. 

HUD will not review any applications 

with a request for federal funding that 

exceeds the maximum amount specified 

in this NOFA. 

2. Rating Factors. The factors for 

rating and ranking applicants, and 

maximum points for each factor, are 

provided below. Applicants should be 

certain that these factors are adequately 

addressed in the narrative relevant to 

the rating factors and the accompanying 

materials. 

a. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Experience (15 Points) 

This factor addresses your 

organizational capacity (including the 

capacity of your own organization, as 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11585 

well as partner organizations) necessary 

to successfully implement your 

proposed activities in a timely manner. 

The rating of your program includes any 

grassroots community-based nonprofit 

organizations firmly committed to your 

project, including faith-based 

organizations, sub-contractors, 

consultants, sub-recipients, and 

members of consortia. HUD strongly 

encourages the formation and 

development of consortia in 

implementing your project goals. 

Applicants are encouraged to partner, 

fund, or sub-contract with grassroots, 

community-based nonprofit 

organizations, including faith-based 

organizations to carry out program 

activities. If these partnerships are 

proposed, applicants will receive higher 

rating points as specified in the General 

Section. Applicants should note in their 

Rating Factor 1 narrative whether they 

are submitting multiple applications to 

OHHLHC, and, if so, the percentage 

commitment of staff for each 

application. 

In rating this factor, HUD will 

consider the three items listed below. 

(1) Capacity and Qualifications of 

Principal Investigator and Key 

Personnel. (6 points). Describe your 

recent, relevant, and successful 

demonstrated experience in undertaking 

eligible program activities. Describe the 

knowledge and experience of the 

proposed overall project director and 

day-to-day project manager in planning 

and managing large and complex 

interdisciplinary programs, especially 

those involving housing, public health, 

or environmental programs. Include 

information on your project staff, their 

experience with housing and health 

programs, percentage commitment to 

the project, and position titles. Project 

directors should commit at least 20 

percent and the project manager’s time 

commitment should be at least 50 

percent. Resumes of up to 2 pages each 

for up to three key personnel, in 

addition to the project director and 

project manager, and a clearly 

delineated organizational chart for the 

Healthy Homes project (including all 

partner organizations) , must be 

included in your application 

submission. Position descriptions or job 

announcements (including salary range, 

percent of time commitment, percentage 

of time covered by cooperative 

agreement funds) for unfilled positions 

should be included for any key 

positions that are currently vacant or 

contingent upon an award. 

Document that you have sufficient 

personnel, or will be able to quickly 

retain qualified personnel to begin your 

project immediately, and to perform 

activities in a timely and effective 

fashion. Successful applicants must hire 

all key staff positions identified in the 

proposal as vacant or required in the 

award agreement within 120 days of 

award. Describe how principal 

components of your organization will 

participate in, or support, your project. 

(2) Qualifications of Applicant and 

Partner Organizations (4 points). 

Include names, descriptions of the 

experience and qualifications of 

subcontractors. Document how you 

propose to coordinate with and monitor 

sub-contractors, including frequency of 

meetings, on-site inspections and 

submission of formal monthly or 

quarterly reports. Discuss your 

communication and coordination with 

partners, including partner 

responsibilities, meeting frequency, etc. 

If partners are community-based 

grassroots, non-profit organizations, 

including faith-based organizations, 

include documentation demonstrating 

their community-based grassroots 

status, such as organizational profile, 

501(c)(3) status or Social Services 

budget. (Lengthy documents are not 

required; face pages or extracted 

relevant text is adequate.) 

(3) Past Performance of the 

Organization (5 points). This section 

refers to applicants who have any prior 

experience in another Healthy Homes or 

Lead Hazard Control grant, another 

grant related to environmental health 

and safety issues, or other experience in 

a similar program. Provide details about 

the nature of the project, the funding 

agency, and your performance, relative 

to performance measures and the 

achievement of desired housing- and 

health-related outcomes. If your 

organization is an existing Healthy 

Homes grantee, provide a description of 

the progress and outcomes achieved in 

that grant. Current grantees that are on, 

or ahead of their benchmarks, may earn 

one point based on their demonstrated 

ability to date. If you received previous 

Healthy Homes Demonstration Program 

funding, you will be evaluated in terms 

of your performance and timeliness 

under the previous grant. 

You must complete and submit the 

Factor 1, Table 1, Form HUD–96012, 

which can be downloaded with your 

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

applicants/apply_for_grants.jsp to 

support narrative information. 

b. Rating Factor 2: Need/Extent of the 

Problem (15 Points) 

This factor addresses the extent for 

your proposed activities to document 

housing-related environmental health 

and safety hazards (including, but not 

limited to, mold, allergens, lead-based 

paint hazards, carbon monoxide, 

pesticides, home safety hazards) in your 

target area(s) that impact your targeted 

group(s). 

(1) Target Area for Proposed Activities 

(5 points). Specifically identify a target 

area for your proposed activities. 

Document the critical level of need for 

your proposed activities in this target 

area by providing data documenting 

targeted groups that are traditionally 

underserved or have special needs. For 

a maximum score, data provided should 

represent the target area, rather than 

general statistics or information 

pertinent to a larger geographic area. If 

specific statistics are not available, 

discuss why this is the case. 

(2) Link to Housing-related Health 

and Safety Hazards (10 points). Your 

documentation should summarize 

available data linking housing-based 

environmental health and safety hazards 

to disease or injuries to children, 

especially in low- and very low-income 

families, in your target area. Examples 

of data that might be used to 

demonstrate need include: 

(a) Economic and demographic data (3 

points), including poverty and 

unemployment rates and the number 

and percentage of low- and very-lowincome families with incomes less than 

50 percent and 80 percent of the median 

income, respectively, as determined by 

HUD, for the area. Statistics that 

describe low- and very-low-income 

families are available at http:// 

factfinder.census.gov/home/saff/ 

main.html?_lang=en. Applicants should 

also consult local data sources, such as 

city government Web sites, for target 

area data. 

(b) Statistics for your target area that 

present rates of childhood illnesses (4 

points) (including asthma, elevated 

blood lead levels) or injuries (falls, 

burns) among children residing in your 

target areas that could be caused or 

exacerbated by exposure to conditions 

in the home environment; and 

(c) The age and condition of housing 

(3 points). In responding, provide data 

available in your jurisdiction’s currently 

approved Consolidated Plan and the 

Analysis of Impediments to Fair 

Housing Choice (AI) or Indian Housing 

Plan or derived from current census 

data or from other sources of 

comparable quality. 

You must complete and submit the 

Factor 2 Table, Form HUD–96016, 

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

applicants/apply_for_grants.jsp. 

c. Rating Factor 3: Soundness of 

Approach (50 Points) 

(1) Approach for Implementing the 

Project (36 points). HUD is interested in 


rwilkins on PROD1PC63 with NOTICES_2
11586 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

comparability among the Healthy 

Homes Demonstration Programs, in 

order to further standardize outcomes 

and performance measures. Therefore, 

applicants are encouraged to be explicit 

in describing proposed project activities 

and provide details about designing and 

implementing their work plan. 

(a) Project Approach (5 points) 

Describe your approach to implement 

your proposed project. In particular 

describe the methods, schedule and 

milestones that will be used to identify 

and control housing-related 

environmental health and safety hazards 

and to achieve the desired 

improvements in the health of the 

families you serve. Include summary 

information about the estimated 

numbers of clients to be contacted, 

clients enrolled, units to be assessed, 

units to receive remediations, 

individuals to be trained, and 

individuals or groups that will be 

reached through education or outreach 

activities. You are expected to 

document environmental outputs 

(reduction in allergen levels) and health 

outcome measures, such as reduction in 

asthmatic episodes, pediatric asthma 

hospitalizations, emergency room visits 

for asthma, falls, burns, etc. These 

outputs and outcomes are critical to 

achieving the Healthy Homes Initiative 

Departmental Goal of reducing allergen 

levels in 5,000 units, and 

correspondingly reducing asthmatic 

episodes for 3,000 children living in 

these units by 2011. The use of tables 

to describe schedule, milestones and 

summary data is encouraged. 

(b) Start up (3 Points) 

(i) Institutional Review Boards. In 

conformance with the Common Rule 

(Federal Policy for the Protection of 

Human Subjects, codified by HUD at 24 

CFR 60.101, which incorporates the 

DHHS regulation at 45 CFR part 46), if 

your research involves human subjects, 

your organization must provide proof 

(e.g., a letter signed by an appropriate 

official) that the research has been 

reviewed and approved by an 

Institutional Review Board (IRB) before 

you can initiate activities that require 

IRB approval. Before initiating such 

activities you must also provide the 

number for your organization’s 

assurance (i.e., an ‘‘institutional 

assurance’’) that has been approved by 

the Department of Health and Human 

Service’s Office for Human Research 

Protections (OHRP). 

Although you do not have to provide 

proof of IRB approval with your 

application, you should address how 

you will obtain such approval. Describe 

how you will obtain informed consent 

(e.g., from the subjects, their parents or 

their guardians, as applicable) and 

discuss the steps you will take to help 

ensure participants’ understanding of 

the elements of informed consent, such 

as the purposes, benefits and risks of the 

research. Describe how this information 

will be provided and how the consent 

will be collected. For example, describe 

your use of ‘‘plain language’’ forms, 

flyers and verbal scripts, and how you 

plan to work with families with limited 

English proficiency or primary 

languages other than English, and with 

families including persons with 

disabilities. For additional information 

on what constitutes human subject 

research or how to obtain an 

institutional assurance see the OHRP 

Web site at http://www.hhs.gov/ohrp/. 

(ii) Staff and Partner Training and 

Capacity Building. Provide detailed 

information regarding how program staff 

and, where applicable, partnering 

organizations will be trained in the 

disciplines needed to successfully 

implement your project (e.g., resident 

education, assessments and 

remediations). Include an outline of 

training curricula, a description of 

qualifications of trainers, and describe 

how individuals or groups to be trained 

will be selected. 

(iii) Quality Assurance (QA) 

Activities. Successful Healthy Homes 

Demonstration Program applicants that 

are collecting housing, demographic, 

medical or environmental data must 

ensure the quality and integrity of the 

data. Describe the elements of your 

project that will integrate QA activities 

into the project design and applicable 

activities such as visual assessments, 

environmental assessments and 

questionnaires. Elements you may want 

to describe include the use of quality 

control samples, validated 

questionnaires and assessment tools, 

data collection, data management, 

statistical analysis, staff training and 

monitoring. Your description will be 

evaluated relative to its thoroughness, 

level of detail, and appropriateness for 

ensuring the validity and quality of the 

data. If awarded, you will be asked to 

develop a Quality Assurance Plan that 

describes these elements. 

(iv) If you are proposing to conduct a 

project that includes a significant level 

of community interaction (e.g., resident 

recruitment, home-based remediations, 

data collection, environmental sampling 

in residences) describe your plan for 

meaningful involvement of the affected 

community in your proposed project. 

You should define the community of 

interest with respect to your proposed 

project and discuss why your proposed 

approach to community involvement 

will make a meaningful contribution to 

your project and to the community. 

(v) Describe any proposed 

involvement of grassroots communitybased, nonprofit organizations, 

including faith-based organizations, in 

the proposed activities including the 

development of consortia. These 

activities may include outreach, 

community education, marketing, 

inspection, and housing evaluations and 

remediations. 

(c) Recruitment and Enrollment (6 

Points) 

(i) Describe how you will identify, 

select, prioritize, and enroll units of 

housing in which you will undertake 

housing-based health hazard and safety 

remediations, targeting low- and very 

low-income families with young 

children under the age of six (72 

months) to the extent feasible. 

(ii) Discuss possible recruitment 

problems, and the probability of 

dropouts, and describe measures you 

will perform to sustain recruitment and 

enrollment, including over-recruitment 

and incentives for sustainability of 

participants throughout the period of 

performance of the cooperative 

agreement. 

(iii) Describe how you will monitor 

enrollment and recruitment status and 

implement measures identified to 

sustain enrollment and recruitment. 

(iv) Discuss how you will comply 

with the Health Insurance Portability 

and Accountability Act (HIPAA). See 

Section III.C.3 for more information 

about HIPAA requirements. 

(v) Along with HIPAA compliance, 

describe how you will provide 

appropriate program information and 

gain informed consent from the subjects, 

their parents and guardians, as 

applicable. Describe how you will 

ensure that participants understand and 

consent to the elements of the program 

such as the purposes, benefits and risks 

of the research activities. 

(vi) Describe your proposed methods 

to reach high-risk groups and 

communities, vulnerable populations 

and traditionally underserved 

populations. 

(vii) Describe how you will 

affirmatively further fair housing, which 

would include, but not be limited to: (1) 

Affirmative marketing of the program to 

those least likely to apply based on race, 

color, sex, familial status, national 

origin, religion, or disability (especially 

when persons in these demographic 

groups are generally not served by the 

grassroots community-based, nonprofit 

organizations, including faith-based 

organizations or other partner 

organizations); (2) providing materials 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11587 

in alternative formats for persons with 

disabilities; providing materials in 

languages other than English for 

individuals with limited English 

proficiency and their families; (3) 

assuring long-term residency by families 

currently living in the community; and 

(4) assuring that priority for treated 

units go to those who need the features 

(treatment) of the unit. 

(d) Unit Assessments, Occupant Surveys 

and Medical Referrals (3 Points) 

(i) Describe the assessment tools your 

project will employ to establish baseline 

data for unit condition, knowledge of 

program participant and/or the health of 

the occupant(s). These tools include 

questionnaires, visual assessment 

protocols and environmental sampling 

and analysis. 

(ii) Describe your process for 

evaluating units of housing in which 

you will undertake housing-related 

environmental health and safety hazard 

remediations. Provide an estimate of the 

total number of owner-occupied and/or 

rental units in which you will perform 

assessments and conduct remediations. 

(iii) Describe the process to be 

followed for referring children for 

medical case management, if applicable. 

Describe the organizations that will be 

involved in this process and their prior 

experience providing case management 

to the target population(s). 

(e) Remediations (7 Points) 

(i) Describe your process for the 

development of work specifications for 

the selected physical remediations and 

identify individuals (or organizations) 

who will develop the work 

specifications. Include specifics about 

the individual’s position or the 

organizational role in your project. 

(ii) Discuss your process to select and 

obtain contractors for conducting 

remediations in selected units and 

provide details about the competitive 

bidding process. 

(iii) Discuss efforts to incorporate 

cost-effective methods to address 

multiple housing-related environmental 

health and safety hazards, and describe 

the specific remediations you will 

employ to control these hazards before 

children are affected; and/or to control 

these hazards in units where children 

have already been treated for illnesses 

or injuries associated with these hazards 

(e.g., burns, lead poisoning, asthma). 

Although program partners have shown 

that low-cost housing remediations can 

be effective in reducing illness and 

hazardous conditions, HUD is interested 

in data that evaluate the costeffectiveness over time of carrying out 

assessments and remediations for 

multiple hazards compared to the 

conventional approach of identifying 

and remediating one hazard at a time. 

The data should be stratified by the 

type, size and other housing 

characteristics, and the type and extent 

of assessment and remediation, in order 

to provide meaningful and comparable 

unit costs. Therefore, in your budget 

submission, provide an estimate of the 

cost of each remediation (material costs 

and labor costs associated with 

installation) and an estimate of costs 

projected per unit. Describe how you 

will track the costs of remediations and 

provide information about the efficiency 

of these remediations. For example, 

provide information about the costeffectiveness, technical effectiveness 

and sustainability of the remediations. 

Include any remediation plans to 

achieve the Healthy Homes Initiative’s 

Departmental Strategic Goal of reducing 

allergen levels in 5,000 units by 2011, 

and correspondingly, reducing 

asthmatic episodes in 3,000 children. 

(iv) Discuss how you will assure that 

the contractor will comply with all 

applicable Federal, state and local 

regulations. 

(v) Describe the financing strategy, 

including eligibility requirements, 

terms, conditions, and amounts 

available, to be employed for 

conducting housing remediations. You 

must discuss the way funds will be 

administered (e.g., use of grants, 

deferred loans, forgivable loans, other 

resources, private sector financing, etc.) 

as well as the agency that will 

administer the process. 

(vi) Describe your plan for the 

relocation of occupants of units selected 

for remediation, if temporary relocation 

is necessary (see Section VI B.4, below). 

If temporary relocation is necessary, 

address the use of safe houses and other 

housing arrangements, storage of 

household goods, stipends, incentives, 

etc., and the source of funding for 

relocation. 

(vii) If relocation is necessary for 

occupants of rental units, describe your 

plan for ensuring right of return and/or 

first referral for occupants of units 

selected for remediation who have had 

to move for the remediations to be 

performed. (see Section VI B.4, below). 

(f) Community Education, Outreach 

and Capacity Building/Training (3 

Points) 

(i) Describe your proposed methods 

for community and/or targeted 

education and training. These should 

include community awareness, 

education, training, and outreach 

programs that support your work plan 

and are culturally sensitive and targeted 

appropriately. Provide information 

about specific educational/outreach 

activities with quantitative data 

(number of individuals to be reached, 

etc.) and a description of the intended 

audience (include plans for both 

program participants and the 

community at large). 

(ii) Discuss whether Healthy Homes 

training programs will be expanded to 

include non sub-grantee organizations, 

such as public housing agencies, 

Tribally Designated Housing Entities, 

grassroots community-based or 

nonprofit organizations, including faithbased organizations. If so, describe your 

plan for doing this. 

(g) HUD’s Departmental Policy 

Priorities (6 Points). Indicate if, and 

describe how, you will address any of 

HUD’s Departmental policy priorities 

(see General Section). You will receive 

points for each of the applicable FY 

2007 policy priorities that are 

adequately addressed in your 

application and incorporated into work 

plan activities showing outputs and 

outcomes to a maximum of six points. 

Policy priorities that are applicable to 

the Healthy Homes Demonstration 

NOFA are: (1) Improving our Nation’s 

Communities (focus on distressed 

communities); (2) Providing Full and 

Equal Access to Grassroots Communitybased, Nonprofit Organizations, 

including Faith-based Organizations in 

HUD Program Implementation; (3) 

Participation of Minority-Serving 

Institutions in HUD Programs; (4) 

Removal of Regulatory Barriers to 

Affordable Housing; and (5) Promoting 

Energy Efficiency and Energy Star. HUD 

expects the applicant to implement 

Energy Star building techniques and 

utilize Energy Star appliances whenever 

activities of the grant afford the 

opportunity. For information on Energy 

Star programs and appliances, see 

http://www.energystar.gov. 

Each policy priority is worth one 

point, except for policy priority (4), 

Removal of Regulatory Barriers to 

Affordable Housing, which is worth up 

to 2 points, provided the applicant 

includes an appropriate narrative 

response demonstrating what they have 

accomplished to date and submits the 

required documentation as described in 

Form HUD 27300. Applicants may 

instead provide a Web site address 

where the documentation can be readily 

found. 

(h) Economic Opportunity (3 points). 

To the greatest extent feasible, your 

project should promote job training, 

employment, and other economic 

opportunities for low-income and 

minority residents and businesses that 

are owned by, and/or employ, lowincome and minority residents as 


rwilkins on PROD1PC63 with NOTICES_2
11588 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

defined in 24 CFR 135.5. Describe how 

you or your partners will comply with 

Section 3 of the Housing and Urban 

Development Act of 1968 (12 U.S.C. 

1701u) and HUD’s implementing rules 

at 24 CFR part 135 by: 

• Providing training and employment 

opportunities for low- and very lowincome persons living within the 

awardee’s jurisdiction; 

• Purchasing goods and supplies, or 

contracting for services from businesses 

that are owned by, and/or employ, lowand very low-income persons living 

within the targeted jurisdiction; 

information about Section 3 

requirements is available at: http:// 

www.hud.gov/offices/fheo/section3/ 

section3.cfm; and 

• Describing how your proposed 

project will provide opportunities for 

self-sufficiency, particularly for persons 

enrolled in welfare-to-work programs, or 

provide educational and job training 

opportunities. 

(2) Approach for Managing the Project 

(9 points). Considering your project 

goals and objectives, describe how you 

will manage the project. Provide 

information on the general management 

approach including a management plan 

that: 

(a) Incorporates appropriate project 

objectives, major tasks/activities, 

responsible entities, performance goals, 

and the process that you will utilize to 

assign, track and monitor the 

performance of major tasks and 

activities. All specific activities 

necessary to complete the proposed 

project, such as recruitment, enrollment, 

training, education and outreach, unit 

identification, assessment and 

remediation, must be included. 

(b) Provides a schedule of milestones 

and deliverables for the completion of 

major tasks and activities, and the 

delivery of interim and final products. 

(c) Discusses coordination with subrecipients, partners and staff. 

(d) Describes quality assurance 

activities, including the collection of 

data (questionnaires and environmental 

sampling and analysis), case 

management, data entry and report 

preparation, and associated corrective 

actions. 

(3) Budget Justification (5 points). 

Your proposed budget will be evaluated 

for the extent to which it is reasonable, 

clearly justified, and consistent with the 

project management plan and intended 

use of program funds. HUD is not 

required to approve or fund all 

proposed activities. Your detailed 

budget should be submitted using Form 

HUD–424–CBW. An electronic copy is 

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

applicants/apply_for_grants.jsp. You 

must thoroughly document and justify 

all budget categories and costs and all 

major tasks for yourself, sub-recipients, 

partners, major subcontractors, joint 

venture participants, or others 

contributing resources to the project. 

Include a 4-page (maximum) narrative 

that describes clearly and in detail your 

budgeted costs for each required 

program element (major task) included 

in your overall plan (at least 65 percent 

of the budget must be expended for 

direct remediation). Include a separate, 

detailed budget for any sub-grantee 

proposed to receive more than 10 

percent of the total federal budget 

request. 

d. Rating Factor 4: Leveraging 

Resources (5 Points) 

This factor addresses your ability to 

secure other community resources (e.g., 

financing, supplies, and/or services) 

that can be combined with HUD’s 

resources to achieve project purposes. 

These community resources may be 

contributions from organizations such 

as the applicant, partners, or other 

organizations not directly involved in 

the project. Resources may also be 

provided by state and local 

governmental entities. While cost 

sharing or matching is not required, 

HUD will award a higher score under 

this rating factor if you provide 

documentation of commitments for 

significant leveraging. HUD’s Matching 

and Leveraging Contribution Guidance, 

Appendix D, may be downloaded with 

your application at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. Applicants should 

note that, if they are submitting multiple 

proposals to OHHLHC and are selected 

for multiple awards, they may not use 

the same resources for match and/or 

leveraging. During cooperative 

agreement negotiations, awardees will 

be required to provide alternative match 

and/or leveraged resources than were 

proposed in the original applications. In 

other words, awardees may not commit 

duplicate matching and/or leveraged 

resources to multiple OHHLHC 

programs. 

(1) HUD will consider the extent to 

which you have developed partnerships 

or consortia to secure additional 

resources to increase the effectiveness of 

your proposed project. Describe how 

other organizations will participate in or 

support your project. Resources may 

include funding or in-kind 

contributions (e.g., labor, fringe benefits, 

services, supplies, or equipment) 

budgeted for your proposed project. 

Include in the narrative the details of 

the commitment, the amount being 

leveraged, or if the commitment is inkind, the specific names, percent of 

time, supplies and other resources, and 

value of each commitment. 

(2) The signature of the authorized 

official on the Form SF–424 commits 

matching or other contributed resources 

of the applicant organization. The 

applicant must obtain a letter of 

commitment from each organization 

(other than itself) that is providing a 

match, whether cash or in-kind. The 

letter must describe the contributed 

resource(s) that will be used in your 

project and the dollar value of each 

contribution. Staff and in-kind 

contributions should be given a marketbased monetary value. Each letter of 

commitment, memorandum of 

understanding, or agreement to 

participate shall include the 

organization’s name and the proposed 

level of commitment and roles and 

responsibilities as they relate to the 

proposed project. The commitment 

must be on official letterhead and 

signed by an official legally able to make 

commitments on behalf of the 

organization and dated. Letters must be 

submitted with your application. 

(3) Include information to address the 

following elements. 

(i) The extent to which you have 

coordinated your activities with other 

known organizations that are not 

directly participating in your proposed 

work activities (organizations other than 

sub-grantees and program partners), but 

with which you share common goals 

and objectives. 

(A) Describe your plan for integrating 

and coordinating housing-related 

environmental health and safety hazard 

remediations with other housing-related 

activities (e.g., rehabilitation, 

weatherization, correction of code 

violations, and other similar work). 

(B) Describe your plans to generate 

and use public subsidies or other 

resources, such as loan funds, to finance 

future remediations to prevent and 

control housing-related environmental 

health and safety hazards, particularly 

in low-or very low-income families with 

children under the age of six years. 

(ii) The extent to which your project 

exhibits the potential to be financially 

self-sustaining by decreasing 

dependence on federal funding and 

relying more on state, local and private 

funding to continue healthy homes 

activities after the funding period is 

completed. 

Applicants are to complete the Factor 

4 table, Form HUD–96015, Leveraging 

Resources that is posted at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

e. Rating Factor 5: Achieving Results 

and Program Evaluation (15 points) 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11589 

This rating factor reflects HUD’s goal 

to embrace high standards of ethics, 

management and accountability. HUD is 

committed to ensuring that applicants 

keep promises made in their 

applications and assess their 

performance to ensure that performance 

goals are met. In your response to this 

rating factor, you are to discuss the 

performance goals for your project and 

specific outcome measure results. 

Discuss the specific methods you will 

use to measure progress towards your 

goals, track and report results of 

assessments and remediations, and 

evaluate the effectiveness and costeffectiveness of remediations [see 

requirements discussed in 

V.A.2.c(1)(e)(iii)]; identify important 

project milestones (e.g., the end of 

specific phases in a multi-phased 

project) and deliverables specific to 

your project timeline; identify 

milestones that are critical to achieving 

project objectives (e.g., developing 

questionnaires or protocols, hiring staff, 

recruitment of participants, and IRB 

approval and/or HIPAA Authorization, 

if applicable); and identify benchmarks 

such as number of units that received 

intervention, percent of remediations 

that occurred in high-risk communities, 

etc., that you will use to track the 

progress of your project. 

Identify how your project will be held 

accountable for meeting project goals, 

objectives, and the actions undertaken 

in implementing the program. Provide 

assurances that work plans and 

performance measures developed for 

your project will be achieved in a timely 

and cost-effective manner. 

Your project should focus particular 

attention on identifying specific 

resident, or program participant, health 

outcomes and describe how these 

outcomes will be measured. Resident 

health outcomes do not necessarily 

require medical testing, such as 

spirometry or documenting blood lead 

levels, and may be assessed using 

questionnaires or other tools. Careful 

attention should be given to the 

relationship between the program’s 

remediations (e.g., physical changes in 

the environment, changes to cleaning 

protocols, in-home training or provision 

of educational materials) and the effect 

on resident health, particularly the 

reduction in asthmatic episodes for 

children. As part of your health 

outcomes, include a discussion of how 

your program will support the Healthy 

Homes Initiative’s Departmental 

Strategic Goal of reducing allergen 

levels in 5,000 units by 2011, and 

correspondingly, reducing asthmatic 

episodes in 3,000 children living in 

these units. 

In addition, you should describe how 

you will evaluate the benefits of your 

proposed remediations relative to their 

costs or alternative approaches to 

achieving these same outcomes. For 

example, you could compare the costs 

and benefits of the healthy homes 

approach in which multiple housingrelated environmental health and safety 

hazards are assessed and remediated by 

a comprehensive method, to costs and 

benefits associated with adopting a 

‘‘single hazard’’ model in which 

separate assessments and remediations 

are carried out by several different 

programs. You could also estimate the 

monetary benefits of remediations that 

prevent illness (e.g., reducing asthma 

symptoms) or reducing injuries. 

In evaluating Rating Factor 5, HUD 

will consider how you have described 

the benefits and outcome measures of 

your program. HUD will also consider 

the proposed objectives and 

performance measures relative to cost 

and achieving the purpose of the 

program, as well as the evaluation plan, 

to ensure the project is on schedule and 

within budget. 

You must submit Form HUD–96010. 

HUD is using an electronic Logic Model 

with drop down menus from which you 

can select needs, activities, and 

outcomes appropriate to your program. 

See the General Section for detailed 

information on use of the Logic Model. 

HUD is requiring grantees to use 

program-specific questions to selfevaluate the management and 

performance of their program. For FY 

2007, HUD is considering a new concept 

for the Logic Model. The new concept 

is a Return on Investment statement. 

HUD will be publishing a separate 

notice on the ROI concept. Training on 

HUD’s logic model will be provided via 

satellite broadcast. 

f. Bonus Points: RC/EZ/EC–II (2 

points) 

Applicants are eligible to receive 2 

bonus points for projects located within 

federally designated Renewable 

Communities (RCs), Empowerment 

Zones (EZs), or Enterprise Communities 

(ECs) designated by USDA in round II 

(EC–IIs) (collectively referred to as RC/ 

EZ/EC–IIs), and which will serve the 

residents of these communities (see the 

General Section). In order to be eligible 

for the bonus points, applicants must 

submit a completed Form HUD–2990 

signed by the appropriate official of the 

RC/EZ/EC–II. 

B. Reviews and Selection Process. The 

review and selection process is 

provided in the General Section. The 

General Section also provides the 

procedures for correcting deficient 

applications. 

VI. Award Administration Information 

A. Award Notices 

1. Applicants Selected for Award. 

(a) Successful applicants will receive 

a letter from the Office of Healthy 

Homes and Lead Hazard Control Grant 

Officer providing details regarding the 

effective start date of the cooperative 

agreement and any additional data and 

information to be submitted to execute 

a cooperative agreement. This letter is 

not an authorization to begin work or 

incur costs under the cooperative 

agreement or grant. 

(b) HUD may require that a selected 

applicant participate in negotiations to 

determine the specific terms of the 

cooperative agreement and budget. 

Should HUD not be able to successfully 

conclude negotiations with a selected 

applicant, an award will not be made. 

If the applicant accepts the terms and 

conditions of the cooperative agreement, 

a signed cooperative agreement must be 

returned by the date specified. 

Instructions on how to have the 

cooperative agreement account entered 

into HUD’s Line of Credit Control 

System (LOCCS) payment system will 

be provided. Other forms and program 

requirements will be provided. In 

accordance with OMB Circular A–133 

(Audits of States, Local Governments 

and Nonprofit Organizations), awardees 

will have to submit their completed 

audit-reporting package along with the 

Data Collection Form (SF–SAC) to the 

Single Audit Clearinghouse. The 

address can be obtained from their Web 

site. The SF–SAC can be downloaded at: 

http://harvester.census.gov/sac/. 

2. Debriefing. The General Section 

provides the procedures for applicants 

to request a debriefing. 

3. Negotiation. Refer to the General 

Section for additional details. 

4. Adjustments to Funding. Refer to 

the General Section for additional 

details. 

B. Administrative and National Policy 

Requirements 

1. Environmental Requirements. 

Under the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007), 

the provisions of section 305(c) of the 

Multifamily Housing Property 

Disposition Reform Act of 1994, 

implemented by HUD regulations at 24 

CFR part 58, ‘‘Environmental Review 

Procedures for Entities Assuming HUD 

Environmental Responsibilities,’’ are 

applicable to properties assisted with 

Healthy Homes Demonstration funds. In 

accordance with part 58, applicants 

under this NOFA that are States, units 

of general local government or Indian 


rwilkins on PROD1PC63 with NOTICES_2
11590 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Tribes must act as the responsible entity 

and assume the environmental review 

responsibilities for activities funded 

under this NOFA. Other applicants 

must arrange for the unit of general local 

government or Indian Tribe to act as the 

responsible entity. Under 24 CFR 58.11, 

if a non-recipient responsible entity 

objects to performing the environmental 

review, or if a recipient that is not a 

responsible entity objects to the local or 

tribal government performing the 

environmental review, HUD may 

designate another responsible entity to 

perform the review or may perform the 

environmental review itself under the 

provisions of 24 CFR part 50. Healthy 

Homes Demonstration Program 

applicants and other participants in 

activities under this NOFA may not 

undertake, or commit or expend federal 

or non-federal funds (including HUDleveraged or match funds) for housing 

interventions, related rehabilitation or 

other physical activities until the 

responsible entity completes an 

environmental review and the applicant 

submits and obtains HUD approval of a 

request for release of funds and the 

responsible entity’s environmental 

certification in accordance with part 58 

(or until HUD has completed an 

environmental review under part 50). 

The results of environmental reviews on 

individual projects may require that 

proposed activities be modified or 

proposed sites rejected. For assistance, 

contact Edward Thomas, the Office of 

Healthy Homes and Lead Hazard 

Control Environmental Officer at (215) 

861–7670 (this is not a toll-free number) 

or the HUD Environmental Review 

Officer in the HUD Field Office serving 

your area. If you are a hearing-or 

speech-impaired person, you may reach 

the telephone number via TTY by 

calling the toll-free Federal Information 

Relay Service at 1–800–877–8339. 

Recipients of a cooperative agreement 

under this NOFA will be given guidance 

in these responsibilities. 

2. Executive Order 13202. 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and FederallyFunded Construction Projects.’’ See 

General Section for information 

concerning this requirement. http:// 

www.hud.gov/. 

3. Procurement of Recovered 

Materials. See the General Section for 

information concerning this 

requirement. 

4. Relocation. The relocation 

requirements of the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act of 1970 (URA), 

as amended, and the implementing 

government wide regulation at 49 CFR 

part 24, that cover any person 

(including individuals, businesses, and 

farms) displaced as a direct result of the 

acquisition, rehabilitation, or 

demolition of real property apply to this 

grant program. If such persons are 

required to temporarily relocate for a 

project, the requirements of the URA 

regulations at 49 CFR 24.2(a)(9) must be 

met. HUD recommends you review 

these regulations when preparing your 

proposal. (They can be downloaded 

from the Government Printing Office 

website at http://www.gpoaccess.gov/ 

cfr/index.html by entering the 

regulatory citation in quotes without 

any spaces (e.g., ‘‘49CFR24.2’’) in the 

Quick Search box.). See Section III.C.4.e 

of the General Section for additional 

information about relocation. 

5. Davis-Bacon Wage Rates. The 

Davis-Bacon wage rates are not 

applicable to this program. However, if 

you use grant funds in conjunction with 

other federal programs, Davis-Bacon 

requirements will apply to the extent 

required under the other federal 

programs. 

6. Audit Requirements. Any grant 

recipient that spends $500,000 or more 

in federal financial assistance in a single 

year must meet the audit requirements 

established in 24 CFR part 84 or 85, as 

applicable, in accordance with OMB 

Circular A–133. 

C. Reporting 

Successful applicants will be required 

to submit quarterly and final program 

and financial reports according the 

requirements of the Office of Healthy 

Homes and Lead Hazard Control. 

Specific guidance and additional details 

will be provided to successful 

applicants. The following items are a 

part of OHHLHC reporting 

requirements. 

1. Final Work Plan and Budget are 

due prior to the effective start of the 

cooperative agreement. 

2. Progress reports are due on a 

quarterly basis. In quarterly reports, 

grantees provide information about 

accomplishments in the areas of 

program management and capacity 

building; assessment and intervention 

activities; community education, 

outreach, training and capacity 

building; data collection and analysis; 

as well as a listing of completed units 

and financial report. Project benchmarks 

and milestones will be tracked using a 

benchmark spreadsheet that uses the 

benchmarks and milestones identified 

in the Logic Model form (HUD–96010) 

approved and incorporated into your 

award agreement. For specific reporting 

requirements, see policy guidance at 

http://www.hud.gov/offices/lead. 

3. A final report is due at the end of 

the project period, which includes final 

project benchmarks and milestones 

achieved against the proposed 

benchmarks and milestones in the Logic 

Model (HUD–96010) approved and 

incorporated into your award 

agreement. The final report shall also 

respond to the management questions 

found in the Logic Model and approved 

for your program. Specific information 

on all reporting requirements will be 

provided to successful applicants. 

4. Racial and Ethnic Beneficiary Data. 

HUD does not require Healthy Homes 

Demonstration Program awardees to 

report ethnic and racial beneficiary data 

as part of their initial application 

package. However, such data must be 

reported on an annual basis, at a 

minimum, during the implementation of 

your cooperative agreement. You must 

use the Office of Management and 

Budget’s Standards for the Collection of 

Racial and Ethnic Data to report these 

data, using Form HUD–27061, ‘‘Race 

and Ethnic Data Reporting Form,’’ if 

applicable (HUD Race Ethnic Form on 

Grants.gov) found on http:// 

www.hudclips.org/sub_nonhud/html/ 

forms.htm, along with instructions for 

its use. 

VII. Agency Contacts 

For questions related to the 

application download submission 

process, you may contact the Grants.gov 

helpline at 800–518–GRANTS. For 

programmatic questions, you may 

contact by writing: Emily E. Williams, 

Director; Healthy Homes Division; 

Department of Housing and Urban 

Development; Office of Healthy Homes 

and Lead Hazard Control; 451 Seventh 

Street, SW., Room 8236; Washington, 

DC 20410–3000; or by telephone at (336) 

547–4002, extension 2067 (this is not a 

toll-free number); or via e-mail at: 

Emily_E._Williams@hud.gov. For 

administrative questions, you may 

contact Curtissa L. Coleman, Grants 

Officer, at the address above or by 

telephone at: (202) 402–7580 (this is not 

a toll-free number) or via e-mail at: 

Curtissa_L._Coleman@hud.gov. If you 

are hearing- or speech-impaired, you 

may reach the above telephone numbers 

via TTY by calling the toll-free Federal 

Information Relay Service at 800–877–

8339. 

VIII. Other Information 

A. General. For additional general, 

technical, and program information 

pertaining to the Office of Healthy 

Homes and Lead Hazard Control, visit: 

http://www.hud.gov/offices/lead. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11591 

B. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2539–0015. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 80 hours to prepare the 

application and 16 hours to finalize the 

cooperative agreement. This includes 

the time for collecting, reviewing, and 

reporting the data for the application. 

This information will be used for 

grantee selection. The reporting burden 

for completion of the Quality Assurance 

Plan by applicants who are awarded a 

grant is estimated at 24 hours per 

grantee (OMB approval is pending). 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 


rwilkins on PROD1PC63 with NOTICES_2
11592 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.016</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11593 

Housing Choice Voucher Family SelfSufficiency Program Coordinators 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Public and Indian Housing, 

Office of Public Housing and Voucher 

Programs. 

B. Funding Opportunity Title: 

Housing Choice Voucher (HCV) Family 

Self-Sufficiency (FSS) Program 

Coordinators. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–15, the OMB Approval Number 

is 2577–0178. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): 14.871, 

Section 8 Housing Choice Vouchers. 

F. Dates: The application deadline 

date is May 18, 2007. Please see the 

General Section for timely receipt 

requirements. 

G. Additional Information: The 

purpose of the HCV FSS program is to 

promote the development of local 

strategies to coordinate the use of 

assistance under the HCV program with 

public and private resources to enable 

participating families to increase earned 

income, reduce or eliminate the need for 

welfare assistance, and make progress 

toward economic independence and 

self-sufficiency. The FSS program and 

this FSS NOFA support the 

Department’s strategic goal of helping 

HUD-assisted renters make progress 

toward self-sufficiency. The FSS 

program provides critical tools that can 

be used by communities to support 

welfare reform and help families 

develop new skills that will lead to 

economic self-sufficiency. As a result of 

their participation in the FSS program, 

many families have achieved stable, 

well-paid employment. An FSS program 

coordinator assures that program 

participants are linked to the supportive 

services they need to achieve selfsufficiency. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Authority and Program 

Description. The Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007) 

allows funding for program coordinators 

under the HCV FSS program under 

Section 23 of the United States Housing 

Act of 1937. Through annual NOFAs, 

HUD has provided funding to public 

housing agencies (PHAs) that are 

operating HCV FSS programs to enable 

those PHAs to employ program 

coordinators to support their HCV FSS 

programs. In the Fiscal Year (FY) 2007 

HCV FSS Program Coordinator NOFA, 

HUD is again making funding available 

to PHAs to employ FSS program 

coordinators and FSS homeownership 

program coordinators for one year. 

Funding priority under this NOFA will 

be provided to applicants with Public 

Housing Information Center (PIC) data 

confirming that their FSS families have 

purchased homes and to applicants 

whose PIC data demonstrate program 

accomplishments, such as increased 

HCV FSS program size, increased 

earned income of program participants, 

and families successfully completing 

their FSS contracts. HUD will accept 

applications from both new and renewal 

PHAs that have HUD approval to 

administer an HCV FSS program. PHAs 

funded under the HCV FSS NOFA in FY 

2005 or FY 2006 are considered 

‘‘renewal’’ PHAs in this NOFA. These 

renewal PHAs are invited to apply for 

funds to continue previously funded 

HCV FSS program coordinator and FSS 

homeownership coordinator positions 

that they have filled. 

Because of the importance of the FSS 

program in helping families increase 

earned income and develop assets, HUD 

will also accept applications from 

‘‘new’’ PHAs (PHAs that do not qualify 

as renewal PHAs as defined under this 

FSS NOFA). The maximum number of 

positions that a new applicant PHA, 

including new PHA joint applicants, 

may receive is one full-time FSS 

program coordinator. 

To support the Department’s 

initiatives on Colonias, a selection 

preference is again included for ‘‘new’’

applicant PHAs that provide services 

and support to rural under-served 

communities in the Southwest Border 

regions of Arizona, California, New 

Mexico, and Texas. See Section III.C.3.c. 

of this NOFA for requirements that must 

be met to qualify for the Colonias 

preference. 

PHAs are encouraged to reach out to 

persons with disabilities who are HCV 

program participants and might be 

interested in participating in the FSS 

program. PHAs are also encouraged to 

include agencies on their FSS Program 

Coordinating Committee (PCC) that 

work with and provide services to 

families with disabilities. 

Applicants must administer the FSS 

program in accordance with HUD 

regulations and requirements in 24 CFR 

part 984, which govern the HCV FSS 

Program, and must comply with existing 

HCV program requirements, notices, 

and guidebooks. 

B. Number of Positions for Which 

Eligible PHAs May Apply. Eligible 

PHAs may apply for funding for HCV 

FSS program coordinator positions 

under this NOFA as follows: 

1. Renewal PHA Applicants. PHAs 

that qualify as eligible renewal PHA 

applicants under this NOFA may apply 

for continuation of each FSS 

coordinator position, including 

homeownership coordinator positions, 

awarded under the HCV FSS NOFA in 

FY 2005 or FY 2006 that has been filled 

by the PHA. 

2. New PHA Applicants. New PHA 

applicants may apply for HCV FSS 

program coordinator positions as 

follows: a) up to one full-time HCV FSS 

coordinator position for a PHA 

applicant with HUD approval to 

administer a HCV FSS program of 25 or 

more FSS slots and b) up to one fulltime HCV FSS coordinator position per 

application for joint PHA applicants 

that together have HUD approval to 

administer a total of at least 25 HCV FSS 

slots. 

C. Definitions. The following 

definitions apply to the funding 

available under this NOFA. 

1. Renewal PHA Applicant. A PHA or 

PHAs that received funding under the 

HCV FSS NOFA in FY 2005 or FY 2006. 

2. New PHA Applicant. PHAs that did 

not receive funding under the HCV FSS 

NOFA in FY 2005 or FY 2006 that have 

HUD approval to administer a HCV FSS 

program of at least 25 slots or that fulfill 

the 25 slot minimum by applying jointly 

with one or more other PHAs. 

3. FSS Program Size. The total 

number of HCV FSS program slots 

identified in the PHA’s HUD-approved 

FSS Action Plan, or if requested by 

Moving to Work (MTW) PHA 

applicants, the number of slots in the 

applicant’s MTW agreement. The total 

may include both voluntary and 

mandatory HCV FSS program slots. This 

number is used in determining the 

eligibility of new applicant PHAs under 

this NOFA. 

4. Qualifying FSS Homeownership 

Program. Qualifying homeownership 

programs include the HCV 

Homeownership Program and other 

programs administered by the PHA or 

other entities that prepare HCV program 

FSS participants for making the 

transition from renting to 

homeownership. 

5. The Number of HCV FSS Program 

Participants. The total number of 

families shown in HUD’s PIC data 

system or applicable MTW report, as 

enrolled in the applicant’s HCV FSS 

program at the end of a calendar year, 

plus those families that successfully 

completed their FSS contracts during 

that calendar year. 

6. Percentage of Families with 

Positive FSS Escrow Balances. A 


rwilkins on PROD1PC63 with NOTICES_2
11594 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

percentage that will be computed by 

HUD and used to determine funding 

order of priority 2 applicants under this 

NOFA. It is the sum of the number of 

HCV FSS families with positive escrow 

balances and the number of families that 

successfully completed their FSS 

contracts as a percentage of HCV FSS 

families with FSS progress reports. This 

calculation will be made using data for 

the period from December 31, 2005 

through December 31, 2006 that has 

been submitted to HUD on the Form 

HUD–50058. For MTW applicants, a 

comparable reporting source may be 

used. 

7. HCV Program Size. The number of 

HCVs in a PHA’s program as determined 

by HUD using Voucher Management 

System (VMS) data. 

8. HCV FSS Program Size Increase 

Percentage. A percentage calculated for 

renewal PHA applicants whose number 

of HCV FSS participants in Calendar 

Year 2006 is higher than their Calendar 

Year 2005 number of participants. 

II. Award Information 

Available Funds. This NOFA 

announces the availability of 

approximately $47,000,000 in FY 2007 

to employ FSS program and FSS 

homeownership coordinators for the 

HCV FSS program. If additional funding 

becomes available during FY 2007, HUD 

may increase the amount available for 

coordinators under this NOFA. A 

maximum of $65,500 is available for 

each full-time coordinator position 

funded. Salaries are to be based on local 

comparables. The funding will be 

provided as a one-year HCV funding 

increment under the PHA’s Annual 

Contributions Contract (ACC). HUD 

reserves the right to adjust funding for 

renewal positions in order to ensure a 

fair and reasonable distribution of 

funding. 

III. Eligibility Information 

A. Eligible Applicants. PHAs eligible 

to apply for funding under this NOFA 

are: 

1. Renewal PHA Applicants. Those 

PHAs that received funding under the 

HCV FSS NOFA in FY 2005 or FY 2006. 

To continue to qualify as renewal PHAs, 

the FY 2007 application of joint 

applicants must include at least one 

PHA applicant that meets this standard. 

Joint applicants can change the lead 

PHA in their FY 2007 application. A 

PHA that was originally funded as part 

of a joint application that wishes to now 

apply separately would continue to be 

considered a renewal PHA applicant for 

funding purposes, but must be able to 

meet the FSS minimum program size 

requirement of a HUD-approved HCV 

FSS program of at least 25 slots that 

applies to new applicant PHAs. 

2. New PHA Applicants. PHAs that 

were not funded under the HCV FSS 

NOFA in FY 2005 or FY 2006. The new 

applicant PHA must be authorized 

through its HUD-approved FSS Action 

Plan to administer an HCV FSS program 

of at least 25 slots, or be a PHA with 

HUD approval to administer an HCV 

FSS program of fewer than 25 slots that 

applies jointly with one or more other 

PHAs so that together they have HUD 

approval to administer at least 25 HCV 

FSS slots. Joint applicants must specify 

a lead co-applicant that will receive and 

administer the FSS program coordinator 

funding. 

3. MTW PHAs. New and renewal 

PHAs that are under MTW agreements 

with HUD may qualify for funding 

under this NOFA if the PHA 

administers an FSS program. When 

determining the size of a new applicant 

MTW PHA’s HUD-approved FSS 

program, the PHA may request that the 

number of FSS slots reflected in the 

PHA’s MTW agreement be used instead 

of the number in the PHA’s FSS Action 

Plan. 

4. Troubled PHAs 

a. A PHA that has been designated by 

HUD as a troubled PHA under the 

Section Eight Management Assessment 

Program (SEMAP), or that has serious 

program management findings from 

Inspector General audits or serious 

outstanding HUD management review 

or Independent Public Accountant (IPA) 

audit findings for the PHA’s HCV or 

Moderate Rehabilitation programs that 

are resolved prior to this NOFA’s 

application due date is eligible to apply 

under this NOFA. Serious program 

management findings are those that 

would cast doubt on the capacity of the 

PHA to administer its HCV FSS program 

in accordance with applicable HUD 

regulatory and statutory requirements. 

b. A PHA whose SEMAP troubled 

designation has not been removed by 

HUD or whose major program 

management findings or other 

significant program compliance 

problems have not been resolved by the 

application due date may apply if the 

PHA meets the requirements stated in 

Section III.C.3.e. of this NOFA. 

B. Cost Sharing or Matching. None 

required. 

C. Other 

1. Eligible Activities. Funds awarded 

to PHAs under this FSS NOFA may only 

be used to pay salaries and fringe 

benefits of HCV FSS program staff. 

Funding may be used to employ or 

otherwise retain for one year the 

services of HCV FSS program 

coordinators and HCV FSS 

homeownership coordinators. FSS 

coordinator support positions funded 

under previous FSS NOFAs that made 

funding available for such FSS positions 

may be continued. A part-time program 

coordinator may be retained where 

appropriate. 

2. Threshold Requirements 

a. All Applicants 

(1) Each applicant must qualify as an 

eligible PHA under Section III.A. of this 

NOFA and must have submitted their 

FSS application by the application due 

date and in the format required in 

Section IV. of this NOFA. 

(2) All applications must include a 

Dun and Bradstreet Universal 

Numbering System (DUNS) number. 

(See the General Section for further 

information about the DUNS number 

requirement.) 

(3) Compliance with Fair Housing and 

Civil Rights Laws. The General Section 

of the SuperNOFA applies. 

(4) Additional nondiscrimination and 

other requirements. The General Section 

of the SuperNOFA applies. The 

Affirmatively Furthering Fair Housing 

requirements of the General Section also 

apply. Section 3 of the Housing and 

Urban Development Act of 1968 does 

not apply to this program. 

(5) The PHA must have a financial 

management system that meets federal 

standards. See the General Section 

regarding those applicants that may be 

subject to HUD’s arranging for a preaward survey of an applicant’s financial 

management system. 

(6) Applicants must comply with the 

requirements for funding competitions 

established by the HUD Reform Act of 

1989 (42 U.S.C. 3531 et seq.) and other 

requirements as defined in the General 

Section. 

b. Renewal Applicants. Continued 

funding for existing coordinator 

positions. In addition to meeting the 

requirements of Section III.A. of this 

FSS NOFA, renewal PHA applicants 

must continue to operate an HCV FSS 

program, have filled eligible FSS 

program coordinator positions for which 

they are seeking renewal funding, 

executed FSS contracts of participation 

with HCV FSS program families, and 

submitted reports on participant 

families to HUD via the form HUD–

50058, or a similar report for MTW PHA 

applicants. 

c. New Applicants. New applicants 

must meet the requirements of Section 

III.A. and Section III. C.2.a of this FSS 

NOFA. 

3. Program Requirements. 

a. Salary Comparables. For all 

positions requested under this NOFA, 

evidence of salary comparability to 

similar positions in the local 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11595 

jurisdiction must be kept on file in the 

PHA office. 

b. FSS Action Plan. The requirements 

for the FSS Action Plan are stated in 24 

CFR 984.201. For a new PHA applicant 

to qualify for funding under this NOFA, 

the PHA’s initial FSS Action Plan or 

amendment to change the number of 

HCV FSS slots in the PHA’s previously 

HUD-approved FSS Action Plan must be 

submitted to and approved by the PHA’s 

local HUD field office prior to the 

application due date of this FSS NOFA. 

An FSS Action Plan can be updated by 

means of a simple one-page addendum 

that reflects the total number of HCV 

FSS slots (voluntary and/or mandatory 

slots) the PHA intends to fill. New PHA 

applicants with previously approved 

HCV FSS Action Plans may wish to 

confirm the number of HUD-approved 

slots their local HUD field office has on 

record for the PHA. A new applicant 

MTW PHA may request that the number 

of FSS slots in its MTW agreement be 

used instead of the number of slots in 

the PHA’s FSS Action Plan. 

c. Colonias Preference. New applicant 

PHAs claiming the Colonias preference 

must meet the requirements of Sections 

III.A., III.C.2.a. and III.C.2.c. of this FSS 

NOFA and must operate in a Southwest 

border area that contains Colonia 

communities and administer programs 

that include outreach to members of 

those Colonia communities. Attachment 

A of this NOFA provides a listing of 

PHAs in Arizona, California, New 

Mexico, and Texas that HUD has 

identified as operating in areas 

containing Colonia communities. PHAs 

not listed in Attachment A that are 

claiming the Colonias preference will be 

required to submit a written request that 

HUD determine their eligibility for the 

preference. The request must be 

submitted prior to the application 

deadline date and must be sent to 

Lorenzo ‘‘Larry’’ Reyes, Coordinator, 

SW Border Colonias and Migrant 

Farmworker Initiative, Office of 

Departmental Operations and 

Coordination, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 3120, Washington, 

DC 20410. Any PHA that fails to submit 

its request by the application deadline 

will be ineligible for the Colonias 

preference. 

d. Homeownership Preferences. See 

priority funding categories in Section 

V.B.2. of this FSS NOFA. Reported HCV 

FSS home purchase numbers will be 

subject to post audit. 

e. Troubled PHAs. A PHA whose 

SEMAP troubled designation has not 

been removed by HUD or that has major 

program management findings or other 

significant program compliance 

problems that have not been resolved by 

the application due date, may apply if 

the PHA submits an application that 

designates another organization or 

entity that is acceptable to HUD and 

that: 

(1) Includes an agreement by the other 

organization or entity to administer the 

FSS program on behalf of the PHA; and 

(2) In the instance of a PHA with 

unresolved major program management 

findings, includes a statement that 

outlines the steps the PHA is taking to 

resolve the program findings. 

Immediately after the publication of 

this NOFA, the Office of Public Housing 

in the local HUD field office will notify, 

in writing, those PHAs that have been 

designated by HUD as troubled under 

SEMAP, and those PHAs with 

unresolved major program management 

findings or other significant program 

compliance problems that are not 

eligible to apply without such an 

agreement. Concurrently, the local HUD 

field office will provide a copy of each 

such written notification to the Director 

of the Grants Management Center. If an 

applicant that is required to have an 

agreement under this section fails to 

submit the required agreement, this will 

be treated as a technical deficiency. See 

General Section for more information on 

Corrections to Deficient Applications. 

f. Conducting Business in Accordance 

with Core Values and Ethical Standards. 

To reflect core values, all PHAs shall 

develop and maintain a written code of 

conduct in the PHA administrative plan 

that: 

(1) Requires compliance with the 

conflict-of-interest requirements of the 

HCV program at 24 CFR 982.161; and 

(2) Prohibits the solicitation or 

acceptance of gifts or gratuities, in 

excess of a nominal value, by any officer 

or employee of the PHA, or any 

contractor, subcontractor, or agent of the 

PHA. The PHA’s administrative plan 

shall state PHA policies concerning 

PHA administrative and disciplinary 

remedies for violation of the PHA code 

of conduct. The PHA shall inform all 

officers, employees, and agents of its 

organization of the PHA’s code of 

conduct. See the General Section for 

additional information on the Code of 

Conduct requirement. 

IV. Application and Submission 

Information 

A. Addresses To Request Application 

Package 

1. Web site. A copy of this funding 

announcement for the HCV FSS 

program may be downloaded from the 

following Web site: http:// 

www.Grants.gov/applicants/ 

apply_for_grants.jsp. 

2. Further Information. When 

requesting information, please refer to 

the name of the program you are 

interested in. The NOFA Information 

Center opens for business 

simultaneously with the publication of 

the SuperNOFA. You can also obtain 

information on this NOFA when you 

download the instructions from the 

www.Grants.gov Web site identified 

above. 

3. Technical Assistance. See Section 

VII. of this FSS funding announcement. 

B. Content and Form of Application 

Submission 

1. Content of Application. Each new 

and renewal PHA must complete form 

SF–424; the SF–LLL, if appropriate; the 

form HUD–52651, the HCV FSS 

application form; HUD–2880, 

‘‘Applicant/Recipient Disclosure/ 

Update Report’’ (HUD Applicant 

Recipient Disclosure Report on 

Grants.gov); HUD–2994–A, You are our 

Client Grant Applicant Survey; HUD–

2991, Certification of Consistency with 

the Consolidated Plan; and an 

Affirmatively Furthering Fair Housing 

statement in accordance with the 

General Section. In addition, the 

application must include a completed 

Logic Model (form HUD–96010) 

showing proposed performance 

measures applicable to the one-year 

term of the funding requested under this 

NOFA. See the General Section for 

information on the Logic Model. A copy 

of form HUD–52651, the HCV FSS 

application form, and the HUD–96010, 

Logic Model form, are part of the 

INSTRUCTIONS download. Applicants 

choosing the Outputs/Outcomes 

category of ‘‘Other’’ must include a brief 

narrative explanation of the category in 

their application package. In completing 

the SF–424, renewal PHAs should select 

the continuation box on question 2, type 

of application. The Federal Identifier 

requested in 5a. is the PHA number of 

each applicant PHA (e.g., MD035 or 

AK002). The Federal Award Identifier is 

the PHA number including the 

increment number for the last award 

(e.g., MD035V012 or AK002V005). Both 

new and renewal PHA applicants 

should enter the proposed Annual 

Contributions Contract (ACC) 

amendment effective and ending dates 

for the FSS coordinator funding in 

Section 17 of the SF–424. In Section 18 

of SF–424 (Estimated Funding), 

complete only 18.a., which will be the 

amount requested from HUD in the FY 

2007 FSS application, and 18.g., Total. 

The dollar amounts entered in 18.a. and 

18.g. must be the total requested under 


rwilkins on PROD1PC63 with NOTICES_2
11596 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

this NOFA. Those totals should include 

amounts for fringe benefits, if 

applicable, and the percentage increase 

for renewal PHA applicants. In 

completing Part IV. A. of form HUD–

52651, enter the salary requested per 

position under the NOFA with the 

percentage increase included. 

C. Submission Date and Time. Your 

completed application must be received 

and validated by Grants.gov no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. Please note 

that validation may take up to 72 hours. 

Applicants should carefully read the 

section titled ‘‘APPLICATION and 

SUBMISSION INFORMATION’’ in the 

General Section. 

D. Intergovernmental Review. This 

NOFA is not subject to Executive Order 

(EO) 12372, Intergovernmental Review 

of Federal Programs. 

E. Funding Restrictions 

1. Salary Cap. Awards under this 

NOFA are subject to a cap of $65,500 

per year per full-time coordinator 

position funded. Under this NOFA, if 

PHAs apply jointly, the $65,500 

maximum amount that may be 

requested per position applies to up to 

one full-time coordinator position for 

the application as a whole, not to each 

PHA separately. 

2. Limitation on Renewal Funding 

Increases. For renewal coordinator 

positions, PHAs will be limited to a one 

percent increase above the amount of 

the most recent award for the position 

unless a higher increase is approved by 

the local HUD field office after review 

of the PHA’s written justification and at 

least three comparables that must be 

submitted to the field office by the 

application due date. Examples of 

acceptable reasons for increases above 

one percent would be a need for a 

coordinator with higher level of skills or 

to increase the hours of a part-time 

coordinator to full time. Total positions 

funded cannot exceed the maximum 

number of positions for which the PHA 

is eligible under this NOFA. 

3. Ineligible Activities 

a. Funds under this NOFA may not be 

used to pay the salary of an FSS 

coordinator for a public housing FSS 

program. An HCV FSS program 

coordinator may only serve HCV 

families while the public housing FSS 

program serves only public housing 

residents. In FY 2007, funding for 

public housing FSS program 

coordinators is being made available 

through the Public Housing Resident 

Opportunities and Self-Sufficiency 

(ROSS) NOFA for Public Housing FSS 

Program Coordinators that is included 

in the FY 2007 SuperNOFA. 

b. Funds under this FSS NOFA may 

not be used to pay for services for FSS 

program participants. 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedures. See the General 

Section. Electronic application 

submission is mandatory unless an 

applicant requests, and is granted, a 

waiver to the requirement. Applicants 

should submit their waiver requests in 

writing using e-mail. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be submitted to 

Alfred_C._Jurison@hud.gov and to 

Kathryn_L._Greenspan@hud.gov. The 

subject line of the email message should 

be FY’07 HCV FSS NOFA Waiver 

Request. If an applicant is granted a 

waiver, then the approval will provide 

instructions for submitting paper copies 

to the appropriate HUD office(s). All 

paper applications must be received by 

the application deadline date to meet 

the requirements for timely submission. 

V. Application Review Information 

A. Criteria. The funds available under 

this NOFA are being awarded based on 

demonstrated performance. 

Applications are reviewed by the local 

HUD field office and Grants 

Management Center (GMC) to determine 

whether or not they are technically 

adequate based on the NOFA 

requirements. Field offices will provide 

to the GMC in a timely manner, as 

requested, information needed by the 

GMC to make its determination, such as 

the HUD-approved HCV FSS program 

size of new PHA applicants and 

information on the administrative 

capabilities of PHAs. Categories of 

applications that will not be funded are 

stated in Section V.B.6. of this FSS 

NOFA. 

B. Review and Selection Process 

1. Technically Acceptable 

Applications. All technically adequate 

applications will be funded to the extent 

funds are available. 

2. Funding Priority Categories. If HUD 

receives applications for funding greater 

than the amount made available under 

this NOFA, HUD will divide eligible 

applications into priority categories as 

follows: 

Funding Category 1—Applications 

from eligible renewal PHAs with 

qualifying homeownership programs 

with a minimum of fifteen (15) HCV 

FSS program participants or graduates 

that purchased homes between October 

1, 2000, and the publication date of this 

FSS NOFA and an increase of at least 

ten (10) percent in the number of 

participants in the applicant’s HCV FSS 

program from Calendar Year 2005 to 

Calendar Year 2006. Both the number of 

home purchases and the percentage 

increase in the number the HCV FSS 

program participants will be determined 

by HUD using PIC data from form HUD–

50058 or as otherwise reported for MTW 

PHAs. 

Funding Category 2—Eligible renewal 

PHA applicants with programs that have 

families with positive escrow balances 

and/or families that successfully 

completed their FSS contracts between 

December 31, 2005, and December 31, 

2006. 

Funding Category 3—Eligible renewal 

PHA applicants with qualifying 

homeownership programs and an 

increase in the number of HCV FSS 

program participants of at least ten (10) 

percent from Calendar Year 2005 to 

Calendar Year 2006. 

Funding Category 4—New PHA 

applicants with HUD approval to 

implement an FSS program of at least 25 

slots. 

3. Order of Funding. Starting with 

Funding Category 1, HUD will first 

determine whether there are sufficient 

monies to fund all eligible positions 

requested in the funding category. If 

available funding is not sufficient to 

fund all positions requested in the 

category, HUD will fund applications in 

the following order: 

a. Funding Category 1. HUD will 

calculate the Percentage Increase of 

HCV FSS Program Participants for each 

eligible applicant and will use this 

percentage in making funding decisions. 

HUD will fund eligible applicants in 

order starting with those that have the 

highest Percentage Increase of HCV FSS 

Program Participants. If funding is not 

sufficient to fund all applicants with the 

same Percentage Increase of HCV FSS 

Program Participants, HUD will select 

among eligible applicants by HCV 

program size starting with eligible 

applicants with the smallest HCV 

program size. 

b. Funding Category 2. If funds 

remain, HUD will process requests of 

eligible Funding Category 2 applicant 

PHAs. HUD will first calculate the 

Percentage of Families with Positive 

FSS escrow balances for all eligible 

Funding Category 2 applicants. If there 

are not sufficient monies to fund all 

eligible funding category 2 applicants, 

HUD will fund eligible applications 

starting with those with the highest 

positive escrow percentage. If there are 

not sufficient monies to fund all 

applications with the same positive 

escrow percentage, HUD will select 

eligible applicants in order by HCV 

program size starting with eligible 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11597 

applicants with the smallest HCV 

program size. 

c. Funding Category 3. If funds 

remain, HUD will process eligible 

Funding Category 3 applications. If 

there is not enough funding for all 

applicants, HUD will use the Percentage 

Increase of HCV FSS Participants to 

determine selection order, starting with 

applicants with the highest Percentage 

Increase of HCV FSS Participants. If 

funds are not sufficient for all 

applicants with the same Percentage 

Increase of HCV FSS Participants, HUD 

will fund eligible applicants by HCV 

program size starting with eligible 

applicants with the smallest HCV 

program size. 

d. Funding Category 4. If funds 

remain after all Category 1 through 3 

applicants have been funded, HUD will 

process applications from eligible 

Category 4 new PHA applicants. If there 

are not sufficient monies to fund all 

eligible Category 4 PHA applicants, 

HUD will first fund eligible applications 

from those PHAs qualifying for the 

Colonias preference. If there are not 

sufficient monies to fund all eligible 

Colonias PHA applicants, HUD will 

fund them starting with the smallest 

HCV program size first. If funding 

remains after funding all eligible 

Category 4 Colonias PHA applicants, 

HUD will then begin funding eligible 

non-Colonias applicants by HCV 

program size, starting with eligible 

applicants with the smallest HCV 

program size first. 

4. Based on the number of 

applications submitted, the GMC may 

elect not to process applications for a 

funding priority category where it is 

apparent that there are insufficient 

funds available to fund any applications 

within the priority category. 

5. Corrections to Deficient 

Applications. The General Section 

provides the procedures for corrections 

to deficient applications. 

6. Unacceptable Applications. After 

the technical deficiency correction 

period (as provided in the General 

Section), the GMC will disapprove PHA 

applications that it determines are not 

acceptable for processing. Applications 

from PHAs that fall into any of the 

following categories are ineligible for 

funding under this NOFA and will not 

be processed: 

a. An application submitted by an 

entity that is not an eligible PHA as 

defined under Section III.A. and Section 

III.C. of this FSS NOFA or an 

application that does not comply with 

the requirements of Section IV.B., IV.C., 

and IV.F. of this FSS NOFA. 

b. An application from a PHA that 

does not meet the fair housing and civil 

rights compliance requirements of the 

General Section. 

c. An application from a PHA that 

does not comply with the prohibition 

against lobbying activities of the General 

Section. 

d. An application from a PHA that as 

of the application due date has not 

made progress satisfactory to HUD in 

resolving serious outstanding Inspector 

General audit findings, or serious 

outstanding HUD management review 

or Independent Public Accountant audit 

findings for the HCV program and/or 

Moderate Rehabilitation program or has 

a ‘‘troubled’’ rating under SEMAP, and 

has not designated another organization 

acceptable to HUD to administer the 

FSS program on behalf of the PHA as 

required in Section III.C.3.e. of this FSS 

NOFA. 

e. An application from a PHA that has 

been debarred or otherwise disqualified 

from providing assistance under the 

program. 

f. An application that did not meet the 

application due date and timely receipt 

requirements as specified in this NOFA 

and the General Section. 

g. Applications will not be funded 

that do not meet the Threshold 

requirements identified in this NOFA 

and the General Section. 

C. Anticipated Announcement and 

Award Dates. It is anticipated that 

award announcements will take place 

during either the month of July or 

August 2007. 

VI. Award Administration Information 

A. Award Notices. Successful 

applicants will receive an award letter 

from HUD. Funding will be provided to 

successful applicants as an amendment 

to the ACC of the applicant PHA. In the 

case of awards to joint applicants, the 

funding will be provided as an 

amendment to the ACC of the lead PHA 

that was identified in the application. 

Unsuccessful applicants will receive a 

notification of rejection letter from the 

GMC that will state the basis for the 

decision. The applicant may request an 

applicant debriefing. Beginning not less 

than 30 days after the awards for 

assistance are publicly announced in 

the Federal Register and for at least 120 

days after awards for assistance are 

announced publicly, HUD will, upon 

receiving a written request, provide a 

debriefing to the requesting applicant. 

(See the General Section for additional 

information regarding a debriefing.) 

Applicants requesting to be debriefed 

must send a written request to: Iredia 

Hutchinson, Director, Grants 

Management Center, U.S. Department of 

Housing and Urban Development, 501 

School Street, SW., Suite 800, 

Washington, DC 20024. 

B. Administrative and National Policy 

Requirements 

1. Environmental Impact. Under 24 

CFR 50.19(b)(4) and (12), no 

environmental review is required in 

connection with activities conducted 

under this NOFA, because the NOFA 

provides funds for employing a 

coordinator to provide only public and 

supportive services, which are 

categorically excluded from 

environmental review under the 

National Environmental Policy Act of 

1969 (42 U.S.C. 4321) and not subject to 

the related environmental authorities. 

2. HUD’s Strategic Goals. HUD is 

committed to ensuring that programs 

result in the achievement of HUD’s 

strategic mission. The FSS program and 

this FSS NOFA support the 

Department’s strategic goals of 

increasing homeownership activities 

and helping HUD-assisted renters make 

progress toward self-sufficiency by 

giving funding preference to PHAs 

whose FSS programs show success in 

moving families to self-sufficiency and 

homeownership. You can find out about 

HUD’s Strategic Framework and Annual 

Performance Plan at http:// 

www.hud.gov/offices/cfo/reports/ 

cforept.cfm. 

3. HUD Policy Priorities. This NOFA 

supports HUD’s policy priorities of 

providing increased homeownership 

opportunities and increased selfsufficiency of low-income families 

through employment. Consequently, 

funding priority in this NOFA will be 

given to those PHA applicants that 

demonstrate that a minimum of 15 of 

their FSS families have become 

homeowners that have increased their 

FSS program size by at least 10 percent 

in calendar year 2006 and to applicants 

with program participants who have 

increased their earned income since 

enrolling in FSS and/or have families 

that completed their FSS contracts in 

the last calendar year. See the General 

Section for a full discussion of HUD’s 

policy priorities. 

C. Reporting. Successful applicants 

must report activities of their FSS 

enrollment, progress and exit activities 

of their FSS program participants 

through required submissions of the 

Form HUD–50058. HUD’s assessment of 

the accomplishments of the FSS 

programs of PHAs funded under this 

NOFA will be based primarily on PIC 

system data obtained from form HUD–

50058. MTW PHAs that do not report to 

HUD on form HUD–50058 will be asked 

to submit an annual report to HUD with 

the same information on FSS program 


rwilkins on PROD1PC63 with NOTICES_2
11598 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

activities that is provided to HUD by 

non-MTW PHAs via form HUD–50058. 

Each recipient is also required to submit 

a completed Logic Model showing 

accomplishments against proposed 

outputs and outcomes as part of their 

annual reporting requirement to HUD. 

Recipients shall use quantifiable data to 

measure performance against goals and 

objectives outlined in their Logic Model. 

An annual Performance Report 

consisting of the updated Logic Model 

and answers to the Program 

Management and Evaluations Questions 

must be submitted to the Public 

Housing Director in the recipient’s local 

HUD field office no later than 30 days 

after the ending date of the one-year 

funding increment provided to the 

recipient under this NOFA. For FY 

2007, HUD is considering a new concept 

for the Logic Model. The new concept 

is a Return on Investment (ROI) 

statement. HUD plans to issue a Federal 

Register notice soliciting comment on 

the ROI concept. In addition, HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. It has 

adopted the Office of Management and 

Budget’s Standards for the Collection of 

Racial and Ethnic Data. In view of these 

requirements, funded recipients should 

use Form HUD–27061, Racial and 

Ethnic Data Reporting Form (HUD Race 

Ethnic Form on Grants.gov), or a 

comparable form. Form HUD–50058, 

which provides racial and ethnic data to 

HUD’s PIC data system, is a comparable 

program form. 

VII. Agency Contacts 

A. For Technical Assistance. For 

answers to your questions, you may 

contact the Public and Indian Housing 

Resource Center at 800–955–2232. 

Persons with hearing or speech 

impairments may access this number 

via TTY (text telephone) by calling the 

Federal Information Relay Service at 

800–877–8339. (These are toll-free 

numbers). Prior to the application 

deadline, staff at the numbers given 

above will be available to provide 

general guidance, but not guidance in 

actually preparing the application. 

Following selection, but prior to award, 

HUD staff will be available to assist in 

clarifying or confirming information 

that is a prerequisite to the offer of an 

award by HUD. 

B. Satellite Broadcast. HUD will hold 

an information broadcast via satellite for 

potential applicants to learn more about 

the HCV FSS program and preparation 

of an application. For more information 

about the date and time of this 

broadcast, you should consult the HUD 

website at www.hud.gov. 

VIII. Other Information 

A. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2577–0178. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average one hour per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application and other 

required reporting. The information will 

be used for grantee selection and 

monitoring the administration of funds. 

Response to this request for information 

is required in order to receive the 

benefits to be derived. 

B. Public Access, Documentation, and 

Disclosure. See Section VIII. G. of the 

General Section. 

ATTACHMENT A—PHAS THAT OPERATE IN AREAS CONTAINING COLONIA COMMUNITIES

Arizona PHAs 

City of Douglas Housing Authority ........................................................... City of Nogales Housing Authority. 

City of Eloy Housing Authority ................................................................. City of Yuma Housing Authority. 

Cochise County Housing Authority .......................................................... Yuma County Housing Authority. 

Pinal County Housing Authority ............................................................... Section 8 Housing for Graham County, Arizona Department of Housing. 

California PHAs 

City of Calexico Housing Authority ........................................................... Housing Authority of the County of Riverside. 

Imperial Valley Housing Authority.

New Mexico PHAs 

City of Alamogordo Housing Authority ..................................................... City of Las Cruces/Dona Ana County Housing Authority. 

City of Truth or Consequences Housing Authority .................................. City of Socorro Housing Authority. 

Eddy County—Region VI ......................................................................... Housing Authority of the Village of Santa Clara. 

Lordsburg Housing Authority .................................................................... Otero County—Region VI. 

Silver City Housing Authority—Region V ................................................. Sunland Park Housing Authority. 

Town of Baynard Housing Authority.

Texas PHAs 

Alamo Housing Authority .......................................................................... Asherton Housing Authority. 

Bracketville Housing Authority .................................................................. Brownsville Housing Authority. 

Cameron County Housing Authority ......................................................... Carrizo Housing Authority. 

Del Rio Housing Authority ........................................................................ Dona Housing Authority. 

Eagle Pass Housing Authority .................................................................. Ed Couch Housing Authority. 

Edinburg Housing Authority ...................................................................... Elsa Housing Authority. 

Harlingen Housing Authority ..................................................................... Hidalgo County Housing Authority. 

Laredo Housing Authority ......................................................................... La Joya Housing Authority. 

Los Fresnos Housing Authority ................................................................ McAllen Housing Authority. 

Mercedes Housing Authority .................................................................... Mission Housing Authority. 

Pharr Housing Authority ........................................................................... Port Isabel Housing Authority. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11599 

ATTACHMENT A—PHAS THAT OPERATE IN AREAS CONTAINING COLONIA COMMUNITIES—Continued 

San Benito Housing Authority .................................................................. San Juan Housing Authority. 

Starr County Housing Authority ................................................................ Weslaco Housing Authority. 

Willacy County Housing Authority ............................................................ Uvalde Housing Authority. 

Zapata County Housing Authority.


rwilkins on PROD1PC63 with NOTICES_2
11600 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.017</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11601 

Rural Housing and Economic 

Development Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Community Planning and Development, 

Office of Rural Housing and Economic 

Development. 

B. Funding Opportunity Title: Rural 

Housing and Economic Development 

(RHED) program. 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: FR–

5100–N–02, OMB Approval Number 

2506–0169. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Numbers: 14.250, 

Rural Housing and Economic 

Development. 

F. Application Date: The application 

deadline date is May 23, 2007. 

Applications submitted through http:// 

www.grants.gov must be received and 

validated by grants.gov no later than 

11:59:59 Eastern time on the application 

deadline date. The validation process 

may take up to 72 hours. 

G. Optional, Additional Overview 

Information 

Purpose of Program: The purpose of 

the Rural Housing and Economic 

Development program is to provide 

support for innovative housing and 

economic development activities in 

rural areas. The funds made available 

under this program will be awarded 

competitively through a selection 

process conducted by HUD in 

accordance with the HUD Reform Act. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Background 

There has been a growing national 

recognition of the need to provide 

support for local rural nonprofit 

organizations, community development 

corporations, federally recognized 

Indian tribes, state housing finance 

agencies (HFAs), and state economic 

development and community 

development agencies to expand the 

supply of affordable housing and to 

engage in economic development 

activities in rural areas. A number of 

resources are available from the federal 

government to address these problems, 

including programs of the U.S. 

Department of Agriculture (USDA), the 

Economic Development Administration 

(EDA), the Appalachian Regional 

Commission (ARC), the Department of 

Interior (for Indian tribes), and HUD. 

The Rural Housing and Economic 

Development program was developed to 

supplement these resources and to focus 

specifically on promoting innovative 

approaches to housing and economic 

development in rural areas. In 

administering these funds, HUD 

encourages you to coordinate your 

activities with those supported by any 

of the agencies listed above. 

B. Definitions 

1. Appalachia’s Distressed Counties 

means those counties in Appalachia that 

the Appalachian Regional Commission 

(ARC) has determined to have 

unemployment and poverty rates that 

are 150 percent of the respective U.S. 

rates and a per capita income that is less 

than 67 percent of the U.S. per capita 

income, and have counties with 200 

percent of the U.S. poverty rate and one 

other indicator, such as the percentage 

of overcrowded housing. Refer to 

www.arc.gov for a list of ARC-distressed 

counties and more information. 

2. Colonia means any identifiable, 

rural community that: a. Is located in 

the state of Arizona, California, New 

Mexico, or Texas; b. Is within 150 miles 

of the border between the United States 

and Mexico; and c. Is determined to be 

a colonia on the basis of objective need 

criteria, including a lack of potable 

water supply, lack of adequate sewage 

systems, and lack of decent, safe, 

sanitary, and accessible housing. 

3. Farm Worker means a farm 

employee of an owner, tenant, labor 

contractor, or other operator raising or 

harvesting agricultural or aquacultural 

commodities, or a worker who, in the 

employment of a farm operator, engages 

in handling, planting, drying, packing, 

grading, storing, delivering to storage or 

market, or carrying to market 

agricultural or aquacultural 

commodities produced by the operator. 

Seasonal farm workers are those farm 

employees who typically do not have a 

constant year-round salary. 

4. Firm Commitment means a letter of 

commitment from a partner by which an 

applicant’s partner agrees to perform an 

activity specified in the application, 

demonstrates the financial capacity to 

deliver the resources necessary to carry 

out the activity, and commits the 

resources to the activity, either in cash 

or through in-kind contributions. It is 

irrevocable, subject only to approval 

and receipt of a fiscal year (FY) 2007 

Rural Housing and Economic 

Development grant. Each letter of 

commitment must include the 

organization’s name and applicant’s 

name, reference the Rural Housing and 

Economic Development program, and 

describe the proposed total level of 

commitment and responsibilities, 

expressed in dollar value for cash or inkind contributions, as they relate to the 

proposed program. The commitment 

must be written on the letterhead of the 

participating organization, must be 

signed by an official of the organization 

legally able to make commitments on 

behalf of the organization, and must be 

dated no earlier than the date of 

publication of this NOFA. In 

documenting a firm commitment, the 

applicant’s partner must: 

a. Specify the authority by which the 

commitment is made, the amount of the 

commitment, the proposed use of funds, 

and the relationship of the commitment 

to the proposed investment. If the 

committed activity is to be selffinanced, the applicant’s partner must 

demonstrate its financial capability 

through a corporate or personal 

financial statement or other appropriate 

means. If any portion of the activity is 

to be financed through a lending 

institution, the participant must provide 

evidence of the institution’s 

commitment to fund the loan; and 

b. Affirm that the firm commitment is 

contingent only upon the receipt of 

FY2007 Rural Housing and Economic 

Development funds and state a 

willingness on the part of the signatory 

to sign a legally binding agreement 

(conditioned upon HUD’s 

environmental review and approval of a 

property, where applicable) upon award 

of the grant. 

5. Federally Recognized Indian tribe 

means any tribal entity eligible to apply 

for funding and services from the 

Bureau of Indian Affairs by virtue of its 

status as an Indian tribe. The list of 

federally recognized tribes can be found 

in the notice published by the 

Department of the Interior on November 

25, 2005 (70 FR 71194) and is also 

available from HUD. 

6. Innovative Housing Activities 

means projects, techniques, methods, 

combinations of assistance, construction 

materials, energy efficiency 

improvements, or financing institutions 

or sources new to the eligible area or to 

its population. The innovative activities 

can also build upon and enhance a 

model that already exists. 

7. Local Rural Nonprofit Organization 

or Community Development 

Corporation means either of the 

following: 

a. Any private entity with tax-exempt 

status recognized by the Internal 

Revenue Service (IRS) that serves the 

eligible rural area identified in the 

application (including a local affiliate of 

a national organization that provides 

technical assistance in rural areas); or 

b. Any public nonprofit entity such as 

a Council of Governments that will 


rwilkins on PROD1PC63 with NOTICES_2
11602 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

serve specific local nonprofit 

organizations in the eligible area. 

8. Lower Mississippi Delta Region 

means the eight-state, 240-county/parish 

region defined by Congress in the Lower 

Mississippi Delta Development Act, 

Public Law 100–460. Refer to 

www.dra.gov for more information. 

9. Eligible Rural Area means one of 

the following: 

a. A non-urban place having fewer 

than 2,500 inhabitants (within or 

outside of metropolitan areas). 

b. A county or parish with an urban 

population of 20,000 inhabitants or less. 

c. Territory, including its persons and 

housing units, in the rural portions of 

‘‘extended cities.’’ The U.S. Census 

Bureau identifies the rural portions of 

extended cities. 

d. Open country that is not part of or 

associated with an urban area. The 

USDA describes ‘‘open country’’ as a 

site separated by open space from any 

adjacent, densely populated urban area. 

Open space includes undeveloped land, 

agricultural land, or sparsely settled 

areas, but does not include physical 

barriers (such as rivers and canals), 

public parks, commercial and industrial 

developments, small areas reserved for 

recreational purposes, or open space set 

aside for future development. 

e. Any place with a population of 

20,000 or less and not located in a 

Metropolitan Statistical Area. 

10. State Community and/or 

Economic Development Agency means 

any state agency whose primary purpose 

is promotion of economic development 

statewide or in a local community. 

11. State Housing Finance Agency 

means any state agency created to assist 

local communities and housing 

providers with financing assistance for 

development of housing in rural areas, 

particularly for low- and moderateincome people. 

II. Award Information 

A. Amount Allocated 

1. Available Funds. Approximately 

$16,830,000 in Fiscal Year (FY) 2007 

funding (plus any additional funds 

available through recapture) are being 

made available through this NOFA. 

2. Funding Award Amount. HUD will 

award up to approximately $16,830,000 

on a competitive basis for Support for 

Innovative Housing and Economic 

Development Activities to federally 

recognized Indian tribes, state housing 

finance agencies (HFAs), state 

community and/or economic 

development agencies, local rural 

nonprofit organizations, and community 

development corporations to support 

innovative housing and economic 

development activities in rural areas. 

The maximum amount awarded to a 

successful applicant will be $300,000. 

B. Grant Amount 

In the event, you, the applicant, are 

awarded a grant that has been reduced 

(e.g., the application contained some 

activities that were ineligible or budget 

information did not support the 

request), you will be required to modify 

your project plans and application to 

conform to the terms of HUD’s approval 

before execution of the grant agreement. 

HUD reserves the right to reduce or 

de-obligate the award if suitable 

modifications to the proposed project 

are not submitted by the awardee within 

90 days of the request. Any 

modifications must be within the scope 

of the original application. HUD 

reserves the right to not make awards 

under this NOFA. 

C. Grant Period 

Recipients will have 36 months from 

the date of the executed grant agreement 

to complete all project activities. 

D. Notification of Approval or 

Disapproval 

HUD will notify you whether or not 

you have been selected for an award. If 

you are selected, HUD’s notice to you 

concerning the amount of the grant 

award (based on the approved 

application) will constitute HUD’s 

conditional approval, subject to 

negotiation and execution of a grant 

agreement by HUD. 

III. Eligibility Information 

A. Eligible Applicants. Eligible 

applicants for the Rural Housing and 

Economic Development program are 

local rural nonprofit organizations, 

community development corporations, 

federally recognized Indian tribes, state 

housing finance agencies, and state 

community and/or economic 

development agencies. Also, you must 

meet all of the applicable eligibility 

requirements described in section III.C 

of the General Section. 

B. Cost Sharing or Matching. There is 

no match required under the Rural 

Housing and Economic Development 

program. Applicants that submit 

evidence of leveraging dollars under 

Rating Factor 4 will receive points 

according to the scale under that factor. 

C. Other 

1. Eligible Activities. The following 

are examples of eligible activities under 

the Rural Housing and Economic 

Development program. 

Permissible activities may include, 

but are not limited to the following: 

a. The cost of using new or innovative 

construction, energy efficiency, or other 

techniques that will result in the design 

or construction of innovative housing 

and economic development projects; 

b. Preparation of plans or of 

architectural or engineering drawings; 

c. Preparation of legal documents, 

government paperwork, and 

applications necessary for construction 

of housing and economic development 

activities to occur in the jurisdiction; 

d. Acquisition of land and buildings; 

e. Demolition of property to permit 

construction or rehabilitation activities 

to occur; 

f. Purchase of construction materials; 

g. Homeownership counseling, 

including on the subjects of fair housing 

counseling, credit counseling, 

budgeting, access to credit, and other 

federal assistance available, including 

features for persons with disabilities, 

such as full accessibility, visitability, 

and universal design; 

h. Conducting conferences or 

meetings with other federal or state 

agencies, tribes, tribally designated 

housing entities (TDHE), or national or 

regional housing organizations, to 

inform residents of programs, rights, 

and responsibilities associated with 

homebuying opportunities (all meetings 

and conferences should be provided in 

alternative formats for persons with a 

variety of disabilities, as appropriate, 

and in applicable languages common in 

the community for limited English 

proficient (LEP) families); 

i. Establishing Community 

Development Financial Institutions 

(CDFIs), lines of credit, revolving loan 

funds, microenterprises, and small 

business incubators; and 

j. Provision of direct financial 

assistance to homeowners/businesses/ 

developers, etc. This can be in the form 

of default reserves, pooling/ 

securitization mechanisms, loans, 

grants, the funding of existing 

individual development accounts, or 

similar activities. 

2. Statutory and Regulatory 

Requirements. To be eligible for funding 

under HUD NOFAs issued during FY 

2007, you, the applicant, must meet all 

statutory and regulatory requirements 

applicable to this NOFA as described in 

the General Section. HUD may also 

eliminate ineligible activities from 

funding consideration and reduce 

funding amounts accordingly. 

3. General HUD Threshold 

Requirements. You must meet all 

threshold requirements described in the 

General Section. 

a. Ineligible Applicants. HUD will not 

consider an application from an 

ineligible applicant. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11603 

b. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). Recipients of assistance under this 

NOFA must comply with section 3 of 

the Housing and Urban Development 

Act of 1968, 12 U.S.C. 1701u (Economic 

Opportunities for Low- and Very 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 that, to the greatest extent 

feasible, training, employment, and 

other economic opportunities will be 

directed to low- and very-low income 

persons, particularly those who are 

recipients of government assistance for 

housing, and to businesses that provide 

economic opportunities to low- and 

very low-income persons. 

4. Program-Specific Threshold 

Requirements. 

a. The application must receive a 

minimum rating score of 75 points to be 

considered for funding. 

b. HUD will only fund eligible 

applicants as defined in this NOFA 

under section III.A. 

c. Applicants must serve an eligible 

rural area as defined in section I. of this 

NOFA. 

d. Proposed activities must meet the 

objectives of the Rural Housing and 

Economic Development program. 

e. Applicants must demonstrate that 

their activities will continue to serve 

populations that are in need and that 

beneficiaries will have a choice of 

innovative housing and economic 

development opportunities as a result of 

the activities. 

IV. Application and Submission 

Information 

A. Address To Request Application 

Package 

This section describes how you may 

obtain application forms. Copies of the 

published Rural Housing and Economic 

Development NOFA and application 

forms may be downloaded from the 

Grants.gov Web site at http:// 

www.grants.gov/Apply. You may call 

the Grants.gov support desk at 800–518–

GRANTS, or e-mail the support desk at 

Support@Grants.gov for assistance in 

downloading the application. 

B. Content and Form of Application 

Submission 

1. Application Submission 

Requirements. Be sure to read and 

follow the application submission 

requirements carefully. 

a. Page Numbering. All pages of the 

application must be numbered 

sequentially if you are submitting a 

paper copy application. For electronic 

application submission, you should 

follow the directions in the General 

Section. 

b. Application Items. Your 

application must contain the items 

listed below. 

(1) An abstract with the dollar amount 

requested, the category under which 

you qualify for demographics of distress 

special factor under Rating Factor 2 

(Need and Extent of the Problem), 

which of the five definitions of the term 

‘‘rural area’’ set forth in section I B.9 of 

this NOFA applies to the proposed 

service area, and accompanying 

documentation as indicated on the form. 

(2) Table of Contents. 

(3) A signed Application for Federal 

Assistance (SF–424) (application form). 

(4) SF–424 Supplement Survey on 

Equal Opportunity for Applicants 

(optional submission). 

(5) Facsimile Transmittal (HUD–

96011). (This must be used as the cover 

page to transmit third-party documents 

as part of your electronic application). 

(6) Disclosure of Lobbying Activities 

(SF–LLL). 

(7) Applicant/Recipient Disclosure/ 

Update Report (HUD–2880). 

(8) You Are Our Client Grant 

Applicant Survey (HUD 2994–A) 

(Optional). 

(9) Program Outcome Logic Model 

(HUD–96010). 

(10) A budget for all funds (federal 

and non-federal including the Detailed 

Budget Form (HUD–424–CB) and the 

Grant Application Detailed Budge 

Worksheet (HUD 424–CBW). 

(11) Certification of Consistency with 

RC/EZ/EC–II Strategic Plan (HUD–

2990), if applicable. 

(12) Certification of Consistency with 

the Consolidated Plan (HUD–2991), if 

applicable. 

(13) Documentation of funds pledged 

in support of Rating Factor 4—

‘‘Leveraging Resources.’’ This 

documentation, which will not be 

counted in the 15-page limitation, must 

be in the form of a ‘‘firm commitment’’

as defined in section I.B.4 of this NOFA. 

(14) If you are a private nonprofit 

organization, a copy of your 

organization’s IRS ruling providing taxexempt status under section 501 of the 

Internal Revenue Code of 1986, as 

amended. 

(15) Narrative response to Factors for 

Award. The total narrative response to 

all factors should not exceed 15 pages 

and should be submitted on 8.5-x-11- 

inch single-sided paper, with 12-point 

font and double lined spacing. Please 

note that although submitting pages in 

excess of the page limit will not 

disqualify your application, HUD will 

not consider or review the information 

on any excess pages, and if you place 

key information on those pages, you 

may fail to meet a threshold 

requirement. In addition, applicants 

should be aware that additional pages 

increase the size of the application and 

the length of time it will take to 

electronically submit the document and 

have it electronically received by 

Grants.gov. 

(16) Questionnaire for HUD’s 

Initiative on Removal of Regulatory 

Barriers (Form HUD–27300). To get the 

points for this policy priority, you must 

include the documentation or references 

to website links where the information 

can be found. 

All applicants are required to use the 

following format in their 15-page 

narrative responses to the rating factors 

included in the program NOFA: 

Factor 1—Relevant Organizational 

Experience; 

Factor 2—Need and Extent of the 

Problem; 

Factor 3—Soundness of Approach; 

Factor 4—Leveraging Resources; and 

Factor 5—Achieving Results and 

Program Evaluation. 

See section V. of this NOFA for 

further details. 

C. Submission Dates and Times 

1. Electronic Application Submission. 

Applications for the Rural Housing and 

Economic Development program must 

be received and validated by Grants.gov 

no later than 11:59:59 p.m. Eastern Time 

on the application deadline date. 

Applicants are advised to submit their 

applications at least 48 to 72 hours in 

advance of the deadline date and when 

the Grants.gov help desk is open so that 

any issues can be addressed prior to the 

deadline date and time. Please note that 

validation may take up to 72 hours. You 

will receive an acknowledgement of 

receipt from Grants.gov when your 

application has been successfully 

received, and later that it has been 

validated or rejected. Please see the 

General Section for more detailed 

information. If you do not receive the 

validation or rejection notice within 24 

to 48 hours, contact the Grants.gov help 

desk. 

2. Applicants are advised to carefully 

read their application submission and 

timely receipt requirements in the 

General Section since they have 

changed from previous years. 

3. Only one application will be 

accepted from any given organization. If 

more than one application is submitted 

electronically, the application submitted 

closest in time before the due date will 

be the one reviewed by HUD. HUD will 

not accept application addendums after 


rwilkins on PROD1PC63 with NOTICES_2
11604 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

the deadline unless HUD has 

specifically asked the applicant for a 

correction to a technical deficiency in 

the application. Responses to technical 

deficiencies must be received by HUD 

within the time allocated to cure the 

deficiency. Corrections to technical 

deficiencies are submitted directly to 

HUD in accordance with the 

information contained in the program 

office’s cure notification. 

D. Intergovernmental Agency Review 

Intergovernmental agency review is 

not required for this program. 

E. Funding Restrictions 

1. Administrative Costs. 

Administrative costs for assistance 

under the Rural Housing and Economic 

Development program may not exceed 

15 percent of the total HUD Rural 

Housing and Economic Development 

grant award. 

2. Ineligible Activities. RHED funds 

cannot be used for the following 

activities: 

a. Income payments to subsidize 

individuals or families; 

b. Political activities; 

c. General governmental expenses 

other than expenses related to the 

administrative cost of the grant; or 

d. Projects or activities intended for 

personal gain or private use. 

HUD reserves the right to reduce or 

deobligate the award if suitable 

modifications to the proposed project 

are not submitted by the awardee within 

90 days of the request. Any modification 

must be within the scope of the original 

application. HUD reserves the right not 

to make awards under this NOFA. 

F. Other Submission Requirements. 

Carefully review the procedures 

presented in section IV of the General 

Section FY 2007, because HUD will 

only accept electronic applications 

submitted through www.grants.gov. 

Applicants may request a waiver of 

the electronic submission requirement. 

Paper applications will not be accepted 

unless the applicant has received a 

waiver to the electronic submission 

requirement. Applicants should submit 

their waiver requests in writing in the 

form of a letter of request. Waiver 

requests must be submitted no later than 

15 days prior to the application 

deadline date and should be submitted 

to the Office of Rural Housing and 

Economic Development, 451 Seventh 

Street, SW., Room 7137, Washington, 

DC 20410. Instructions regarding the 

number of copies to submit and to what 

address will be contained in the 

approval to the waiver request. Paper 

submissions must be received at the 

appropriate HUD office(s) no later than 

the deadline date. 

V. Application Review Information 

A. Criteria. Carefully review all the 

Application Review procedures in 

section V of the General Section. In 

addition, the following Rating Factors 

will be used to rate your application. 

1. Rating Factor 1—Capacity of the 

Applicant and Relevant Organizational 

Experience (25 points). This rating 

factor addresses the extent to which you 

have the organizational resources 

necessary to successfully implement 

your proposed workplan, as further 

described in Rating Factor 3, within the 

36-month award period. 

a. Team members, composition, and 

experience (10 points). HUD will 

evaluate the experience (including for 

recentness and relevancy) of your 

project director, core staff, and any 

outside consultant, contractor, 

subrecipient, or project partner as it 

relates to innovative housing and 

economic development and to the 

implementation of the activities in your 

work plan. HUD also will assess the 

services that consultants or other parties 

will provide to fill gaps in your staffing 

structure to enable you to carry out the 

proposed work plan; the experience of 

your project director in managing 

projects of similar size, scope, and 

dollar amount; the lines of authority and 

procedures that you have in place for 

ensuring that work plan goals and 

objectives are being met, that 

consultants and other project partners 

are performing as planned, and that 

beneficiaries are being adequately 

served. In judging your response to this 

factor, HUD will only consider work 

experience gained within the last 7 

years. When responding, please be sure 

to provide the dates, job titles, and 

relevancy of the past experience to the 

work to be undertaken by the employee 

or contractor under your proposed Rural 

Housing and Economic Development 

award. The more recent, relevant, and 

successful the experience of your team 

members is in relationship to the work 

plan activities, the greater the number of 

points you will receive. 

b. Organizational structure and 

management capacity (5 points). HUD 

will evaluate the extent to which you 

can demonstrate your organization’s 

ability to manage a workforce composed 

of full-time or part-time staff, as well as 

any consultant staff, and your ability to 

work with community-based groups or 

organizations in resolving issues related 

to affordable housing and economic 

development. In evaluating this 

subfactor, HUD will take into account 

your experience in working with 

community-based organizations to 

design and implement programs that 

address the identified housing and 

economic development issues. The 

more recent, relevant, and successful 

the experience of your organization and 

any participating entity, the greater the 

number of points you will receive. 

c. Experience with performance based 

funding requirements (10 points). HUD 

will evaluate your performance in any 

previous grant program undertaken with 

HUD funds or other federal, state, local, 

or nonprofit or for-profit organization 

funds. In assessing points for this subfactor, HUD reserves the right to take 

into account your past performance in 

meeting performance and reporting 

goals for any previous HUD award, in 

particular whether the program 

achieved its outcomes. HUD will deduct 

one point for each of the following 

activities related to previous HUD grant 

programs for which unsatisfactory 

performance has been verified: (1) 

Mismanagement of funds, including the 

inability to account for funds 

appropriately; (2) untimely use of funds 

received either from HUD or other 

federal, state, or local programs; and (3) 

significant and consistent failure to 

measure performance outcomes. Among 

the specific outcomes to be measured 

are the increases in program 

accomplishments as a result of capacity 

building assistance and the increase in 

organizational resources as a result of 

assistance. 

d. Past Rural Housing and Economic 

Development program performance. The 

past performance of previously awarded 

Rural Housing and Economic 

Development grantees will be taken into 

consideration when evaluating Rating 

Factor 1 (Capacity of the Applicant and 

Relevant Organizational Experience). 

Applicants who have been awarded 

Rural Housing and Economic 

Development program funds prior to FY 

2007 should indicate the fiscal year and 

funding amount. HUD field offices may 

be consulted to verify information 

submitted by the applicant as a part of 

the review of applications. 

2. Rating Factor 2—Need and Extent of 

the Problem (20 points) 

The Rural Housing and Economic 

Development program is designed to 

address the problems of rural poverty, 

inadequate housing, and lack of 

economic opportunity. This factor 

addresses the extent to which there is a 

need for funding the proposed activities 

based on levels of distress, and the 

urgency of meeting the need/distress in 

the applicant’s target area. In 

responding to this factor, applications 

will be evaluated on the extent to which 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11605 

the level of need for the proposed 

activity and the urgency in meeting the 

need are documented and compared to 

target area and national data. 

a. In applying this factor, HUD will 

compare the current levels of need in 

the area (i.e., Census Tract(s) or Block 

Group(s) immediately surrounding the 

project site or the target area to be 

served by the proposed project to 

national levels of need. This means that 

an application that provides data that 

show levels of need in the project area 

at a percent greater than the national 

average will be rated higher under this 

factor. Applicants should provide data 

that address indicators of need as 

follows: 

(1) Poverty Rate (5 points)—Data 

should be provided in both absolute and 

percentage form (i.e., whole numbers 

and percents) for the target area(s). An 

application that compares the local 

poverty rate in the following manner to 

the national average at the time of 

submission will receive points under 

this section as follows: 

(a) Less than the national average = 0 

points; 

(b) Equal to but less than twice the 

national average = 1 point; 

(c) Twice but less than three times the 

national average = 3 points; 

(d) Three or more times the national 

average = 5 points. 

(2) Unemployment (5 points)—for the 

target area: 

(a) Less than the national average = 0 

points; 

(b) Equal to but less than twice the 

national average = 1 point; 

(c) Twice but less than three times the 

national average = 2 points; 

(d) Three but less than four times the 

national average = 3 points; 

(e) Four but less than five times the 

national average = 4 points; 

(f) Five or more times the national 

average = 5 points. 

(3) Other indicators of social or 

economic decline that best capture the 

applicant’s local situation (5 points). 

(a) Data that could be provided under 

this section are information on the 

community’s stagnant or falling tax 

base, including recent commercial or 

industrial closings; housing conditions, 

such as the number and percentage of 

substandard or overcrowded units; rent 

burden (defined as average housing cost 

divided by average income) for the 

target area; and local crime statistics, 

falling property values, etc. To the 

extent that the applicant’s statewide or 

local Consolidated Plan, its Analysis of 

Impediments to Fair Housing Choice 

(AI), its Indian housing plan, or its antipoverty strategy identify the level of 

distress in the community and the 

neighborhood in which the project is to 

be carried out, references to such 

documents should be included in 

preparing the response to this factor. 

(b) In rating applications under this 

factor, HUD reserves the right to 

consider sources of available objective 

data other than or in addition to those 

provided by applicants, and to compare 

such data to those provided by 

applicants for the project site. These 

may include U.S. Census data. 

(c) HUD requires use of sound, 

verifiable, and reliable data (e.g., U.S. 

Census data, state statistical reports, 

university studies/reports, or Home 

Mortgage Disclosure Act or Community 

Reinvestment Act databases) to support 

distress levels cited in each application. 

See http://www.ffiec.gov/ or http:// 

www.ffiec.gov/webcensus/ 

ffieccensus.htm for census data. A 

source for all information along with the 

publication or origination date must 

also be provided. 

(d) Updated Census data are available 

for the following indicators: 

(i) Unemployment rate—estimated 

monthly for counties, with a 2-month 

lag; 

(ii) Population—estimated for 

incorporated places and counties, 

through 2000; 

(iii) Poverty rate—through 2000. 

(4) Demographics of Distress—Special 

Factors (5 points). Because HUD is 

concerned with meeting the needs of 

certain underserved areas, you will be 

awarded a total of five points if you are 

located in or propose to serve one or 

more of the following populations, or if 

your application demonstrates that 100 

percent of the beneficiaries supported 

by Rural Housing and Economic 

Development funds are in one or more 

of the following populations. You must 

also specifically identify how each 

population will be served and that the 

proposed service area meet the 

definition of ‘‘eligible rural area’’ in 

section I of this NOFA: 

(a) Areas with very small populations 

in non-urban areas (2,500 population or 

less); 

(b) Seasonal farm workers; 

(c) Federally recognized Indian tribes; 

(d) Colonias; 

(e) Appalachia’s Distressed Counties; 

or 

(f) The Lower Mississippi Delta 

Region (eight states and 240 counties/ 

parishes). 

For these underserved areas, you 

should ensure that the populations that 

you serve and the documentation that 

you provide are consistent with the 

information described in the above 

paragraph under this rating factor. 

3. Rating Factor 3—Soundness of 

Approach (21 points). This factor 

addresses the overall quality of your 

proposed work plan, taking into account 

the project and the activities proposed 

to be undertaken; the cost-effectiveness 

of your proposed program; and the 

linkages between identified needs, the 

purposes of this program, and your 

proposed activities and tasks. In 

addition, this factor addresses your 

ability to ensure that a clear linkage 

exists between innovative rural housing 

and economic development. In 

assessing cost-effectiveness, HUD will 

take into account your staffing levels, 

beneficiaries to be served, and your 

timetable for the achievement of 

program outcomes, the delivery of 

products and reports, and any 

anticipated outcome or product. You 

will receive a greater number of points 

if your work plan is consistent with the 

purpose of the Rural Housing and 

Economic Development program, your 

program goals, and the resources 

provided. 

a. Management Plan (13 points). A 

clearly defined management plan 

should be submitted that: identifies 

each of the projects and activities you 

will carry out to further the objectives 

of this program; describes the linkage 

between rural housing and economic 

development activities; and addresses 

the needs identified in Factor 2, 

including needs that previously were 

identified in a statewide or local 

Analysis of Impediments to Fair 

Housing Choice (AI) or Consolidated 

Plan. The populations that were 

described in Rating Factor 2 for the 

purpose of documenting need should be 

the same populations that will receive 

the primary benefit of the activities, 

both immediately and over the long 

term. The benefits should be 

affirmatively marketed to those 

populations least likely to apply for and 

receive these benefits without such 

marketing. Your timetable should 

address the measurable short-term and 

long-term goals and objectives to be 

achieved through the proposed 

activities based on annual benchmarks; 

the method you will use for evaluating 

and monitoring program progress with 

respect to those activities; and the 

method you will use to ensure that the 

activities will be completed on time and 

within your proposed budget estimates. 

Your management plan should also 

include the budget for your program, 

broken out by line item. Documented 

projected cost estimates from outside 

sources are also required. Applicants 

should submit their work plan on a 

spreadsheet showing each project to be 


rwilkins on PROD1PC63 with NOTICES_2
11606 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

undertaken and the tasks (to the extent 

necessary or appropriate) in your work 

plan to implement the project with your 

associated budget estimate for each 

activity/task. Your work plan should 

provide the rationale for your proposed 

activities and assumptions used in 

determining your project timeline and 

budget estimates. Failure to provide 

your rationale may result in your 

application receiving fewer points for 

lack of clarity in the proposed 

management plan. 

This subfactor should include 

information that indicates the extent to 

which you have coordinated your 

activities with other known 

organizations (e.g., through letters of 

participation or coordination) that are 

not directly participating in your 

proposed work activities, but with 

which you share common goals and 

objectives and that are working toward 

meeting these objectives in a holistic 

and comprehensive manner. The goal of 

this coordination is to ensure that 

programs do not operate in isolation. 

Additionally, your application should 

demonstrate the extent to which your 

program has the potential to be 

financially self-sustaining by decreasing 

dependence on Rural Housing and 

Economic Development funding and 

relying more on state, local, and private 

funding. The goal of sustainability is to 

ensure that the activities proposed in 

your application can be continued after 

your grant award is complete. 

b. Policy Priorities (8 Points). Policy 

priorities are outlined in detail in the 

General Section. You should document 

the extent to which HUD’s policy 

priorities are advanced by the proposed 

activities. Applicants that include 

activities that can result in the 

achievement of the following 

departmental policy priorities will 

receive higher rating points in 

evaluating their application for funding. 

Seven departmental policy priorities are 

listed below. When you include policy 

priorities, describe in brief detail how 

those activities will be carried out and 

if selecting item (6), Removal of Barriers 

to Affordable Housing, be sure to 

include the required Points of Contact 

information and documentation or 

references to the documentation to 

receive points. 

The point values for policy priorities 

are as follows: 

(1) Providing increased 

homeownership and rental 

opportunities for low- and moderateincome persons, persons with 

disabilities, the elderly, minorities, and 

families with limited English 

proficiency = 1 point; 

(2) Improving our nation’s 

communities = 1 point; 

(3) Encouraging accessible design 

features = 1 point; 

(4) Providing full and equal access to 

grassroots faith-based and other 

community-based organizations in HUD 

program implementation = 1 point; 

(5) Ending chronic homelessness 

within 10 years = 1 point 

(6) Removal of barriers to affordable 

housing = 2 points; and 

(7) Promoting Energy Efficiency and 

Adopting Energy Star = 1 point. 

4. Rating Factor 4—Leveraging 

Resources (10 points). This factor 

addresses the extent to which applicants 

have obtained firm commitments of 

financial or in-kind resources from other 

federal, state, local, and private sources. 

For every Rural Housing and Economic 

Development program dollar 

anticipated, you should provide the 

specific amount of dollars leveraged. In 

assigning points for this criterion, HUD 

will consider the level of outside 

resources obtained in the form of cash 

or in-kind goods or services that support 

activities proposed in your application. 

HUD will award a greater number of 

points based on a comparison of the 

extent of leveraged funds with the 

requested Rural Housing and Economic 

Development award. The level of 

outside resources for which 

commitments are obtained will be 

evaluated based on their importance to 

the total program. Your application 

must provide evidence of leveraging in 

the form of letters of firm commitment 

from any entity, including your own 

organization, that will be providing the 

leveraging funds to the project. Each 

commitment described in the narrative 

of this factor must be in accordance 

with the definition of ‘‘firm 

commitment,’’ as defined in this NOFA. 

The commitment letter must be on 

letterhead of the participating 

organization, must be signed by an 

official of the organization legally able 

to make commitments on behalf of the 

organization, and must not be dated 

earlier than the date this NOFA is 

published. 

Points for this factor will be awarded 

based on the satisfactory provisions of 

evidence of leveraging and financial 

sustainability, as described above, and 

the ratio of leveraged funds to requested 

HUD Rural Housing and Economic 

Development funds as follows: 

a. 50 percent or more of requested 

HUD Rural Housing and Economic 

Development funds = 10 points; 

b. 49–40 percent of requested HUD 

Rural Housing and Economic 

Development funds = 8 points; 

c. 39–30 percent of requested HUD 

Rural Housing and Economic 

Development funds = 6 points; 

d. 29–20 percent of requested HUD 

Rural Housing and Economic 

Development funds = 4 points; 

e. 19–9 percent of requested HUD 

Rural Housing and Economic 

Development funds = 2 points; 

f. Less than 9 percent of HUD 

requested Rural Housing and Economic 

Development funds = 0 points. 

See the General Section for 

instructions for submitting third-party 

letters and other documents with your 

electronic application. 

5. Rating Factor 5—Achieving Results 

and Program Evaluation (24 points) 

This factor emphasizes HUD’s 

commitment to ensure that applicants 

keep promises made in their 

application. This factor assesses their 

performance to ensure that rigorous and 

useful performance measures are used 

and goals are met. Achieving results 

means you, the applicant, have clearly 

identified the benefits or outcomes of 

your program. Outcomes are ultimate 

project end goals. Benchmarks or 

outputs are interim activities or 

products that lead to the ultimate 

achievement of your goals. Program 

evaluation requires that you, the 

applicant, identify program outcomes, 

interim products or benchmarks, and 

performance indicators that will allow 

you to measure your performance. 

Performance indicators should be 

objectively quantifiable and measure 

actual achievements against anticipated 

achievements. Your evaluation plan 

should identify what you are going to 

measure, how you are going to measure 

it, and the steps you have in place to 

make adjustments to your work plan if 

performance targets are not met within 

established time frames. 

Applicants must also complete the 

‘‘Logic Model’’ HUD Form (HUD–96010) 

included in the application instructions 

at www.Grants.gov and submit the 

completed form with their application. 

HUD has provided an electronic Logic 

Model that will enable applicants to 

select from lists the appropriate needs 

statement(s), activities/outputs, and 

outcomes that the applicant is 

proposing in the application 

submission. The listing of the activities 

is referred to as the Master Logic Model 

List and each list is unique to the 

program funding opportunity. The 

application instructions found on 

www.Grants.gov/Apply include the 

eLogic ModelTM that you can complete 

and attach to your electronic application 

submission. Applicants who do not 

have Microsoft Excel software should 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11607 

contact the SuperNOFA Information 

Center at 800–HUD–8929. Persons with 

speech or hearing impairments may 

access this number via TTY by calling 

the toll-free Federal Information Relay 

Service at 800–877–8339. Applicants 

may select items from each column of 

the list that reflect their activity outputs 

and outcomes and copy and paste them 

into the appropriate column in the Logic 

Model form. In completing the Logic 

Model, applicants are expected to select 

from the lists of appropriate outputs and 

outcomes for their proposed work plan. 

The eLogic ModelTM and Master Logic 

Model listing also identify the unit of 

measure that HUD is interested in 

collecting for the outputs and outcomes 

selected. In making the selections for 

each output and outcome, applicants are 

to complete the appropriate proposed 

number of units of measure to be 

accomplished. The space next to the 

output and outcome is to capture the 

anticipated units of measure. Multiple 

outputs and outcomes may be selected 

per project. 

Under this rating factor, applicants 

will receive a maximum of 24 points 

based on how they propose to 

effectively address program goals and 

performance measures. HUD will 

evaluate and analyze how well an 

applicant implemented the required 

Rural Housing and Economic 

Development output and outcome goals 

and identified other stated benefits or 

outcomes of the applicant’s program. In 

order to receive the highest number of 

points, applicants should present a clear 

plan to address the RHED output and 

outcome measures. 

1. Output Measures are quantifiable. 

RHED outputs include: number of 

housing units constructed; number of 

housing units rehabilitated; number of 

jobs created; number of participants 

trained; number of new businesses 

created; and number of existing 

businesses assisted. 

2. Outcomes Measures are benefits 

accruing to the program participants 

and/or communities during or after 

participation in the RHED program. 

RHED outcomes include: the number of 

housing units rehabilitated that will be 

made available to low-to-moderateincome participants; the percentage 

change in earnings as a result of 

employment for those participants; the 

percent of participants trained who find 

a job; annual estimated savings for lowincome families as a result of energy 

efficiency improvements; and the 

increase in organizational resources as a 

result of assistance (e.g., dollars 

leveraged). 

You must clearly identify the 

outcomes to be achieved and measured. 

Proposed program benefits should 

include program activities, benchmarks, 

and interim activities or performance 

indicators with timelines. Applications 

should include an evaluation plan that 

will effectively measure actual 

achievements against anticipated 

achievements. 

3. Logic Model. HUD requires RHED 

applicants to develop an effective, 

quantifiable, outcome-oriented 

evaluation plan for measuring 

performance and determining whether 

goals have been met using the Master 

Logic Model for RHED. The model can 

be found in the download instructions 

portion of the application at 

www.Grants.gov. In preparing your 

Logic Model, first open the Form HUD–

96010 and go to the instruction tab and 

follow the directions in the tab. Your 

application must include the form to 

receive any points under this factor. 

This rating factor reflects HUD’s goal 

to embrace high standards of ethics, 

management, and accountability. HUD 

will hold a training broadcast via 

satellite for potential applicants to learn 

more about Rating Factor 5. For more 

information about the date and time of 

the broadcast, consult the HUD Web site 

at www.hud.gov/grants/index.cfm. 

Although the following list is not allinclusive, program outcomes for the 

Rural Housing and Economic 

Development program must include, 

where applicable: 

a. Total number of housing units 

constructed; 

b. Total number of housing units 

rehabilitated; 

c. Number of Housing units 

rehabilitated that will be made available 

to low-to moderate-income participants; 

d. Number of Housing units 

constructed that will be made available 

to low-to moderate-income participants; 

e. Number of jobs created; 

f. Percentage change in earnings as a 

result of employment for those 

participants; 

g. Number of participants trained; 

h. Percent of participants trained who 

find a job; 

i. Number of new businesses created; 

j. Number of existing businesses 

assisted; and 

k. Annual estimated savings for lowincome families as a result of energy 

efficiency improvements. 

l. Increase in program 

accomplishments as a result of capacity 

building assistance (e.g. the number of 

employees hired or retained, or the 

efficiency or effectiveness of services 

provided); and 

m. Increase in organizational 

resources as a result of assistance (e.g., 

dollars leveraged). If you receive an 

award of funds, you will be required to 

use the Logic Model to report progress 

against the proposed outcomes in your 

approved application and award 

agreement. 

The applicant’s proposed budget must 

reflect a breakdown of estimated dollar 

amount of the Rural Housing and 

Economic Development grant to be 

expended on each of the activities/ 

outputs and the anticipated results 

included on the Form HUD–96010 and 

under the Rating Factor 5 section of 

your application. 

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

HUD will award two bonus points to 

all applications that include 

documentation stating that the proposed 

eligible activities/projects will be 

located in and serve federally 

designated renewal community (RCs), 

empowerment zone (EZs), or enterprise 

communities (ECs) designated by the 

U.S. Department of Agriculture (USDA) 

in round II RC/EZ/EC. A listing of 

federally designated RC/EZ/EC–II is 

available on the Internet at http:// 

www.hud.gov/crlocator. 

This notice contains a certification 

(Form HUD–2990) that must be 

completed for the applicant to be 

considered for Rural EZ/Round II EC 

bonus points. 

B. Review and Selection Process 

1. Application Selection Process. 

a. Rating and Ranking. 

(1) General. To review and rate 

applications, HUD may establish panels 

that may include outside experts or 

consultants to obtain certain expertise 

and outside points of view, including 

views from other Federal agencies. 

(2) Rating. All applicants for funding 

will be evaluated against applicable 

criteria. In evaluating applications for 

funding, HUD will take into account an 

applicant’s past performance in 

managing funds, including the ability to 

account for funds appropriately; it’s the 

applicant’s timely use of funds received 

either from HUD or other federal, state, 

or local programs; its success in meeting 

performance targets for completion of 

activities; and the number of persons to 

be served or targeted for assistance. 

HUD may use information relating to 

these items based on information at 

hand or available from public sources 

such as newspapers, HUD Inspector 

General or Government Accountability 

Office reports or findings, or hotline 

complaints that have been found to have 

merit, or other such sources of 

information. In evaluating past 

performance, HUD will deduct points 

from rating scores as specified under 

Rating Factor 1. 


rwilkins on PROD1PC63 with NOTICES_2
11608 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(3) Ranking. Applicants will be 

selected for funding in accordance with 

their rank order. An application must 

receive a minimum score of 75 points to 

be eligible for funding. If two or more 

applications are rated fundable and 

have the same score, but there are 

insufficient funds to fund all of them, 

the application(s) with the highest score 

for Rating Factor 2 will be selected. If 

applications still have the same score, 

the highest score in the following factors 

will be selected sequentially until one 

highest score can be determined: Rating 

Factor 3, Rating Factor 1, Rating Factor 

5, and Rating Factor 4. 

a. Initial screening. During the period 

immediately following the application 

deadline, HUD will screen each 

application to determine eligibility. 

Applications will be rejected if they: 

(1) Are submitted by ineligible 

applicants; 

(2) Do not serve an eligible rural area 

as defined in section III of this NOFA; 

(3) Do not meet the objectives of the 

Rural Housing and Economic 

Development program; or 

(4) Propose a project for which the 

majority of the activities are ineligible. 

b. Rating Factors for Award Used to 

Evaluate and Rate Applications. The 

factors for rating and ranking applicants 

and the maximum points for each factor 

are provided above. The maximum 

number of points for this program is 

102. This includes 100 points for all five 

rating factors and two RC/EZ/EC–II 

bonus points, as described above. 

c. Environmental Review. Each 

application constitutes an assurance 

that the applicant agrees to assist HUD 

in complying with the provisions set 

forth in 24 CFR part 50. Selection for 

award does not constitute approval of 

any proposed site. Following selection 

for award, HUD will perform an 

environmental review of activities 

proposed for assistance under this part, 

in accordance with 24 CFR part 50. The 

results of the environmental review may 

require that proposed activities be 

modified or that proposed sites be 

rejected. Applicants are particularly 

cautioned not to undertake or commit 

HUD funds for acquisition or 

development of proposed properties 

(including establishing lines of credit 

that permit financing of such activities 

or making commitments for loans that 

would finance such activities from a 

revolving loan fund capitalized by funds 

under this NOFA) prior to HUD 

approval of specific properties or areas. 

Each application constitutes an 

assurance that you, the applicant, will 

assist HUD in complying with part 50; 

will supply HUD with all available 

relevant information to perform an 

environmental review for each proposed 

property; will carry out mitigating 

measures required by HUD or select 

alternate property; and will not acquire, 

rehabilitate, convert, demolish, lease, 

repair, or construct property, or commit 

or expend HUD or local funds for these 

program activities with respect to any 

eligible property until HUD approval of 

the property is received. In supplying 

HUD with environmental information, 

grantees must use the guidance 

provided in Notice CPD 05–07, entitled 

‘‘Field Environmental Review 

Processing for Rural Housing and 

Economic Development (RHED) 

Grants,’’ issued August 30, 2005, which 

can be found at www.hud.gov/offices/ 

cpd/energyenviron/environment/ 

lawsandregs/notices.cfm. HUD’s 

funding commitment is contingent on 

HUD’s site approval following an 

environmental review. 

d. Adjustments to Funding. 

(1) HUD will not fund any portion of 

your application that is ineligible for 

funding and does not meet the 

requirements of this NOFA, or is 

duplicative of other funded programs or 

activities from prior year awards or 

other selected applicants. Only the 

eligible non-duplicative portions of your 

application will be funded. 

(2) HUD reserves the right to utilize 

this year’s funding to fund previous 

years’ errors prior to rating and ranking 

this year’s applications. 

(3) If a balance remains, HUD reserves 

the right to utilize those funds toward 

the following year’s awards. 

(4) Please see the section VI.A.2 and 

3 of the General Section for more 

information about funding. 

(5) Performance and Compliance 

Actions of Funding Recipients. HUD 

will measure and address the 

performance and compliance actions of 

funding recipients in accordance with 

the applicable standards and sanctions 

of the Rural Housing and Economic 

Development program. 

e. Corrections to Deficient 

Applications. After the application due 

date, HUD may not, consistent with its 

regulations in 24 CFR part 4, subpart B, 

consider any unsolicited information 

that you, the applicant, may want to 

provide. HUD may contact you to clarify 

an item in your application or to correct 

technical deficiencies. See section 

V.B.4. of the General Section for more 

detailed information on this topic. 

VI. Award Administration Information 

A. Award Notice. Successful Rural 

Housing and Economic Development 

program applicants will be notified of 

grant award and will receive post-award 

instructions by mail. 

B. Administrative and National Policy 

Requirements. In addition to the 

requirements listed below, please 

review all requirements in section III of 

the General Section. 

1. Lead-Based Paint Hazard Control. 

All property assisted under the Rural 

Housing and Economic Development 

program is covered by the Lead-Based 

Paint Poisoning Prevention Act (42 

U.S.C. 4821–4846) and HUD’s 

implementing regulations at 24 CFR part 

35. 

2. Procurement of Recovered 

Materials. See the General Section for 

further information. 

3. Executive Order 13202, 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects.’’ (See the 

General Section for further information.) 

4. Audit Requirements. Any grantee 

that expends $500,000 or more in 

federal financial assistance in a single 

year (this can be program year or fiscal 

year) must meet the audit requirements 

established in 24 CFR parts 84 and 85 

in accordance with OMB A–133. 

5. Accounting System Requirements. 

The Rural Housing and Economic 

Development program requires that 

successful applicants have in place an 

accounting system that meets the 

policies, guidance, and requirements 

described in the following applicable 

OMB Circulars and Code of Federal 

Regulations: 

a. OMB Circular A–87 (Cost 

Principles for State, Local, and Indian 

Tribal Governments); 

b. OMB Circular A–122 (Cost 

Principles for Non-Profit Organizations); 

c. OMB Circular A–133 (Audits of 

States, Local Governments, and NonProfit Organizations); 

d. 24 CFR part 84 (Grants and 

Agreements with Institutions of Higher 

Education, Hospitals, and Other NonProfit Organizations); and 

e. 24 CFR part 85 (Administrative 

Requirements for Grants and 

Cooperative Agreements to State, Local, 

and Federally Recognized Indian Tribal 

Governments). 

C. Reporting. 

1. Reporting Requirements. Reporting 

documents apply to the award, 

acceptance and use of assistance under 

the Rural Housing and Economic 

Development program and to the 

remedies for noncompliance, except 

when inconsistent with HUD’s 

Appropriation Act, or other Federal 

statutes or the provisions of this NOFA. 

For each reporting period, as part of 

your required report to HUD, grantees 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11609 

must include a completed Logic Model 

(Form HUD 96010), which identifies 

output and outcome achievements. For 

FY2007, HUD is considering a new 

concept for the Logic Model. The new 

concept is a Return on Investment 

statement. HUD will be publishing a 

separate notice on the ROI concept. If 

you are reporting race and ethnic data, 

you must use Form HUD–27061, Race 

and Ethnic Data Reporting Form. 

2. Racial and Ethnic Data. HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. It has 

adopted the Office of Management and 

Budget’s Standards for the Collection of 

Racial and Ethnic Data. In view of these 

requirements, you should use Form 

HUD–27061, Racial and Ethnic Data 

Reporting Form (instructions for its 

use), found on www.HUDclips.org, a 

comparable program form, or a 

comparable electronic data system for 

this purpose. 

D. Debriefing. See the General Section 

for information on how to obtain a 

debriefing on your application review 

and evaluation. 

VII. Agency Contact(s) 

Further Information and Technical 

Assistance. For information concerning 

the HUD Rural Housing and Economic 

Development program, contact Ms. 

Linda Streets, Community Planning and 

Development Specialist, Ms. Monica 

Wallace, Community Planning and 

Development Specialist, Mr. James 

Hedrick, Presidential Management 

Fellow, or Ms. Nikki Bowser, 

Community Planning and Development 

Specialist, Office of Rural Housing and 

Economic Development, Office of 

Community Planning and Development, 

Department of Housing and Urban 

Development, 451 Seventh Street, SW., 

Room 7137, Washington, DC 20410–

7000; telephone 202–708–2290 (this is 

not a toll-free number) or 1–877–787–

2526 (this is a toll-free number). Persons 

with speech or hearing impairments 

may access this number via TTY by 

calling the toll-free Federal Information 

Relay Service at 800–877–8339. 

Prior to the application deadline, staff 

will be available at the above number to 

provide general guidance and 

clarification of the NOFA, but not 

guidance in actually preparing your 

application. Following selection, but 

prior to award, HUD staff will be 

available to assist in clarifying or 

confirming information that is a 

prerequisite to the offer of an award by 

HUD. 

VIII. Other Information 

A. Satellite Broadcast. HUD will hold 

an information webcast via satellite for 

potential applicants to learn more about 

the program and preparation of an 

application. For more information about 

the date and time of this webcast, 

consult the HUD Web site at http:// 

www.hud.gov. 

B. The Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2506–0169. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor and a person is 

not required to respond to a collection 

of information, unless it displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 100 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, semi-annual 

reports, and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. 


rwilkins on PROD1PC63 with NOTICES_2
11610 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.018</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11611 

Resident Opportunity and SelfSufficiency (ROSS)—Elderly/Persons 

With Disabilities Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Public and Indian Housing. 

B. Funding Opportunity Title: 

Resident Opportunity and SelfSufficiency (ROSS)—Elderly/Persons 

With Disabilities Program (formerly 

known as Resident Services Delivery 

Model—Elderly/Persons With 

Disabilities). 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–17; OMB Approval Number is 

2577–0229. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): 14.876, 

Resident Opportunity and Self 

Sufficiency. 

F. Dates: The application deadline 

date is July 19, 2007. Applications 

submitted through http:// 

www.grants.gov must be received and 

validated by grants.gov no later than 

11:59:59 eastern time on the application 

deadline date. Please note that 

validation may take up to 72 hours. 

G. Additional Information 

1. Purpose of Program: The purpose of 

the ROSS—Elderly/Persons With 

Disabilities Program is to provide grants 

to public housing agencies (PHAs), 

tribes/tribally designated housing 

entities (TDHEs), Resident Associations 

(RAs), and nonprofit organizations 

(including grassroots, faith-based, and 

other community-based organizations), 

for the delivery and coordination of 

supportive services and other activities 

designed to help improve the living 

conditions of public and Indian housing 

residents who are elderly and/or 

disabled. Applicants should be aware 

that receipt of grant funds in no way 

guarantees further funding beyond the 

3-year grant term and should be sure 

that services commenced pursuant to 

this grant will be sustained 

independently in the future or that the 

cessation of these activities will not 

negatively impact residents. This is 

especially important for any meal 

programs to meet residents’ nutritional 

needs. 

2. Funding Available. HUD expects to 

award a total of approximately 

$20,000,000 in ROSS—Elderly/Persons 

With Disabilities grants in FY 2007. 

This amount includes $10,000,000 

appropriated in FY 2007 and 

$10,000,000 in rollover funds. 

3. Award Amounts. Awards, 

depending on the grant category, unit 

count, and type of grantee will range 

from $125,000 to $450,000. Please see 

the funding breakdown chart below. 

4. Eligible Applicants. Eligible 

applicants are PHAs; tribes/TDHEs; 

nonprofit organizations (including 

grassroots, faith-based and other 

community-based organizations that 

have resident support or the support of 

PHAs or tribes/TDHEs); and RAs. The 

term ‘‘resident association’’ or ‘‘RA’’

will be used to refer to all types of 

eligible resident organizations. Please 

see the section on ‘‘Definition of Terms’’

for a complete definition of each type of 

eligible resident organization. 

5. Cost Sharing/Match Requirement. 

At least 25 percent of the requested 

grant amount is required as a match. 

The match may be in cash and/or inkind donations. The match is a 

threshold requirement. 

6. Grant term. The grant term is 3 

years from the execution date of the 

grant agreement. 

Grant program Total funding Eligible applicants 

Maximum grant amount (units refers to the number of 

units occupied by elderly/disabled, as indicated on 

ROSS Fact Sheet (HUD–52751)) 

ROSS—Elderly/Persons 

With Disabilities.

Approximately $20 million PHAs/Tribe/TDHE ............. $250,000 for PHAs/Tribes/TDHEs with 1–217 units. 

$350,000 for PHAs/Tribes/TDHEs with 218–1,155 

units. 

$450,000 for PHAs/Tribes/TDHEs with 1,156 or more 

units. 

Resident Associations ....... $125,000. 

Nonprofit entities ............... $125,000 per RA; up to $375,000. 

The applicant may use up to $68,000 

maximum per year and in accordance 

with local wage standards (see Funding 

Restrictions) for the salary and fringe 

benefits of a Project Coordinator. 

Additionally, the applicant may use 

funds for delivery of services. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Purpose. The purpose of the 

ROSS—Elderly/Persons with 

Disabilities Program is to provide grants 

to public housing agencies (PHAs), 

Tribes/Tribally Designated Housing 

Entities (TDHEs), Resident Associations 

(RAs), and nonprofit organizations 

(including grassroots, faith-based and 

other community-based organizations) 

for the delivery and coordination of 

supportive services and other activities 

designed to help improve the living 

conditions of public and Indian housing 

residents who are elderly and/or 

disabled. Please note that no elderly 

individual or person with a disability 

may be required to take services. 

B. Definition of Terms 

1. City-Wide Resident Organization 

consists of members from Resident 

Councils, Resident Management 

Corporations, and Resident 

Organizations who reside in public 

housing developments that are owned 

and operated by the same PHA within 

a city. 

2. Community Facility means a nondwelling structure that provides space 

for multiple supportive services for the 

benefit of public and/or Indian housing 

residents eligible for the services 

provided. 

3. Contract Administrator (CA) means 

an overall grant administrator and/or a 

financial management agent that 

oversees the implementation of the 

grant and/or the financial aspects of the 

grant. (See the ‘‘Threshold 

Requirements’’ and ‘‘Program 

Requirements’’ sections for more 

information.) All nonprofit applicants, 

all RAs, and PHAs that are troubled at 

time of application must have a CA and 

are required, per the Threshold Section, 

to submit a signed Contract 

Administrator Partnership Agreement. 

The agreement must be for the entire 

grant term. The CA must assure that the 

financial management system and 

procurement procedures that will be in 

place during the grant term will fully 

comply with either 24 CFR part 84 or 

85, as appropriate. CAs are expressly 

forbidden from accessing HUD’s Line of 

Credit Control System (LOCCS) and 

submitting vouchers on behalf of 

grantees. CAs must also assist PHAs to 

meet HUD’s reporting requirements. 

CAs may be: local housing agencies; 

community-based organizations such as 


rwilkins on PROD1PC63 with NOTICES_2
11612 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

community development corporations 

(CDCs), churches, temples, synagogues, 

and mosques; nonprofit organizations; 

state/regional associations and 

organizations. Troubled PHAs are not 

eligible to be contract administrators. 

Grant writers who assist applicants in 

preparing their ROSS applications are 

also ineligible to be contract 

administrators. Organizations that the 

applicant proposes to use as the CA 

must not violate or be in violation of 

other conflicts of interest as defined in 

24 CFR part 84 and 24 CFR part 85. 

4. Elderly person means a person who 

is at least 62 years of age. 

5. Jurisdiction-Wide Resident 

Organization means an incorporated 

nonprofit organization or association 

that meets the following requirements: 

a. Most of its activities are conducted 

within the jurisdiction of a single 

housing authority; 

b. There are no incorporated resident 

councils or resident management 

corporations within the jurisdiction of 

the single housing authority; 

c. It has experience in providing startup and capacity-building training to 

residents and resident organizations; 

and 

d. Public housing residents 

representing unincorporated resident 

councils within the jurisdiction of the 

single housing authority must comprise 

a majority of the board of directors. 

6. Tribally Designated Housing Entity 

(TDHE) is an entity authorized or 

established by one or more Indian tribes 

to act on behalf of each such tribe 

authorizing or establishing the housing 

entity as defined by Section 4(21) of 

Native American Housing Assistance 

and Self-Determination Act 

(NAHASDA). 

7. Indian Tribe means any tribe, band, 

nation, or other organized group of a 

community of Indians, including any 

Alaska native village, regional, or village 

corporation as defined in or established 

pursuant to the Alaska Native Claims 

Settlement Act, and that is recognized 

as eligible for the special programs and 

services provided by the United States 

to Indians because of their status as 

Indians pursuant to the Indian Self 

Determination and Education Act of 

1975 or any state-recognized tribe 

eligible for assistance under section 

4(12)(C) of NAHASDA. 

8. Intermediary Resident 

Organizations means jurisdiction-wide 

resident organizations, citywide 

resident organizations, statewide 

resident organizations, regional resident 

organizations, and national resident 

organizations. 

9. NAHASDA-assisted resident means 

a resident of tribal housing (as defined 

above) who has been assisted by the 

Native American Housing Assistance 

and Self-Determination Act 

(NAHASDA) of 1996. 

10. National Resident Organization 

(NRO) is an incorporated nonprofit 

organization or association for public 

housing that meets each of the following 

requirements: 

a. It is national in that it conducts 

activities or provides services in at least 

two HUD areas or two states; 

b. It has the capacity to provide startup and capacity-building training to 

residents and resident organizations; 

and 

c. Public housing residents 

representing different geographical 

locations in the country are members of 

the board of directors. 

11. Nonprofit organization is an 

organization that is exempt from federal 

taxation. A nonprofit organization can 

be organized for the following purposes: 

charitable, religious, educational, 

scientific, or other similar purposes in 

the public interest. In order to qualify, 

an organization must be a corporation, 

community chest, fund, or foundation. 

An individual or partnership will not 

qualify. To obtain nonprofit status, 

qualified organizations must file an 

application with the Internal Revenue 

Service (IRS) and receive designation as 

such by the IRS. For more information, 

go to www.irs.gov. Applicants who are 

in the process of applying for nonprofit 

status, but have not yet received 

nonprofit designation from the IRS, will 

not be considered nonprofit 

organizations. All nonprofit applicants 

must submit their IRS determination 

letter to prove their nonprofit (e.g., 

501(c)(3)) status with their funding 

application. Please see the section on 

‘‘Threshold Requirements’’ for more 

information. Nonprofit applicants must 

also provide letters of support as 

described in the ‘‘Threshold 

Requirements’’ section. 

12. National nonprofit organizations 

work on a national basis and have the 

capacity to mobilize resources on both 

a national and local level. All nonprofit 

applicants must submit their IRS 

determination letter to prove their 

nonprofit (e.g., 501(c)(3)) status. 

National nonprofit applicants must also 

provide letters of support as outlined in 

the ‘‘Threshold Requirements’’ section. 

13. Past Performance is a threshold 

requirement. Using Rating Factor 1, 

HUD’s field offices will evaluate 

applicants for past performance to 

determine whether an applicant has the 

capacity to manage the grant for which 

the applicant is applying. The area 

Office of Native American Programs 

(ONAP) will review past performance 

for tribal/TDHE submissions. Field 

offices will evaluate the past 

performance of contract administrators 

for applicants required to have one. 

14. Person with disabilities: This 

NOFA uses the definition of person 

with disabilities found at 24 CFR 5.403. 

15. Project Coordinator is responsible 

for coordinating the grantee’s approved 

activities to ensure that grant goals and 

objectives are met. A qualified Project 

Coordinator is someone with experience 

managing projects and who preferably 

has experience working with supportive 

services. Project Coordinators and 

grantees are responsible for ensuring 

that all federal requirements are 

followed. 

16. Resident Association (RA) means 

any or all of the forms of resident 

organizations as they are defined 

elsewhere in this Definitions section 

and includes Resident Councils (RCs), 

Resident Management Corporations 

(RMCs), City-Wide Resident 

Organizations, Regional Resident 

Organizations (RROs), Statewide 

Resident Organizations (SROs), 

Jurisdiction-Wide Resident 

Organizations, and National Resident 

Organizations (NROs), Resident 

Organization (RO) for tribal entities, 

Site-Based Resident Associations, and 

Tribal/TDHE Resident Groups. The 

NOFA will use ‘‘Resident Association’’

or ‘‘RA’’ to refer to all eligible types of 

resident organizations. See 24 CFR Part 

964.115 for more information. 

17. Regional Resident Organization 

(RRO) means an incorporated nonprofit 

organization or association for public 

housing that meets each of the following 

requirements: 

a. The RRO is regional; i.e., it is not 

limited to HUD-defined regions; 

b. The RRO has experience in 

providing start-up and capacity-building 

training to residents and resident 

organizations; and 

c. Public housing residents 

representing different geographical 

locations in the region must comprise 

the majority of the board of directors. 

18. Resident Management 

Corporation (RMC) means an entity that 

proposes to enter into, or enters into a 

contract to conduct one or more 

management activities of a PHA and 

meets the requirements of 24 CFR 

964.120. 

19. Resident Organization (RO) for 

tribal entities means an incorporated or 

unincorporated nonprofit tribal 

organization or association that meets 

each of the following criteria: 

a. Consists of residents only, and only 

residents may vote; 

b. If it represents residents in more 

than one development or in all of the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11613 

developments of the tribal/TDHE 

community, it shall fairly represent 

residents from each development that it 

represents; 

c. Adopts written procedures 

providing for the election of specific 

officers on a regular basis; and 

d. Has an elected governing board. 

20. Secretary means the Secretary of 

Housing and Urban Development. 

21. Site-Based Resident Associations 

means resident councils or resident 

management corporations representing a 

specific public housing development. 

22. Supportive Services means 

activities including, but not limited to: 

a. Meal services adequate to meet 

nutritional need; 

b. Wellness programs; 

c. Job training; 

d. Coordination of volunteer 

activities; 

e. ESL or other educational classes; 

and 

f. Congregate services. 

23. Statewide Resident Organization 

(SRO) is an incorporated nonprofit 

organization or association for public 

housing that meets the following 

requirements: 

a. The SRO is statewide; 

b. The SRO has experience in 

providing start-up and capacity-building 

training to residents and resident 

organizations; and 

c. Public housing residents 

representing different geographical 

locations in the state must comprise the 

majority of the SRO’s board of directors. 

24. Tribal/TDHE Resident Group 

means tribal/TDHE resident groups that 

are democratically elected groups such 

as IHA-wide resident groups, area-wide 

resident groups, single development 

groups, or resident management 

corporations (RMCs). 

C. Regulations Governing the ROSS 

Grant 

ROSS—Elderly/Persons with 

Disabilities is governed by 24 CFR part 

964. 

II. Award Information 

A. Performance Period and Award Type 

1. Grant Period. Three years. The 

grant period shall begin the day the 

grant agreement and the form HUD–

1044, ‘‘Assistance Award/Amendment,’’

are signed by both the grantee and HUD. 

2. Grant Extensions. Requests to 

extend the grant term beyond the grant 

term must be submitted in writing to the 

local HUD field office or area ONAP at 

least 90 days prior to the expiration of 

the grant term. Requests must explain 

why the extension is necessary, what 

work remains to be completed, and 

what work and progress has been 

accomplished to date. Extensions may 

be granted only once by the field office 

or area ONAP for a period not to exceed 

6 months and may be granted for a 

further 6 months by the Headquarters 

Program Office at the request of the 

Field Office or Area ONAP. 

3. Type of Award. Grant agreement. 

4. Subcontracting. Subcontracting is 

permitted. Grantees must follow federal 

procurement regulations found in HUD 

regulations at 24 CFR part 84.40–84.48 

and 24 CFR part 85.36. 

B. Funding Amounts 

1. Total Funding. HUD expects to 

award approximately $20,000,000 under 

this funding category of ROSS. This 

amount includes $10,000,000 

appropriated in FY 2007 and 

$10,000,000 in rollover funds. 

Awards will be made as follows: 

a. PHAs must use the number of 

conventional public housing units 

occupied by elderly and disabled 

residents as of September 30, 2006, per 

their budget to determine the maximum 

grant amount they are eligible for in 

accordance with the categories in the 

chart above. On the Fact Sheet, PHAs 

should clearly indicate the number of 

conventional public housing units 

occupied by elderly and disabled 

residents under their Annual 

Contributions Contract. 

b. The maximum grant award is 

$125,000 for each RA. 

c. Nonprofits are eligible applicants if 

they are representing or acting at the 

behest of an RA. Accordingly, nonprofit 

applicants must show support from that 

RA. Nonprofits that have support from 

an RA are limited to $125,000 for each 

RA. A nonprofit organization may not 

receive more than $375,000 in FY 2007 

ROSS-Elderly/Disabled grant funding, 

but may propose to serve more than 3 

RAs. In cases where nonprofit 

applicants are not able to obtain support 

from RAs, they must obtain letters of 

support from PHAs or tribes/TDHEs. 

Note: All nonprofit applicants that do not 

include a letter of support from an RA must 

include a letter of support from a PHA or 

tribes/TDHE. Please see the Threshold 

Requirements section for more information. 

Support letters must indicate the 

developments to be served by the nonprofit 

organization. Funding for nonprofit 

applicants that do not receive letters of 

support from RAs will be determined as 

follows. Support letters must indicate the 

developments to be served by the nonprofit 

organization as well as the number of 

conventional public housing units occupied 

by elderly and persons with disabilities. 

Number of conventional units occupied by elderly/disabled residents 

Maximum 

Funding 

1–217 units ................................... $125,000 

218–1,155 units ............................ 250,000 

1,156 or more units ...................... 375,000 

Applicants should see the General 

Section of the SuperNOFA for 

instructions on submitting support 

letters and other documentation with 

their electronic application. 

d. Tribes/TDHEs should use the 

number of units occupied by elderly 

and persons with disabilities counted as 

Formula Current Assisted Stock for FY 

2006, as defined in 24 CFR part 

1000.316. Tribes that have not 

previously received funds from the 

Department under the 1937 Housing Act 

should count housing units under 

management that are owned and 

operated by the Tribe, identified in their 

housing inventory as of September 30, 

2006, and occupied by elderly/disabled 

residents. Tribes should clearly indicate 

the number of units under management 

occupied by elderly/disabled residents 

on the Fact Sheet. 

III. Eligibility Information 

A. Eligible Applicants. PHAs, tribes/ 

TDHEs, RAs, and nonprofit 

organizations (supported by resident 

organizations or PHAs/tribes/TDHEs ). 

PHAs that are recipients of the Elderly/ 

Disabled Renewal Service Coordinator 

funding through Operating Subsidy are 

not eligible to apply for this ROSS 

funding category. If you are unsure if 

your organization falls into this 

category, please contact the Public and 

Indian Housing Information and 

Resource Center at 800–955–2232. 

B. Cost Sharing or Matching 

Information for All Applicants: Match 

is a threshold requirement. Applicants 

who do not demonstrate that they have 

a match of 25 percent of the total 

requested grant amount will fail the 

threshold requirement and will not 

receive further consideration for 

funding. 

C. Other 

1. Eligible Activities. Applicants 

should propose implementing 

comprehensive programs within the 3- 

year grant term, which will result in 

improved living conditions for the 

elderly/persons with disabilities 

population. Improved living conditions 

may mean, but is not limited to, agingin-place or assistance to live 

independently. Proposals should 

involve partnerships with organizations 

that will help grantees provide 

enhanced services to the elderly/ 


rwilkins on PROD1PC63 with NOTICES_2
11614 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

persons with disabilities they will serve. 

All applicants must complete a 

descriptive narrative and work plan and 

a Logic Model covering the 3-year grant 

term. Proposed grant activities should 

build on the foundation created by 

previous ROSS grants or other federal, 

state, and local efforts to assist these 

populations. Eligible activities include, 

but are not limited to the following: 

a. Hiring of a qualified Project 

Coordinator to run the grant program. A 

qualified Project Coordinator should 

have at least 2 years of experience 

managing programs and have 

experience working with supportive 

services. The Project Coordinator is 

responsible for: 

(1) Assessing participating residents’

needs for supportive services (e.g., 

Medicaid, Medicare, physician care, 

food stamps, rehabilitation services, 

veterans disability, state-funded 

programs such as nurse case 

management, housekeeping, Meals-onWheels, transportation, etc.); 

(2) Designing, coordinating, referring 

to and delivering, as relevant, grant 

activities based on residents’ needs, 

such as those activities listed below; 

(3) Monitoring the progress of 

program participants and evaluating the 

overall success of the program. A 

portion of grant funds may be reserved 

to ensure that evaluations can be 

completed for all participants who 

received assistance through the 

program. This may include software for 

tracking and evaluation to meet HUD’s 

reporting requirements. Project 

Coordinators and grantees are 

responsible for ensuring that all federal 

requirements are followed. 

b. Coordination, referral to, and 

delivery of meal services adequate to 

meet nutritional needs (i.e., not related 

to entertainment activities); 

c. Coordination, referral to, and 

delivery of transportation services 

including purchase, rental, or lease of a 

vehicle for the grantee and limited in 

use for program purposes and fuel for 

program activities; 

d. Coordination, set-up, and referral to 

assistance with daily activities (ADLs); 

e. Coordination, set-up, and referral to 

housekeeping assistance; 

f. Coordination, referral to, and 

delivery of wellness programs 

including, but not limited to, health and 

nutrition programs, preventive health 

education, referral to rehabilitation 

services, structured programs to build 

social support, services for the disabled, 

and other community resources; 

g. Coordination, set-up, and referral to 

personal emergency response; 

h. Coordination, referral to, and 

delivery of congregate services. This 

includes supportive services provided 

in a congregate setting at a conventional 

public housing development; and 

i. Coordination, referral to, and 

delivery of case management; 

j. Coordination and referral to health 

services (e.g., medical and dental checkups); 

k. Coordination, referral, and delivery 

of job training opportunities under 

Section 3 of the Housing and Urban 

Development Act of 1968; 

l. Coordination and referral of 

residents to employment opportunities 

under Section 3 of the Housing and 

Urban Development Act of 1968; 

m. Salary and fringe benefits of staff; 

n. Lease or rental of space for program 

activities, but only under the following 

conditions: 

(1) The lease must be for existing 

facilities not requiring rehabilitation or 

construction; 

(2) No repairs or renovations of the 

property may be undertaken with 

Federal funds; and 

(3) Properties in the Coastal Barrier 

Resources System designated under the 

Coastal Barrier Resources Act (16 U.S.C. 

3501) cannot be leased or rented with 

Federal Funds. 

o. Administrative Costs, for all 

applicants, may include, but are not 

limited to, purchase of furniture, office 

equipment and supplies, local travel, 

utilities, printing, postage, 

administrative salaries, and lease or 

rental of space for program activities 

(subject to the lease restrictions in the 

preceding paragraph). To the maximum 

extent practicable, when leasing space 

or purchasing equipment or supplies, 

business opportunities should be 

provided to businesses under Section 3 

of the Housing and Urban Development 

Act of 1968. Administrative costs must 

not exceed 10 percent of the total grant 

costs. All administrative costs should be 

delineated and allocated as direct 

costs—an indirect cost rate will not be 

accepted; 

p. Other supportive services; 

q. Staff training; 

r. Long-distance travel (subject to 

funding restrictions); and 

s. Evaluation costs for the grant 

program, including tracking or 

evaluation software to meet HUD’s 

reporting requirements. 

2. Threshold Requirements. The 

criteria below apply to all applicants 

unless otherwise indicated. Additional 

information about threshold 

requirements may also be found in the 

General Section. Applicants must 

respond to each threshold requirement 

clearly and thoroughly by following the 

instructions below. If the application 

fails any threshold requirement, it will 

be considered a failed application and 

will not receive consideration for 

funding. 

a. Match. All applicants are required 

to have in place firm match 

commitments, either in cash or in-kind, 

for 25 percent of the requested grant 

amount, as defined in this NOFA. Joint 

applicants must together have at least a 

25 percent match of the requested grant 

amount. Applicants who do not 

demonstrate the minimum 25 percent 

match of the requested grant amount 

will fail this threshold requirement and 

will not receive further consideration 

for funding. If you are applying for more 

than one category of ROSS grant (i.e., 

ROSS—Family & Homeownership), you 

must use different sources of match 

donations for each grant application. 

Additionally, you must indicate which 

other ROSS grant(s) you are applying for 

by attaching a page to your application 

stating the sources and amounts of each 

of your match contributions for this 

application as well as any other HUD 

programs to which you are applying. 

Match donations must be firmly 

committed, which means that the 

amount of match resources and their 

dedication to ROSS-funded activities 

must be explicit, in writing, and signed 

by a person authorized to make the 

commitment. Letters of commitment, 

memoranda of understanding (MOUs), 

or tribal resolutions must be on 

organization letterhead, and signed by a 

person authorized to make the stated 

commitment, whether it be in cash or 

in-kind services. The letters of 

commitment/MOUs/tribal resolutions 

must indicate the total dollar value of 

the commitment and be dated between 

the publication date of this NOFA and 

the application deadline published in 

this NOFA, or the amended deadline 

and indicate how the commitment will 

relate to the proposed program. The 

commitment must be available at the 

time of award. A match that is proposed 

for ineligible activities will not be 

accepted. Although ineligible as a use of 

grant funds for applicants, the direct 

delivery of ADLs, housekeeping, and 

personal emergency response will be 

accepted as match if provided by a 

partner. Applicants proposing to use 

their own non-ROSS grant funds to meet 

the match requirement in whole or in 

part, must also include a letter of 

commitment indicating the type of 

match (cash or in-kind) and how the 

match will be used. Please see the 

General Section for instructions for 

submitting the required letters with 

your electronic application. 

Committed amounts in excess of the 

25 percent of the requested grant 

amount may be considered as leveraged 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11615 

funds for higher points under Rating 

Factor 4. 

(1) The value of volunteer time and 

services shall be computed by using the 

normal professional rate for the local 

area or the national minimum wage rate 

of $5.15 per hour (NOTE: PHA applicants 

may not count their staff time toward 

the match); 

(2) In order for HUD to determine the 

value of any donated material, 

equipment, staff time, building, or lease, 

your application must provide a letter 

from the organization making the 

donation stating the value of the 

contribution. 

(3) Other resources/services that can 

be committed include: in-kind services 

provided to the applicant; funds from 

federal sources (not including ROSS 

funds), as allowed by statute, including, 

for example, Community Development 

Block Grant (CDBG) funds or Indian 

Housing Block Grant (IHBG) funds; 

funds from any state or local 

government sources; and funds from 

private contributions. Applicants may 

also partner with other program funding 

recipients to coordinate the use of 

resources in the target area. 

b. Past Performance. HUD’s field 

offices will evaluate data provided by 

applicants under Rating Factor 1, as 

well as applicants’ past performance, to 

determine whether applicants have the 

capacity to manage the grant for which 

they are applying. The area Offices of 

Native American Programs (ONAPs) 

will review past performance for tribal 

and TDHE submissions. Field offices 

will evaluate the contract 

administrators’ past performance for 

applicants required to have a contract 

administrator. In evaluating past 

performance, HUD will look at the 

applicant’s record of completing grant 

activities on time, within budget, and 

the results achieved. Using Rating 

Factor 1, the field office/area ONAP will 

evaluate applicants’ past performance. 

Applicants should carefully review and 

respond to Rating Factor 1 to ensure 

their applications address each of the 

criteria. If applicants fail to address 

what is requested in Rating Factor 1, 

their applications will fail this threshold 

and will not receive further 

consideration. 

c. Contract Administrator Partnership 

Agreement. All nonprofit applicants, all 

RAs, and troubled PHAs (troubled as of 

the application deadline) are required to 

submit a signed Contract Administrator 

Partnership Agreement. The agreement 

must be for the entire grant term. If an 

applicant that is required to have a 

Contract Administrator Partnership 

Agreement fails to submit one, or if it 

is incomplete, incorrect or insufficient, 

this will be treated as a technical 

deficiency. See the General Section for 

more information on Corrections to 

Deficient Applications. Troubled PHAs 

are ineligible to be contract 

administrators. Grant writers who assist 

applicants in preparing their ROSS 

applications are also ineligible to be 

contract administrators. 

d. Letters of Support for Nonprofit 

Applicants. 

(1) All nonprofit applicants must 

include one or more letters of support 

from RAs. If the RAs are inactive, then 

a nonprofit applicant must submit an 

accompanying letter of support from the 

PHA or tribe/TDHE that is indicating 

support for the application. All letters of 

support must be signed by an 

authorized representative of the 

supporting organization and be dated 

between the publication date of this 

NOFA and the application deadline 

published in this NOFA, or the 

amended deadline. 

(2) Nonprofit applicants that do 

receive support from RAs must also 

submit form HUD–52754 (‘‘List of 

Resident Associations Supporting 

Nonprofit Applicants.’’) Submitting this 

form is not applicable where RAs are 

inactive or where applicants do not 

submit letters of support from RAs. 

(3) In cases where nonprofit 

organizations are applying to serve 

tribes/TDHEs, nonprofit applicants must 

submit letters of support from tribes/ 

TDHEs. Nonprofit organizations must 

also use form HUD–52754 to list which 

tribes/TDHEs support their application. 

(4) Letters of support must describe to 

what extent they are familiar with the 

nonprofit applicant and indicate their 

support and understanding of the 

nonprofit organization’s application. 

Letters must include contact 

information and the name and title of 

the person authorized to sign for the 

organization and should be on 

letterhead. If RA letterhead is not 

available, the letter may be submitted on 

PHA letterhead. 

(5) All nonprofit applicants that do 

not provide letters of support from RAs 

must provide letters of support from 

PHAs or tribes/TDHEs with jurisdiction 

over the developments the applicant 

proposes to serve. Letters from PHAs or 

tribes/TDHEs must describe the extent 

to which the nonprofit applicant is 

familiar with the needs of the 

community to be served, which 

programs the nonprofit applicant has 

operated or managed in the community 

that are similar to the applicant’s 

proposal, and whether the nonprofit 

organization has the capacity to 

implement its proposed program. 

Letters from PHAs or tribes/TDHEs must 

also list the names of the developments 

to be served, certify the number of 

conventional units occupied by elderly/ 

persons with disabilities in those 

developments, and identify the ROSS 

funding category to which the nonprofit 

organization is applying. PHA or tribe/ 

TDHE letters of support must be signed 

by the Executive Director, tribal leader, 

or authorized designee and must be on 

PHA or tribe/TDHE letterhead. Please 

see the General Section of the 

SuperNOFA for instructions for 

submitting the required letters with 

your electronic application. 

(6) Applications from nonprofit 

organizations that do not submit the 

information requested in this section 

will fail this threshold requirement and 

will not be considered for funding. 

e. Nonprofit status. All nonprofit 

applicants must submit their IRS 

determination letter to prove their 

nonprofit (e.g., 501(c)(3)) status. 

Applicants that fail to submit this letter 

will fail this threshold requirement and 

will not be considered for funding. 

Please see the General Section of the 

SuperNOFA for instructions on 

submitting the required documentation 

with your electronic application. 

f. Minimum Score for All Fundable 

Applications. Applications that pass all 

threshold requirements and go through 

the ranking and rating process must 

receive a minimum score of 75 in order 

to be considered for funding. 

g. General Section Thresholds. All 

applicants will be subject to all 

Thresholds requirements listed in the 

General Section. 

h. The Dun and Bradstreet Universal 

Numbering System (DUNS) Number 

Requirement. Refer to the General 

Section for information regarding the 

DUNS requirement. You will need to 

obtain a DUNS number to receive an 

award from HUD. See the General 

Section for a discussion of the 

Grants.gov registration process. 

3. Program Requirements 

a. Contract Administrator. The 

contract administrator must assure that 

the financial management system and 

procurement procedures that will be in 

place during the grant term will fully 

comply with either 24 CFR part 84 or 

85, as appropriate. CAs are expressly 

forbidden from accessing HUD’s Line of 

Credit Control System (LOCCS) and 

submitting vouchers on behalf of 

grantees. Contract administrators must 

also assist grantees to meet HUD’s 

reporting requirements. Contract 

administrators may be: local housing 

agencies; community-based 

organizations such as community 

development corporations (CDCs), 

churches, temples, synagogues, or 


rwilkins on PROD1PC63 with NOTICES_2
11616 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

mosques; nonprofit organizations; and 

state/regional associations and 

organizations. Troubled PHAs are not 

eligible to be contract administrators. 

Grant writers who assist applicants to 

prepare their applications are also 

ineligible to be contract administrators. 

Organizations that the applicant 

proposes to use as the contract 

administrator must not violate or be in 

violation of other conflicts of interest as 

defined in 24 CFR part 84 and 24 CFR 

part 85. 

b. Requirements for All Applicants. 

All applicants, lead and non-lead, 

should refer to ‘‘Other Requirements 

and Procedures Applicable to All 

Programs’’ of the General Section for 

requirements pertaining specifically to 

procurement of recovered materials and 

for information regarding other 

requirements to which they may be 

subject. 

4. Number of Applications Permitted. 

Applicants may desire to provide a 

broad range of services supported by 

grants from a number of ROSS funding 

categories. Applicants may submit more 

than one application only based on the 

criteria below: 

a. General. Applicants may submit up 

to one application for each ROSS 

funding category (i.e., one application 

for ROSS–Elderly/Persons with 

Disabilities, one application for ROSS–

Family, etc.), except for nonprofits. 

Nonprofit organizations may submit 

more than one application per ROSS 

funding category provided they will be 

serving residents of distinct PHAs or 

Tribes/TDHEs. 

b. More than one application per 

development. Only one application per 

funding category will be funded for a 

particular development. For example, if 

multiple applicants apply for ROSS–

Elderly/Persons with Disabilities for the 

same development, only the highest 

scoring application will be considered 

for award. If multiple applicants are 

interested in providing services to a 

development and the services are 

funded under the same ROSS funding 

category, it is suggested the applicants 

work together to submit one application 

on behalf of the development. 

c. Joint applications. Two or more 

applicants may join together to submit 

a joint application for proposed grant 

activities. Joint applications must 

designate a lead applicant. The lead 

applicant must be registered with 

Grants.gov and submit the application 

using the Grants.gov portal. Lead 

applicants are subject to all threshold 

requirements. Non-lead applicants are 

subject to the following threshold 

requirements as applicable: 

(1) Letters of support for nonprofit 

applicants, 

(2) Evidence of nonprofit status, as 

outlined under the section covering 

threshold requirements; and 

(3) Threshold requirements as 

outlined in Section III.C. of the General 

Section. Joint applications may include 

PHAs, RAs, Tribes/TDHEs, and 

nonprofit organizations on behalf of 

resident organizations. Joint 

applications involving nonprofit 

organizations must also provide 

evidence of resident support (the RA) 

or, if the RA is inactive, the RAB. (If the 

support letter is from the RAB, the 

applicant must also provide a support 

letter from the PHAs or tribes/TDHEs.) 

The PHA, tribe/TDHE, or RA that is part 

of a joint application may not also 

submit separate applications as sole 

applicants under this NOFA. 

Note: Joint applicants may combine their 

eligible units to determine the maximum 

funding amount the applicants are eligible to 

receive. Please enter the total number of 

eligible units on the ROSS Fact Sheet. 

5. Eligible Participants. All ROSS—

Elderly/Persons with Disabilities 

program participants must be residents 

of conventional public housing or 

NAHASDA-assisted housing and must 

be elderly or disabled. See the 

Definitions Section for more 

information. 

6. Eligible Developments. Only 

conventional public and Indian housing 

developments or NAHASDA-assisted 

housing may be served by ROSS grant 

funds. Other housing/developments, 

including but not limited to private 

housing, federally insured housing, 

federally subsidized or assisted (e.g., 

assisted under Section 8, Section 202, 

Section 811, or Section 236), and others 

are not eligible to participate in ROSS. 

7. Energy Star. HUD has adopted a 

wide-ranging energy action plan for 

improving energy efficiency in all 

program areas. As a first step toward 

implementing the energy plan, HUD, the 

Environmental Protection Agency 

(EPA), and the Department of Energy 

(DoE) have signed a joint partnership to 

promote energy efficiency in HUD’s 

affordable housing efforts and programs. 

The purpose of the Energy Star 

partnership is to promote energy 

efficiency in the affordable housing 

stock, and also to help protect the 

environment. Applicants providing 

housing assistance or counseling 

services are encouraged to promote 

Energy Star materials and practices, as 

well as buildings constructed to Energy 

Star standards, to both homebuyers and 

renters. Program activities can include 

developing Energy Star promotional and 

information materials, outreach to lowand moderate-income renters and 

buyers on the benefits and savings when 

using Energy Star products and 

appliances, and promoting the 

designation of community buildings and 

homes as Energy Star compliant. For 

further information about Energy Star, 

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

888–STAR7–YES (888–782–7937).The 

hearing-impaired may call 888–588–

9920 (TTY). 

IV. Application and Submission 

Information 

A. Application Components. Copies 

of the published NOFAs and application 

forms for HUD programs announced 

through NOFA may be downloaded 

from the grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp; if you have 

difficulty accessing the information, you 

may receive customer support from 

Grants.gov by calling their Support Desk 

at (800) 518–GRANTS, or by sending an 

e-mail to support@grants.gov. You may 

request general information from the 

NOFA Information Center (800–HUD–

8929) between the hours of 10 a.m. and 

6:30 p.m. (Eastern Time) Monday 

through Friday, except on federal 

holidays. When requesting information, 

please refer to the name of the program 

you are interested in. The NOFA 

Information Center opens for business 

simultaneously with the publication of 

the SuperNOFA. Applicants should 

make sure to include all requested 

information, according to the 

instructions found in this NOFA and 

where applicable, in the General 

Section. This will help ensure a fair and 

accurate review of your application. 

B. Content and Form of Application 

Submission 

1. Application Format Information for 

All Applicants. Before preparing an 

application for any ROSS funding, 

applicants should carefully review the 

program description, ineligible 

activities, program and threshold 

requirements, and the General Section. 

Applicants should also review each 

rating factor found in the ‘‘Application 

Review Information’’ section before 

writing a narrative response. 

Applicants’ narratives should be as 

descriptive as possible, to ensure that 

every requested item is addressed. 

Applicants should make sure to include 

all requested information, according to 

the instructions found in this NOFA 

and, where applicable, in the General 

Section. This will help ensure fair and 

accurate review of your application. 

2. Content and Format for Submission 

a. Content of Application 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11617 

Applicants must write narrative 

responses to each of the rating factors, 

that follow this section. Under some 

sections, applicants are also asked to 

complete and include provided forms. 

Applicants will be evaluated on 

whether their responses contained in 

the narratives and on the forms 

demonstrate that they have the 

necessary capacity to successfully 

manage the proposed program. 

Applicants should ensure that their 

narratives are written clearly and 

concisely so that reviewers, who may 

not be HUD staff, may fully understand 

their proposal. Also, if information 

provided on one of the grant forms is 

not self-explanatory, narrative should be 

provided to clarify. 

b. Format of Application 

(1) Applications may not exceed 40 

narrative pages. Narrative pages must be 

typed in Times New Roman font style, 

double-spaced, numbered, with a font 

size 12, and with one-inch margins all 

around. Supporting documentation, 

required forms, and certifications will 

not be counted toward the 40-page 

narrative page limit. However, 

applicants should make every effort to 

submit only what is necessary in terms 

of supporting documentation. Please see 

the General Section for instructions on 

how to submit supporting 

documentation with your electronic 

application. 

(2) A checklist is provided here to 

help applicants ensure that they submit 

all required forms and information. 

(Note: Applicants who receive a waiver 

to submit paper applications must 

submit their applications in a three-ring 

binder, with TABS dividing the sections 

as indicated below. When submitting 

electronically, you do not need to 

submit these in TABS. Be sure to name 

each attachment clearly following the 

instructions in the General Section.) 

Copies of the forms may be downloaded 

with the application package and 

instructions from http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. You must use the 

forms that are included with the 2007 

application so as to avoid using 

outdated forms that may be on 

HUDCLIPS or found from another 

source. Please include a header in your 

narrative pages and any other additional 

pages that includes the applicant name 

and the requirement being responded to. 

TAB 1: Required Forms from the 

General Section and other ROSS forms: 

1. Acknowledgement of Application 

Receipt (HUD–2993), for paper 

application submissions only (you must 

have an approved waiver to submit a 

paper application.) 

2. Application for Federal Financial 

Assistance (SF–424); 

3. SF–424 Supplement, ‘‘Survey on 

Ensuring Equal Opportunities for 

Applicants’’ (‘‘Faith Based EEO Survey 

(SF–424–SUPP)’’ on Grants.gov); 

4. HUD–27300, ‘‘Questionnaire for 

HUD’s Removal of Regulatory Barriers’’

(‘‘HUD Communities Initiative Form’’

on Grants.gov); 

5. ROSS Fact Sheet (HUD–52751); 

6. HUD–4247–CB, ‘‘Grant Application 

Detailed Budget’’ (‘‘HUD Detailed 

Budget Form’’ on Grants.gov); 

7. Grant Application Detailed Budget 

Worksheet (HUD–424–CBW)—please 

remember to include a separate HUD–

424–CBW for any sub-contract of 10% 

or more of federal funds; 

8. HUD–2880, ‘‘Applicant/Recipient 

Disclosure/Update Report’’ (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

9. Certification of Consistency with 

RC/EZ/EC–II Strategic Plan (HUD–

2990), if applicable; 

10. Certification of Consistency with 

the Consolidated Plan (HUD–2991), (for 

all applicants except for tribes/TDHEs 

and non-profits serving tribes/TDHEs); 

11. Certification of Consistency with 

the Indian Housing Plan if applicable 

(HUD–52752) (for tribes/TDHEs and 

non-profits serving tribes/TDHEs); 

12. Certification of Resident Council 

Board of Election (HUD–52753) (for RA 

applicants and non-profit applicants 

being supported by one or more RAs); 

13. Disclosure of Lobbying Activities 

(SF–LLL), if applicable; 

14. Disclosure of Lobbying Activities 

Continuation Sheet (SF–LLL–A), if 

applicable; 

15. You Are Our Client Grant 

Applicant Survey (HUD–2994–A) 

(optional) 

16. HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘HUD Facsimile Transmittal Form’’ on 

Grants.gov). (For use with electronic 

applications as the cover page to 

provide third-party documentation.) 

17. Code of Conduct per General 

Section instructions; 

18. Statement on Affirmatively 

Further Fair Housing per General 

Section instructions. 

TAB 2: Threshold Requirements: 

1. Letters from partners attesting to 

match; 

2. Letter from applicant’s organization 

attesting to match (if applicant is 

contributing to match); 

3. Letters of support from RAs/PHAs/ 

tribes/TDHEs (Threshold requirement 

for all nonprofit applicants); 

4. List of Resident Organizations 

Supporting Nonprofit Applicants 

(required only for nonprofit applicants) 

(HUD–52754); 

5. IRS nonprofit determination letter 

proving 501(c)(3) status (this is a 

threshold requirement for all nonprofit 

applicants); and 

6. Contract Administrator Partnership 

Agreement (required for all nonprofit 

organizations, RAs, and PHAs troubled 

at the time of application submission) 

(HUD–52755). 

TAB 3: Narrative for Rating Factor 1 

and ROSS Program Forms 

1. Narrative for Rating Factor 1; 

2. Chart A: Program Staffing (HUD–

52756); 

3. Chart B: Applicant/Contract 

Administrator Track Record (HUD–

52757); 

4. Resumes/Position Descriptions. 

TAB 4: Narrative for Rating Factor 2. 

TAB 5: Narrative and work plan for 

Rating Factor 3. See Sample ROSS Work 

Plan (HUD–52764). 

TAB 6: Narrative for Rating Factor 4. 

TAB 7: Narrative for Rating Factor 5 

and ROSS Program Forms 

1. Narrative; 

2. Logic Model (HUD–96010); 

C. Submission Dates and Times 

1. Deadline Dates. 

a. The application must be received 

and validated by Grants.gov no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. Please note 

the validation process may take up to 72 

hours. If you submit a waiver request 

and it is approved, the notification of 

approval of the waiver request will 

provide instructions on where to submit 

the paper application. See the General 

Section and Section F. below for 

instructions regarding waivers to the 

electronic application submission 

requirement. If you receive a waiver of 

the electronic application submission, 

your application must be received by 

the application deadline date. See the 

General Section and Section F. below 

for waiver and mailing requirements. 

D. Intergovernmental Review: Not 

applicable. 

E. Funding Restrictions 

1. Reimbursement for Grant 

Application Costs. Grantees are 

prohibited from using ROSS grant funds 

to reimburse any costs incurred in 

conjunction with preparation of their 

ROSS grant application. 

2. Covered Salaries. Applicable to all 

applicants: 

a. Types of Salaries. ROSS–Elderly/ 

Persons with Disabilities funds may 

only be used for the types of salaries 

described in this section according to 

the restrictions described herein. 

b. Project Coordinator. All applicants 

may propose to hire a qualified Project 

Coordinator to run the grant program. 


rwilkins on PROD1PC63 with NOTICES_2
11618 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

The ROSS–Elderly/Persons with 

Disabilities program will fund up to 

$68,000 in combined annual salary and 

fringe benefits for a full-time Project 

Coordinator. Applicants may propose a 

part-time Project Coordinator at a lesser 

salary. For audit purposes, applicants 

must have documentation on file 

demonstrating that the salary and fringe 

benefits of the Project Coordinator are 

comparable to similar professions in 

their local area. 

c. Non-administrative ROSS funds 

may only be used to pay for salaries of 

staff that provide direct services to 

residents. Direct services staff, for 

purposes of this NOFA, are defined as 

applicant personnel or subcontractors 

who, as their primary responsibility, 

provide services directly to residents 

that participate in the activities 

described in this application (e.g., case 

managers, and wellness program staff, 

among other positions.) Clerical, legal, 

finance, supervisory, executive and all 

other non-direct services staff may be 

paid for activities related to the grant, 

but subject to the 10% total 

administrative costs limit. 

3. Administrative Costs. 

Administrative costs may include, but 

are not limited to, purchase of furniture, 

office equipment and supplies, local 

travel, utilities, printing, postage, 

administrative salaries, and lease or 

rental of space for program activities 

(subject to lease restrictions—See 

Eligible Activities section of this 

NOFA). Administrative costs, including 

administrative salaries, must not exceed 

10 percent of the total grant amount 

requested from HUD. Administrative 

costs must adhere to OMB Circular A–

87 or A–122 as appropriate. Please use 

HUD–424–CBW to itemize your 

administrative costs. All administrative 

costs should be delineated and allocated 

as direct costs—an indirect cost rate will 

not be accepted. 

4. Funding Requests in Excess of 

Maximum Grant Amount. Applicants 

that request funding in excess of the 

maximum grant amount which they are 

eligible to receive will be given 

consideration only for the maximum 

grant for which they are eligible. If 

awarded a grant, the grantee will work 

with the Field Office to re-apportion the 

grant funds for eligible activities 

proposed in the original application. 

5. Ineligible Activities/Costs. Grant 

funds may not be used for ineligible 

activities. Match will not be counted if 

it is proposed to be used for ineligible 

activities. The following are ineligible 

activities/costs: 

a. Payment of wages and/or salaries to 

participants for receiving supportive 

services and/or training programs; 

b. Purchase, lease, or rental of land; 

c. Purchase of space; 

d. New construction, costs for 

construction materials; 

e. Rehabilitation or physical 

improvements; 

f. Entertainment costs; 

g. Payment of wages and/or salaries to 

doctors, nurses or other staff (including 

health aids or companions) in relation 

to medical services provided to 

residents; 

h. Purchase of non-prescription or 

prescription medications; 

i. Costs, which exceed limits, 

identified in the NOFA for the 

following: Project Coordinator, 

administrative expenses, and longdistance travel; 

j. Cost of application preparation; 

k. Vehicle insurance and/or 

maintenance; 

6. ROSS funds cannot be used to hire 

or pay for the services (salary, fringe 

benefits, etc.) of a Contract 

Administrator. 

7. Other Budgetary Restrictions. Some 

long-distance travel may be necessary 

during the term of the grant in order for 

professional grant staff to attend training 

conferences related to program purposes 

or activities. Long distance travel costs 

for grant program staff may not exceed 

$5,000 for the life of the grant and must 

receive prior approval from the grantee’s 

local HUD field office or area ONAP. 

F. Other Submission Requirements 

1. All applicants are required to 

submit their applications electronically 

via Grants.gov, unless they request and 

are approved by HUD for a waiver of 

that requirement. Please refer to the 

General Section for information on how 

to submit your application and all 

attachments electronically via 

Grants.gov. 

2. Proof of Timely Submission. Please 

see the General Section for this 

information. Applicants that fail to meet 

the deadline for application receipt will 

not receive funding consideration. 

3. For Waiver Recipients Only. 

Applicants should submit their waiver 

requests in writing using mail. Waiver 

requests must be postmarked no later 

than 15 days prior to the application 

deadline date and should be sent to 

Anice Schervish, 451 Seventh Street, 

SW., Room 3236, Washington, DC 

20410. Applicants who have received 

waivers to submit paper applications 

(see the General Section for more 

information), must submit their 

applications to: HUD Grants 

Management Center, Mail Stop: ROSS–

Elderly/Persons with Disabilities, 501 

School Street, SW., 8th floor, 

Washington, DC 20024. The waiver 

approval will provide detailed 

instructions. 

4. Number of Copies. When the 

waiver request is approved the 

applicant will be provided information 

on how many copies are needed and 

where to submit the copies. Only 

applicants receiving a waiver to the 

electronic submission requirement may 

submit a paper copy application. Any 

paper applications submitted without 

an approved waiver will be considered 

ineligible. 

V. Application Review Information 

A. Criteria 

1. Factors for Award Used to Evaluate 

and Rate Applications to the ROSS 

program. The factors for rating and 

ranking applications and maximum 

points for each factor are provided 

below. The maximum number of points 

available for this program is 102. This 

includes two RC/EZ/EC–II bonus points. 

The SuperNOFA contains a certification 

that must be completed in order for the 

applicant to be considered for the RC/ 

EZ/EC–II bonus points. A listing of 

federally designated RCs, EZs, and EC–

IIs is available at http://www.hud.gov/ 

offices/adm/grants/fundsavail.cfm. The 

agency certifying to RC/EZ/EC–II status 

must be contained in the listing of RC/ 

EZ/EC–II organizations on HUD’s Web 

site listed above. 

Note: Applicants should carefully review 

each rating factor before writing a response 

and completing forms. Applicants’ narratives 

and forms should be as descriptive as 

possible, to ensure that every requested item 

is addressed. Applicants should make sure 

their narratives and forms thoroughly address 

the Rating Factors below. Applicants should 

include all requested information according 

to the instructions found in this NOFA. This 

will help ensure fair and accurate application 

review. 

a. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (25 Points). 

This factor addresses whether the 

applicant has the organizational 

resources necessary to successfully 

implement the proposed activities 

within the grant period. In rating this 

factor, HUD will consider the extent to 

which the proposal demonstrates that 

the applicant will have qualified and 

experienced staff dedicated to 

administering the program. 

(1) Proposed Program Staffing (up to 

7 Points). 

(a) Staff Experience (up to 4 Points). 

The knowledge and experience of the 

proposed Project Coordinator, staff, and 

partners in planning and managing 

programs for which funding is being 

requested. Experience will be judged in 

terms of recent, relevant, and successful 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11619 

experience of proposed staff to 

undertake eligible program activities. In 

rating this factor, HUD will consider 

experience within the last 5 years to be 

recent; experience pertaining to the 

specific activities being proposed to be 

relevant; and experience producing 

specific accomplishments to be 

successful. The more recent the 

experience and the more experience 

proposed staff members who work on 

the project have in successfully 

conducting and completing similar 

activities, the greater the number of 

points applicants will receive for this 

rating factor. The following information 

should be provided in order to provide 

HUD an understanding of proposed 

staff’s experience and capacity: 

(i) The number of staff years (one staff 

year = 2,080 hours) to be allocated to the 

proposed program by each employee or 

expert as well as each of their roles in 

the program; 

(ii) The staff’s relevant educational 

background and/or work experience; 

and 

(iii) Relevant and successful 

experience running programs whose 

activities are similar to the eligible 

program activities described in the grant 

application. 

An applicant will receive up to 4 

points if the applicant provided the 

requested materials in sufficient detail 

to demonstrate an experienced and 

well-coordinated proposed staff. 

Documentation indicates that the 

project coordinator and proposed staff 

have recent (experience within the last 

5 years), relevant (pertaining to the 

specific or similar activities being 

proposed), and successful (experience 

producing specific results) experience 

in conducting and completing similar 

activities. 

(b) Organizational Capacity (up to 3 

Points). Applicants will be evaluated 

based on whether they or their partners 

have sufficient qualified personnel to 

deliver the proposed activities in a 

timely and effective fashion. In order to 

enhance or supplement capacity, 

applicants should provide evidence of 

partnerships with nonprofit 

organizations or other organizations that 

have experience providing supportive 

services to typically underserved 

populations. Provide resumes and 

position descriptions (where staff is not 

yet hired) for all key personnel. (NOTE: 

Resumes/position descriptions and 

other HUD forms do not count toward 

the page limit.) 

An applicant will receive up to 3 

points if the applicant shows its ability 

(in-house or with partners) to 

implement the proposed program and 

attaches resumes and position 

descriptions (where staff is not yet 

hired) for all key personnel. Reviewers 

may also consult HUD–52756. 

(2) Past Performance of Applicant/ 

Contract Administrator (up to 8 Points). 

(a) Applicants’ past experience may 

include, but is not limited to, running 

and managing programs aimed at 

improving living conditions for the 

targeted elderly/persons with 

disabilities population. 

(b) Applications must indicate past 

grants they received and managed, the 

grant amounts, and grant terms (years) 

of the grants, which they are counting 

toward past experience. 

(c) Applicants’ narrative must 

describe how they (or their Contract 

Administrator) successfully 

implemented past grant programs 

designed to assist elderly/persons with 

disabilities meet their daily living needs 

and enhance their access to needed 

services so they can continue to reside 

comfortably and productively in their 

current living environment. 

(d) Applicants will be evaluated 

according to the following criteria: 

(i) Achievement of specific 

measurable outcomes and objectives in 

terms of benefits gained by participating 

residents. Applicants should describe 

results their programs have obtained, 

such as impact on emergency care, 

improved living or health conditions of 

assisted population, and access to 

greater number of social services. 

Improved living conditions may mean, 

but is not limited to, aging-in-place or 

assistance to live independently. 

(ii) Description of success in attracting 

and keeping residents involved in past 

grant-funded training programs. HUD 

wants to see that applicants’ grantfunded programs benefited significant 

numbers of residents; 

(iii) Description of timely expenditure 

of program funding throughout the term 

of past grants. Timely means 

drawdowns made commensurate with 

the level of activities completed and per 

the approved application. Timely 

expenditure also refers to fully 

expending all grant funds by the end of 

the grant term; 

(iv) Description of Past Leveraging. 

Applicants must describe how they 

have created leveraging partnerships for 

funding or in-kind services for previous 

projects, the extent of the leveraging 

partnerships, and how the leveraging 

and partnerships benefited participants. 

The applicant will receive up to 8 

points if the following is shown: 

• Achievement of specific measurable 

outcomes and objectives; 

• A description of success in 

attracting and keeping residents 

involved in past grant-funded training 

programs and documentation that 

shows that the grant activities benefited 

a significant number of residents; 

• A description of timely expenditure 

of program funding throughout the term 

of past grants. Timely means regular 

draw-downs throughout the life of the 

grant, i.e., quarterly draw-downs, with 

all funds expended by the end of the 

grant term; 

• A description of how the applicant 

has leveraged funding or in-kind 

services beyond amounts that were 

originally proposed for past projects. 

An applicant will receive up to 6 

points if the applicant fully addressed at 

least 3 of the 4 items of review criteria 

listed above. An applicant will receive 

up to 4 points if the applicant fully 

addressed at least 2 of the 4 items of 

review criteria listed above. An 

applicant will receive 2 points if the 

applicant fully addressed 1 of the 4 

items above. An applicant will receive 

0 points if the applicant failed to 

address all of items 1 through 4. 

(3) Program Administration and 

Fiscal Management (up to 10 Points). 

Applicants should describe how they 

will manage the program; how HUD can 

be sure that there is program 

accountability; and provide a 

description of proposed staff’s roles and 

responsibilities. Applicants should also 

describe how grant staff and partners 

will report to the Project Coordinator 

and other senior staff. Applicants 

should also include: 

(a) A complete description of an 

applicant’s fiscal management structure, 

including fiscal controls currently in 

place, including those of a contract 

administrator for applicants required to 

have a contract administrator (i.e., 

PHAS troubled PHAs, resident 

associations, and nonprofit applicants); 

and 

(b) any of an applicant’s audit 

findings or material weaknesses in the 

past five years (HUD Inspector General, 

management review, fiscal, etc.), and 

what has been done to address them. 

An applicant will receive up to 10 

points if the applicant provides a 

comprehensive narrative description of 

(i) the project management structure and 

program accountability, including the 

use of a contract administrator, if 

applicable; the narrative (ii) describes 

staff’s roles and responsibilities, and 

(iii) details how staff and partners will 

report to the project coordinator and 

other senior staff, as well as (iv) the 

lines of accountability among all 

components of the proposed program, 

and (v) if applicable, a list of any audit 

findings in the past 5 years (HUD IG, 

management review, fiscal, etc.), 


rwilkins on PROD1PC63 with NOTICES_2
11620 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

material weaknesses and what the 

applicant has done to address them. 

An applicant will receive up to 8 

points if the applicant has fully 

addressed three of (i)–(iv). An applicant 

will receive up to 6 points the applicant 

has fully addressed two of (i)–(iv). An 

applicant will receive up to 4 points if 

the applicant has adequately fully 

addressed one of (i)–(iv). If an applicant 

provides audit findings or material 

weaknesses but does not provide what 

the applicant has done to address them, 

the applicant will lose two points. An 

applicant will receive 0 points if all of 

(i)–(v) are missing or inadequate. 

b. Rating Factor 2: Need/Extent of the 

Problem (up to 20 Points). 

This factor addresses the extent to 

which there is a need for funding the 

proposed program. In responding to this 

factor, applicants will be evaluated on 

the extent to which they describe and 

document the level of need for their 

proposed activities and the urgency for 

meeting the need. 

(1) Socioeconomic Profile (up to 5 

points). A thorough socioeconomic 

profile of the eligible residents to be 

served by the program, including 

education levels, income levels, health 

statistics, economic statistics for the 

local area, etc. Applicants may either 

provide data for the local area and show 

that the residents reflect the local area 

or may provide resident-specific data. 

An applicant will receive up to 5 

points if the applicant provided a 

thorough socioeconomic profile of the 

eligible residents to be served by the 

program, including education levels, 

income levels, health statistics and 

economic statistics that show a need for 

services. An applicant will receive up to 

3 points if the applicant provided a 

basic socioeconomic profile of the area, 

but did not show that the residents to 

be served reflect that profile. An 

applicant will receive 0 Points if the 

applicant failed to provide the 

socioeconomic data on the community 

and/or profiles of the eligible residents. 

(2) Demonstrated Link Between 

Proposed Activities and Local Need (up 

to 15 points). Applicant’s narratives 

must demonstrate a clear relationship 

between proposed activities, community 

needs and the purpose of the program 

funding in order for points to be 

awarded for this factor. The applicant 

must, in the narrative for this rating 

factor, describe the service needs of the 

targeted residents, show which service 

needs are already being met by local 

resources and which service needs the 

applicant is unable to meet using 

existing resources, and demonstrate that 

these services are of a high-priority for 

the targeted elderly/disabled residents. 

The applicant may also indicate a need 

for a Project Coordinator, which it may 

pay up to the $68,000 maximum per 

year from grant funds for salary and 

fringe benefits in accordance with local 

wage standards (see Funding 

Restrictions). 

An applicant will receive up to 15 

points if the applicant narrative 

demonstrates a direct, clear relationship 

between the proposed activities, 

community needs and the purpose of 

the program funding. The applicant has 

described the service needs of the 

targeted residents, shown which service 

needs are already being met by local 

resources and which service needs the 

applicant is unable to meet using 

existing resources, and demonstrated 

that these services are of a high priority 

for the targeted elderly/disabled. An 

applicant will receive up to 10 points if 

the applicant’s narrative demonstrates a 

strong relationship between the 

proposed activities, community needs 

and the purpose of funding, but does 

not show which services are already 

being met by existing local resources. 

An applicant will receive up to 5 points 

if the applicant’s narrative shows a 

tenuous relationship between the need 

and proposed activities and does not 

show existing local resources or lack 

thereof. An applicant will receive 0 

Points if the applicant failed to 

demonstrate a clear relationship among 

the proposed activities, community 

needs and the purpose of the program 

funding. 

c. Rating Factor 3: Soundness of 

Approach (up to 30 points) 

This subfactor addresses both the 

quality and cost-effectiveness of an 

applicant’s proposed program and/or 

work plan. The narrative and work plan 

must indicate a clear relationship 

between proposed activities, the 

targeted population’s needs, and the 

purpose of the program funding. 

Applicant’s proposed program must 

address HUD’s policy priorities outlined 

in this Rating Factor. 

In rating this factor HUD will 

consider: 

(1) Quality of the Work Plan (up to 20 

points). This factor evaluates both the 

applicant’s proposed program and/or 

work plan and budget which will be 

evaluated based on the following 

criteria: 

(a) Specific Services and/or Activities 

(up to 10 points). Applicants’ narrative 

must describe the proposed program 

(i.e., specific services, course 

curriculum, and activities) they plan to 

offer and who will be responsible for 

each. In addition to the narrative, 

applicants may also provide a work 

plan, which should list the specific 

services, activities, and outcomes they 

expect. The proposed program narrative 

and work plan must show a logical 

order of activities and must tie to the 

outcomes and outputs applicants 

identify in the Logic Model (see Rating 

Factor 5). Applicants’ narrative must 

explain how their proposed activities 

will: 

(i) Involve community partners in the 

delivery of services (up to 5 points). 

An applicant will receive up to 5 

points if the applicant’s narrative 

describes the involvement of partner 

organizations to deliver or support its 

proposed programs. An applicant will 

receive up to 3 points if the applicant 

narrative describes the existence of 

other community-based organizations in 

the area, but does not describe firm 

connections between program activities 

and the delivery or support of the 

proposed program. An applicant will 

receive 0 points if the applicant does 

not intend to involve any community 

partners in the delivery or support of its 

proposed program. 

(ii) Offer comprehensive services 

(versus a small range of services) geared 

toward achieving the enhancement of 

the residents’ quality of life. If the 

proposed program activities are part of 

a more comprehensive plan funded 

through other resources, please provide 

a description of the comprehensive 

program clearly delineating those 

proposed activities to be funded by the 

ROSS-Elderly/Persons with Disabilities 

grant category. (up to 5 points). 

An applicant will receive up to 5 

points if the applicant narrative 

describes the specific services and 

activities they plan to offer through their 

whole program (HUD-funded and not) 

and who will be responsible for each 

and the narrative shows how the 

applicant will provide a range of 

services and activities that are intended 

to enhance the residents’ quality of life. 

An applicant will receive 3 points if the 

applicant fully describes the proposed 

program, but the program does not 

address a spectrum of activities that will 

be provided by the applicant. An 

applicant will receive 0 points if the 

applicant failed to provide sufficient 

information to determine if the 

proposed program will contain a range 

of services and no outcomes are 

identified. 

(b) Feasibility and Demonstrable 

Benefits (up to 5 points). This subfactor 

examines whether an applicant’s work 

plan is logical, feasible, and likely to 

achieve its stated purpose during the 

term of the grant. HUD seeks to fund 

applications that will quickly produce 

demonstrable results and advance the 

purposes of the ROSS program. The 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11621 

applicant’s work plan should 

demonstrate that their project is ready to 

be implemented shortly after the grant 

award, but not to exceed three months 

following the execution of the grant 

agreement. The work plan must indicate 

time frames and deadlines for 

accomplishing major activities and 

show the ability to complete all 

activities within the period of 

performance for the proposed budget. 

An applicant will receive up to 5 

points if the work plan and supporting 

narrative are logical and feasible, and 

demonstrates that the proposed project 

is ready for implementation within 

three months of execution of the grant 

agreement. The work plan also indicates 

timeframes and deadlines for 

accomplishing major activities within 

the period of performance and how well 

the proposed activities address the 

needs described in Rating Factor 2. The 

applicant will receive up to 3 points if 

the work plan and supporting narrative 

are logical and feasible, but do not 

demonstrate that the project is ready for 

implementation within 3 months of 

grant agreement execution and can be 

completed within the period of 

performance. An applicant will receive 

0 points if the applicant failed to 

provide sufficient information to 

determine that the project is logical and 

feasible or whether the project would be 

ready for implementation within three 

months of execution of the grant 

agreement, or can be completed within 

the period of performance. 

(c) Budget Appropriateness/Efficient 

Use of Grant (up to 5 Points). The score 

in this sub-factor will be based on the 

following: 

(i) Justification of expenses. 

Applicants will be evaluated on 

whether their expenses are reasonable 

and thoroughly explained and support 

the objectives of their proposal. 

(ii) Budget Efficiency. Applicants will 

be evaluated based on whether their 

application requests funds 

commensurate with the level of effort 

necessary to accomplish their goals and 

anticipated results. 

(iii) Please note that the budget form 

HUD–424CBW requires that a separate 

424–CBW form be submitted for each 

sub-contract of 10 percent or more of the 

requested grant amount. If an 

application proposes to sub-contract 10 

percent or more of the requested grant 

amount and does not include a separate 

424–CBW for each 10 percent or more 

sub-contract, all points for Budget 

Appropriateness/Efficient Use of Grant 

will be lost (5 points). If 424–CBWs for 

sub-contracts for 50 percent or more of 

the requested grant amount are not 

included, the application will lose 10 

points. 

An applicant will receive up to 5 

points if expenses are reasonable, 

thoroughly explained, support the 

objectives of the proposal and are 

commensurate with the level of effort 

necessary to accomplish the goal. An 

applicant will receive up to 3 points if 

the expenses somewhat support the 

objectives of the proposal or are only 

somewhat commensurate with the level 

of effort necessary to accomplish the 

goals. An applicant will receive 0 points 

if expenses are not reasonable and/or 

the requested funds are not 

commensurate with the goals and 

anticipated results of the proposed 

program. 

(d) Ineligible Activities. Two points 

will be deducted for each ineligible 

activity proposed in the application, as 

identified in Section IV.E. For example, 

you will lose 2 points if you propose 

costs that exceed the limits identified in 

the NOFA for a Project Coordinator. 

(2) Addressing HUD’s Policy Priorities 

(up to 8 points). HUD wants to improve 

the quality of life for those living in 

distressed communities. HUD’s grant 

programs are a vehicle through which 

long-term, positive change can be 

achieved at the community level. 

Applicants’ narrative and work plan 

will be evaluated based on how well 

they meet HUD’s policy priorities listed 

below. 

(a) Improving the Quality of Life in 

Our Nation’s Communities (2 points). 

The applicant’s narrative and work plan 

must indicate the types of activities, 

service, and programs applicants will 

offer which can help residents to 

continue to live independently. 

An applicant will receive up to 2 

points if the work plan and supporting 

narrative indicate the types of activities, 

services and programs that will be 

offered to help residents successfully 

continue to live independently. An 

applicant will receive 0 points if the 

application did not provide sufficient 

information to determine whether the 

types of activities, services and training 

programs that will be offered will help 

residents continue to live 

independently. 

(b) Providing Full and Equal Access to 

Grassroots Faith-Based and Other 

Community-Based Organizations in 

HUD Program Implementation (up to 4 

points). HUD encourages applicants to 

partner with grassroots organizations, 

e.g., civic organizations, grassroots faithbased and other community-based 

organizations that are not usually 

effectively utilized. These grassroots 

organizations have a strong history of 

providing vital community services and 

other supportive services. In order to 

receive points under this subfactor, 

applicants’ narrative and work plan 

must describe how applicants will work 

with these organizations and what types 

of services they will provide. An 

applicant will receive up to 4 points if 

the applicant’s narrative and work plan 

clearly name the grassroots 

organizations with whom they will be 

working, describes what types of 

services will be provided by those 

organizations, and describes how these 

partnerships will contribute to the 

achievement of the goals and proposed 

outcomes for the program. An applicant 

will receive up to 2 points if the 

applicant indicates that it will work 

with grassroots organizations, but does 

not indicate the types of services that 

will be provided by these organizations. 

An applicant will receive 0 points if 

neither the work plan or narrative 

provide a description of how the 

applicant will work with grassroots 

organizations (civic organizations, faithbased and/or other community-based 

organizations) and the types of services 

that will be provided. 

(c) Policy Priority for Increasing the 

Supply of Affordable Housing Through 

the Removal of Regulatory Barriers to 

Affordable Housing (up to 2 points). 

Under this policy priority, higher 

rating points are available to: (1) 

Governmental applicants that are able to 

demonstrate successful efforts in 

removing regulatory barriers to 

affordable housing, and (2) 

nongovernmental applicants that are 

associated with jurisdictions that have 

undertaken successful efforts in 

removing barriers. For applicants to 

obtain the policy priority points for 

efforts to successfully remove regulatory 

barriers, applicants must complete form 

HUD–27300 (‘‘Questionnaire for HUD’s 

Initiative on Removal of Regulatory 

Barriers’’). A copy of HUD’s Notice 

titled ‘‘America’s Affordable 

Communities Initiative, HUD’s Initiative 

on Removal of Regulatory Barriers: 

Announcement of Incentive Criteria on 

Barrier Removal in HUD’s 2004 

Competitive Funding Allocations’’ can 

be found on HUD’s Web site at http:// 

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

frregbarrier.pdf. The information and 

requirements contained in HUD’s 

regulatory barriers policy priority apply 

to this FY 2007 NOFA. A description of 

the policy priority and a copy of form 

HUD–27300 can be found in the 

application package posted on http:// 

www.Grants.gov/applicants/ 

apply_for_grants.jsp. Applicants are 

encouraged to read the Notice as well as 

the General Section to obtain an 

understanding of this policy priority 


rwilkins on PROD1PC63 with NOTICES_2
11622 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

and how it can impact their score. A 

limited number of questions expressly 

request the applicant to provide brief 

documentation with their response. 

Other questions require that for each 

affirmative statement made, the 

applicant must supply a reference, Web 

site address, or a brief statement 

indicating where the back-up 

information may be found, and a point 

of contact, including a telephone 

number and/or email address. 

Applicants can attach the required 

documentation, URL references, and 

contact information using the 

attachment capability at the bottom of 

the electronic form. Reference material/ 

documentation can be scanned and 

attached to the form HUD–27300 and 

submitted with the application or faxed 

to HUD following the facsimile 

submission instructions. When 

providing documents in support of your 

responses to the questions on the form, 

please provide the applicant name and 

project name and whether you were 

responding under column A or B, then 

identify the number of the question and 

the URL or document name and attach 

using the attachment function at the end 

of the electronic form. 

(3) Economic Opportunities for Lowand Very Low-Income Persons (Section 

3) (2 Points). 

You will receive 2 points if your 

application demonstrates that you will 

implement Section 3 of the Housing and 

Urban Development Act of 1968 (12 

U.S.C. 1701u) (Economic Opportunities 

for Low- and Very Low-Income Persons 

in Connection with Assisted Projects) 

and its implementing regulations at 24 

CFR part 135 in connection with this 

grant, if awarded. Information about 

Section 3 can be found at HUD’s Section 

3 Web site at http://www.hud.gov/ 

offices/fheo/section3/ 

section3brochure.cfm. Your application 

must describe how you will implement 

Section 3 through the proposed grant 

activities. You must state that you will, 

to the greatest extent feasible, direct 

training, employment, and other 

economic opportunities to: 

(a) Low- and very low-income 

persons, particularly those who are 

recipients of government assistance for 

housing, and 

(b) Business concerns which provide 

economic opportunities to low- and 

very low-income persons. 

An applicant will receive 2 points if 

the applicant describes how it will 

implement Section 3 through the 

proposed grant activities and states that 

it will, to the greatest extent feasible, 

direct training, employment, and other 

economic opportunities to Section 3 

interests (low- and very low-income 

persons, particularly those who are 

recipients of government assistance for 

housing and business concerns which 

provide economic opportunities to lowand very low-income persons). An 

applicant will receive 0 points if the 

applicant does not describe 

implementing Section 3 through 

proposed grant activities and does not 

state that it will direct training, 

employment and other economic 

opportunities to Section 3 interests. 

d. Rating Factor 4: Leveraging 

Resources (up to 10 Points). 

This factor addresses the applicant’s 

ability to secure community resources 

that can be combined with HUD’s grant 

resources to achieve program purposes. 

Applicants are required to create 

partnerships with organizations that can 

help achieve their program’s goals. 

PHAs are required by section 12(d)(7) of 

the U.S. Housing Act of 1937 (entitled 

‘‘Cooperation Agreements for Economic 

Self-Sufficiency Activities’’) to make 

best efforts to enter into such 

agreements with relevant state or local 

agencies. Additionally, applicants must 

have at least a 25 percent cash or inkind match. The match is a threshold 

requirement. Joint applicants must 

together have at least a 25 percent 

match. Leveraging in excess of 25 

percent of the grant amount will receive 

a higher point value. In evaluating this 

factor, HUD will consider the extent to 

which applicants have partnered with 

other entities to secure additional 

resources, which will increase the 

effectiveness of the proposed program 

activities. The additional resources and 

services must be firmly committed, 

must support the proposed grant 

activities and must, in combined 

amount (including in-kind contributions 

of personnel, space and/or equipment, 

and monetary contributions) equal at 

least 25 percent of the grant amount 

requested in this application. A match 

will not be accepted if it is proposed to 

be used for ineligible activities. Please 

see the section on Threshold 

Requirements in this NOFA for more 

information. 

Points for this factor will be awarded 

based on the documented evidence of 

partnerships and firm commitments and 

the ratio of requested ROSS funds to the 

total proposed grant budget. 

Points will be assigned based on the 

following scale: 

Percentage of Match Points Awarded 

25—4 points (with partnerships) 2 

points (without partnerships); 

26–50—6 points (with partnerships) 4 

points (without partnerships); 

51–75—8 points (with partnerships) 6 

points (without partnerships); 

76 or above—10 points (with 

partnerships) 8 points (without 

partnerships). 

e. Rating Factor 5: Achieving Results 

and Program Evaluation (up to 15 

Points) 

(1) An important element in this 

year’s NOFA is the development and 

reporting of performance measures and 

outcomes. This factor emphasizes 

HUD’s determination to ensure that 

applicants meet commitments made in 

their applications and grant agreements 

and that they assess their performance 

so that they realize performance goals. 

Applicants must demonstrate how they 

propose to measure their success and 

outcomes as they relate to the 

Department’s Strategic Plan. 

(2) HUD requires ROSS applicants to 

develop an effective, quantifiable, 

outcome-oriented plan for measuring 

performance and determining that goals 

have been met. Applicants must use the 

Logic Model (form HUD–96010) for this 

purpose. 

(3) Applicants must establish interim 

benchmarks, or outputs, for their 

proposed program that lead to the 

ultimate achievement of outcomes. 

‘‘Outputs’’ are the direct products of a 

program’s activities. Outputs should 

produce outcomes for your program. 

Examples of outputs are the number of 

elderly persons referred to for social or 

health care services, the number of 

persons equipped with emergency 

response resources, etc. ‘‘Outcomes’’ are 

benefits accruing to the residents, 

families, and/or communities during or 

after their participation in the ROSS 

program. Applicants must clearly 

identify the outcomes to be achieved 

and measured. Outcomes are not the 

development or delivery of services or 

program activities but the results of the 

services delivered or program 

activities—the ultimate results of the 

program. Examples of outcomes are: the 

number of persons able to live 

independently and have avoided longterm care placement, the number of 

persons that have had improved living 

conditions or quality of life as a result 

of receiving increased social services, 

etc. 

(4) This rating factor requires that 

applicants identify program outputs, 

outcomes, and performance indicators 

that will allow applicants to measure 

their performance. Performance 

indicators should be objectively 

quantifiable and measure actual 

achievements against anticipated 

achievements. Applicants’ narrative, 

work plan, and Logic Model should 

identify what applicants are going to 

measure, how they are going to measure 

it, and the steps they have in place to 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11623 

make adjustments to their work plan 

and management practices if 

performance targets begin to fall short of 

established benchmarks and time 

frames. Applicants’ proposal must also 

show how they will measure the 

performance of partners and affiliates. 

Applicants must include the standards, 

data sources, and measurement methods 

they will use to measure performance. 

Applicants will be evaluated based on 

how comprehensively they propose to 

measure their program’s outcomes. The 

applicant will receive up to 15 points if 

the applicant provided a work plan, 

narrative and Logic Model that (a) 

describes the goals, objectives, 

outcomes, and performance 

measurements to be achieved over the 

term of the program; (b) includes short, 

intermediate and long term goals; (c) 

indicates what will be measured and (d) 

how it will be measured and (e) shows 

steps to be taken if performance targets 

are not met within the established 

timeframes. An applicant will receive 

up to 12 points if the applicant has fully 

addressed at least 4 of the 5 items of 

review criteria (a–e). The applicant will 

receive up to 9 points if the applicant 

has fully addressed at least 3 of the 5 

items of review criteria (a–e). The 

applicant will receive up to 6 points if 

the applicant has fully addressed at 

least 2 of the 5 items of review criteria 

(a–e). The applicant will receive up to 

3 points if the applicant has fully 

addressed at least 1 of the 5 items of 

review criteria (a–e). An applicant will 

receive 0 points if the applicant did not 

provide the Logic Model or enough 

information to determine the program 

goals, outcomes and/or performance 

measurements. 

B. Review and Selection Process 

1. Review Process. Four types of 

reviews will be conducted: a screening 

to determine if you are eligible to apply 

for funding under the ROSS-Elderly/ 

Persons with Disabilities grant; a review 

of whether your application submission 

is complete, on time, and meets 

threshold; a review by the field office 

(or area ONAP office) to evaluate past 

performance; and a technical review to 

rate your application based on the five 

rating factors provided in this NOFA. 

2. Selection Process for All Grant 

Categories and All Applicants. Twentyfive percent (25%) of funds will be set 

aside for Resident Associations and all 

qualifying Resident Association 

applications will be funded first, up to 

25 percent of the funding amount. The 

selection process is designed to achieve 

geographic diversity of grant awards 

throughout the country. For each grant 

category, HUD will first select the 

highest-ranked application from each of 

the ten federal regions and ONAP for 

funding. After this ‘‘round,’’ HUD will 

select the second-highest-ranked 

application in each of the ten federal 

regions and ONAP for funding (the 

second round). HUD will continue this 

process with the third, fourth, and so 

on, highest-ranked applications in each 

federal region and ONAP until the last 

complete round is selected for funding. 

If available funds exist to fund some but 

not all eligible applications in the next 

round, HUD will make awards to those 

remaining applications in ranked order 

(by score), regardless of region and 

ONAP and will fully fund as many as 

possible with remaining funds. If 

remaining funds in one program are too 

small to make an award, they may be 

transferred to another ROSS program. 

3. Tie Scores. In the event of a tie 

score between two applications in the 

ROSS-Elderly/Persons with Disabilities 

funding category that target the same 

developments, HUD will select the 

application that was received first. 

4. Deficiency Period. Applicants will 

have 14 calendar days in which to 

provide missing information requested 

from HUD. For other information on 

correcting deficient applications, please 

see the General Section. 

VI. Award Administration Information 

A. Award Notices. 

1. HUD will make announcements of 

grant awards after the rating and ranking 

process is completed. Grantees will be 

notified by letter and will receive 

instructions on what steps they must 

take in order to access funding and 

begin implementing grant activities. 

Applicants who are not funded will also 

receive letters via U.S. postal mail. 

2. Debriefings. All applicants may 

request a debriefing. Applicants 

requesting to be debriefed must send a 

written request to: Iredia Hutchinson, 

Director, Grants Management Center, 

501 School Street, SW., Suite 800, 

Washington, DC 20024. See the General 

Section for more information on 

debriefings. 

B. Administrative and National Policy 

Requirements 

1. Environmental Impact. In 

accordance with 24 CFR 58.34(a)(3) or 

(a)(9), 58.35(b)(2), (b)(4) or (b)(5), 

50.19(b)(3), (b)(9), (b)(12), (b)(14), or 

(b)(15), activities under this ROSS 

program are categorically excluded from 

the requirements of the National 

Environmental Policy Act of 1969 and 

are not subject to environmental review 

under related laws and authorities. 

2. Applicable Requirements. Unless 

specifically enumerated in this NOFA, 

all lead and non-lead applicants are 

subject to the requirements specified in 

Section III.C. of the General Section. 

Grantees are subject to regulations and 

other requirements found in: 

a. 24 CFR Part 84 (‘‘Uniform 

Administrative Requirements for Grants 

and Agreements with Institutions of 

Higher Education, Hospitals, and Other 

Nonprofit Organizations’’); 

b. 24 CFR Part 85 (‘‘Administrative 

Requirements for Grants and 

Cooperative Agreements to State, Local, 

and Federally Recognized Indian Tribal 

Governments’’); 

c. 24 CFR Part 964 (‘‘Tenant 

Participation and Tenant Opportunities 

in Public Housing’’); 

d. OMB Circular A–87 (‘‘Cost 

Principles for State, Local, and Indian 

Tribal Governments’’); 

e. OMB Circular A–110, (‘‘Uniform 

Administrative Requirements for Grants 

and Other Agreements with Institutions 

of Higher Education, Hospitals and 

Other Non-Profit Organizations’’); 

f. OMB Circular A–122, (‘‘Cost 

Principles for Non-Profit 

Organizations’’); and 

g. OMB Circular A–133, (‘‘Audits of 

States, Local Governments, and NonProfit Organizations’’). 

3. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). Applicants and grantees must also 

comply with Section 3 of the Housing 

and Urban Development Act of 1968 (12 

U.S.C. 1701u), and ensure that training, 

employment, and other economic 

opportunities shall, to the greatest 

extent feasible, be directed toward lowand very low-income persons, 

particularly those who are recipients of 

government assistance for housing, and 

to business concerns that provide 

economic opportunities to low- and 

very low-income persons. 

4. Fair Housing and Civil Rights Laws. 

Applicants and their subrecipients must 

comply with all fair housing and civil 

rights laws, statutes, regulations, and 

Executive Orders as enumerated in 24 

CFR 5.105(a), as applicable. Please see 

the General Section for more 

information. 

C. Reporting 

1. Semi-Annual Performance Reports. 

Grantees must submit semi-annual 

performance reports to the field office or 

area ONAP. These progress reports must 

include financial reports (SF–269A) and 

a Logic Model (HUD–96010) showing 

achievements to date against outputs 

and outcomes proposed in the 

application and approved by HUD. Each 

quarterly report must identify any 

deviations (positive or negative) from 

outputs and outcomes proposed and 


rwilkins on PROD1PC63 with NOTICES_2
11624 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

approved by HUD, by providing the 

information in the reporting TAB of the 

approved Logic Model. Grantees must 

use quantifiable data to measure 

performance against goals and 

objectives outlined in their program 

and/or work plan. Performance reports 

are due to the field office or Area ONAP 

on July 30 and January 31 of each year. 

If reports are not received by the due 

date, grant funds will be suspended 

until reports are received. For FY 2007, 

HUD is considering a new concept for 

the Logic Model. The new concept is a 

Return on Investment (ROI) statement. 

HUD will be publishing a separate 

notice on the ROI concept. 

2. Final Report. All grantees must 

submit a final report to their local field 

office or area ONAP that will include a 

financial report (SF–269A), a final Logic 

Model, and a narrative evaluating 

overall results achieved against their 

program and/or work plan. Grantees 

must use quantifiable data to measure 

performance against goals and 

objectives outlined in their program 

and/or work plan. The final report must 

also include responses to the 

management questions found in the 

Logic Model and approved for your 

program. The financial report must 

contain a summary of all expenditures 

made from the beginning of the grant 

agreement to the end of the grant 

agreement and must include any 

unexpended balances. The final 

narrative, Logic Model, and financial 

report are due to the field office 90 days 

after the termination of the grant 

agreement. 

3. Final Audit. Grantees that expend 

$500,000 in federal funds in a given 

program or fiscal year are required to 

obtain a complete final close-out audit 

of the grant’s financial statements by a 

Certified Public Accountant (CPA), in 

accordance with generally accepted 

government audit standards. A written 

report of the audit must be forwarded to 

HUD within 60 days of issuance. 

4. Racial and Ethnic Data. HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. HUD 

has adopted the Office of Management 

and Budget’s Standards for the 

Collection of Racial and Ethnic Data. In 

view of these requirements, funded 

recipients should use form HUD–27061 

(Racial and Ethnic Data Reporting 

Form). 

VII. Agency Contact(s) 

For questions and technical 

assistance, you may call the Public and 

Indian Housing Information and 

Resource Center at 800–955–2232. For 

persons with hearing or speech 

impairments, please call the toll-free 

Federal Information Relay Service at 

800–877–8339. 

VIII. Other Information 

A. Code of Conduct. Please see the 

General Section for more information. 

B. Transfer of Funds. If transfer of 

funds from any of the ROSS programs 

does become necessary, HUD will 

consider the amount of unfunded 

qualified applications in deciding to 

which program it will transfer the extra 

funds. 

C. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2577–0229. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 49.5 hours per respondent for 

the application. This includes the time 

for collecting, reviewing, and reporting 

the data for the application. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11625 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.019</GPH>
11626 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Resident Opportunity and SelfSufficiency (ROSS) Family and 

Homeownership Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Public and Indian Housing. 

B. Funding Opportunity Title: ROSS 

Family and Homeownership, under the 

Resident Opportunity and SelfSufficiency (ROSS) program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: 

5100–N–18; OMB Approval Number 

2577–0229. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): Resident 

Opportunity and Self Sufficiency, 

14.870. 

F. Dates: The application deadline 

date is June 27, 2007. Applications 

submitted through http:// 

www.grants.gov must be received and 

validated by grants.gov no later than 

11:59:59 Eastern time on the application 

deadline date. The validation process 

may take up to 72 hours. 

G. Additional Overview Content 

Information: 

1. Purpose of Program. The purpose of 

the Public and Indian Housing Resident 

Opportunity and Self Sufficiency 

(ROSS) program is to provide grants to 

public housing agencies (PHAs), tribes/ 

tribally designated housing entities 

(TDHEs), Resident Associations (RAs), 

and nonprofit organizations (including 

grassroots, faith-based and other 

community-based organizations) for the 

delivery and coordination of supportive 

services and other activities designed to 

help public and Indian housing 

residents attain economic and housing 

self-sufficiency. 

2. Funding Available. HUD expects to 

award a total of approximately 

$30,000,000 in ROSS—Family and 

Homeownership grants in FY 2007. This 

amount includes $18,000,000 

appropriated in FY 2007 and 

$12,000,000 in rollover funds. 

3. Award Amounts. Awards, 

depending on the unit count and type 

of grantee, will range from $125,000 to 

$1,000,000. Please see the program 

description for more specific 

information about funding amounts. 

4. Eligible Applicants. Eligible 

applicants are PHAs; tribes/TDHEs; 

nonprofit organizations including 

grassroots faith-based and other 

community-based organizations that 

have resident support or the support of 

tribes; RAs; resident councils (RCs); 

resident organizations (ROs); City-Wide 

Resident Organizations (CWROs); 

Intermediary Resident Organizations 

(IROs); Jurisdiction-Wide Resident 

Organizations; Regional Resident 

Organizations; Resident Management 

Corporations (RMCs); Site-Based 

Resident Organizations; Statewide 

Resident Organizations (SROs); and 

Tribal/TDHE resident groups. The term 

‘‘resident association’’ or ‘‘RA’’ will be 

used to refer to all types of eligible 

resident organizations. Please see the 

section on ‘‘Definition of Terms’’ for a 

complete definition of each type of 

eligible resident organization. 

5. Cost Sharing/Match Requirement. 

At least 25 percent of the requested 

grant amount is required as a match. 

The match may be in cash and/or inkind donations. The match is a 

threshold requirement. 

6. Grant term. The grant term for each 

funding category is 3 years from the 

execution date of the grant agreement. 

Grant program Total funding Eligible applicants 

Maximum grant amount (units refers to the number of 

family-occupied units as indicated on ROSS Fact 

Sheet (HUD–52751) 

ROSS—Family and Homeownership.$30 million ......................... PHAs/Tribes/TDHEs .......... $250,000 for 1–780 units. 

$350,000 for 781–2,500 units. 

$500,000 for 2,501–7,300 units. 

$1,000,000 for 7,301 or more units. 

Resident Associations ....... $125,000. 

Nonprofit entities ............... $125,000 per RA; Maximum award is $375,000. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. ROSS Family and Homeownership. 

The purpose is to provide funding to 

assist PHAs, tribes/TDHEs, RAs, 

nonprofit organizations (including 

grassroots community based 

organizations such as faith-based 

organizations), to create programs that 

will help residents achieve economic 

self-sufficiency. Applicants must submit 

proposals that will link residents with 

services such as job training and 

educational opportunities that facilitate 

economic and housing self-sufficiency. 

The Homeownership component 

provides funds to recipients to deliver 

homeownership training, counseling, 

and supportive services for residents of 

public and Indian housing who are 

participating or have participated in 

self-sufficiency programs such as ROSS; 

Public Housing Family Self-Sufficiency 

(FSS); or other federal, state, or local 

self-sufficiency programs. ROSSElderly/Persons with Disabilities 

funding is being offered under a 

separate notice in the 2007 SuperNOFA. 

B. Definition of Terms 

1. City-Wide Resident Organization 

consists of members of Resident 

Councils, Resident Management 

Corporations, and Resident 

Organizations who reside in public 

housing developments that are owned 

and operated by the same PHA within 

a city. 

2. Community Facility means a nondwelling structure that provides space 

for multiple supportive services for the 

benefit of public or Indian housing 

residents and others eligible for the 

services provided. Supportive services 

may include but are not limited to: 

a. Job-training; 

b. After-school activities for youth; 

c. Neighborhood Networks (formerly 

Twenty Education Communities (TECs), 

Campus of Learners activities); 

d. English as a Second Language (ESL) 

classes; and 

e. Child care. 

3. Contract Administrator means an 

overall grant administrator or a financial 

management agent (or both) that 

oversees the implementation of the 

grant and/or the financial aspects of the 

grant. 

4. Elderly person means a person who 

is at least 62 years of age. 

5. Jurisdiction-Wide Resident 

Organization means an incorporated 

nonprofit organization or association 

that meets the following requirements: 

a. Most of its activities are conducted 

within the jurisdiction of a single 

housing authority; 

b. There are no incorporated resident 

councils or resident management 

corporations within the jurisdiction of 

the single housing authority; 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11627 

c. It has experience in providing startup and capacity-building training to 

residents and resident organizations; 

and 

d. Public housing residents 

representing unincorporated resident 

councils within the jurisdiction of the 

single housing authority must comprise 

a majority of the board of directors. 

6. Tribally Designated Housing Entity 

(TDHE) is an entity authorized or 

established by one or more Indian tribes 

to act on behalf of each such tribe 

authorizing or establishing the housing 

entity as defined by Section 4(21) of 

NAHASDA. 

7. Indian Tribe means any tribe, band, 

nation, or other organized group of a 

community of Indians, including any 

Alaska Native village, regional, or 

village corporation as defined in or 

established pursuant to the Alaska 

Native Claims Settlement Act, and that 

is recognized as eligible for the special 

programs and services provided by the 

United States to Indians because of their 

status as Indians pursuant to the Indian 

Self Determination and Education Act of 

1975 or any state-recognized tribe 

eligible for assistance under section 

4(12)(C) of the Native American 

Housing Assistance and SelfDetermination Act of 1996 (NAHASDA). 

8. Intermediary Resident 

Organizations means jurisdiction-wide 

resident organizations, citywide 

resident organizations, statewide 

resident organizations, regional resident 

organizations, and national resident 

organizations. 

9. NAHASDA-assisted resident means 

a member of a tribe (as defined above) 

who has been assisted by NAHASDA. 

10. National Resident Organization 

(NRO) is an incorporated nonprofit 

organization or association for public 

housing that meets each of the following 

requirements: 

a. It is national (i.e., conducts 

activities or provides services in at least 

two HUD areas or two states); 

b. It has the capacity to provide startup and capacity-building training to 

residents and resident organizations; 

and 

c. Public housing residents 

representing different geographical 

locations in the country are members of 

the board of directors. 

11. Nonprofit organization is an 

organization that is exempt from federal 

taxation. A nonprofit organization can 

be organized for the following purposes: 

charitable, religious, educational, 

scientific, or other similar purposes in 

the public interest. In order to qualify, 

an organization must be a corporation, 

community chest, fund, or foundation. 

An individual or partnership cannot 

qualify. To obtain nonprofit status, 

qualified organizations must file an 

application with the Internal Revenue 

Service (IRS) and receive designation as 

such by the IRS. For more information, 

go to www.irs.gov. Applicants who are 

in the process of applying for nonprofit 

status, but have not yet received 

nonprofit designation from the IRS, will 

not be considered nonprofit 

organizations. All nonprofit applicants 

must submit their IRS determination 

letter to prove their nonprofit (e.g. 

501(c)(3)) status with their funding 

application. Please see the section on 

Threshold Requirements for more 

information. Nonprofit applicants must 

also provide letters of support as 

described in the Threshold 

Requirements section. 

12. National nonprofit organizations 

work on a national basis and have the 

capacity to mobilize resources on both 

a national and local level. All nonprofit 

applicants must submit their IRS 

determination letter to prove their 

nonprofit (e.g. 501(c)(3)) status. National 

nonprofit applicants must also provide 

letters of support as outlined in the 

‘‘Threshold Requirements’’ section. 

13. Past Performance is a threshold 

requirement. Using Rating Factor 1 

(described in the Application Review 

Information section of this NOFA), 

HUD’s field offices will evaluate 

applicants for past performance to 

determine whether an applicant has the 

capacity to manage the grant for which 

it is applying. The area Office of Native 

American Programs (ONAP) will review 

past performance for tribal/TDHE 

submissions. Field offices will also 

evaluate the past performance of 

contract administrators for applicants 

required to have a contract 

administrator. 

14. Person with disabilities means a 

person who: 

a. Has a condition defined as a 

disability in section 223 of the Social 

Security Act; or 

b. Has a developmental disability as 

defined in section 102 of the 

Developmental Disabilities Assistance 

Bill of Rights Act. 

The term ‘‘person with disabilities’’

does not exclude persons who have 

acquired immunodeficiency syndrome 

(HIV/AIDS) or any conditions arising 

from the etiologic agent for AIDS. In 

addition, no individual shall be 

considered a person with disabilities, 

for purposes of eligibility for lowincome housing, solely on the basis of 

any drug or alcohol dependence. 

The definition of a person with 

disabilities contained in section 504 of 

the Rehabilitation Act of 1973 and its 

implementing regulations must be used 

for purposes of reasonable 

accommodations and program 

accessibility. Please see 24 CFR 5.403. 

15. Project Coordinator is responsible 

for coordinating the grantee’s approved 

activities to ensure that grant goals and 

objectives are met. A qualified project 

coordinator is someone with experience 

managing projects and preferably has 

experience working with supportive 

services. The project coordinator and 

grantees are responsible for ensuring 

that all federal requirements are 

followed. 

16. Resident Association (RA) means 

any or all of the forms of resident 

organizations as they are defined 

elsewhere in this Definitions section 

and includes Resident Councils (RC), 

Resident Management Corporations 

(RMC), Regional Resident Organizations 

(RRO), Statewide Resident 

Organizations (SRO), Jurisdiction-Wide 

Resident Organizations, and National 

Resident Organizations (NRO). The 

NOFA will use ‘‘Resident Association’’

or ‘‘RA’’ to refer to all eligible types of 

resident organizations. See 24 CFR 

964.115 for more information. 

17. Regional Resident Organization 

(RRO) means an incorporated nonprofit 

organization or association for public 

housing that meets each of the following 

requirements: 

a. The RRO is regional (i.e., not 

limited by HUD Areas); 

b. The RRO has experience in 

providing start-up and capacity-building 

training to residents and resident 

organizations; and 

c. Public housing residents 

representing different geographical 

locations in the region must comprise 

the majority of the Board of Directors. 

18. Resident Management 

Corporation (RMC) means an entity that 

proposes to enter into, or enters into a 

contract to conduct one or more 

management activities of a PHA and 

meets the requirements of 24 CFR 

964.120. 

19. Resident Organization (RO) for 

tribal entities means an incorporated or 

unincorporated nonprofit tribal 

organization or association that meets 

each of the following criteria: 

a. It shall consist of residents only, 

and only residents may vote; 

b. If it represents residents in more 

than one development or in all of the 

developments of the tribal/TDHE 

community, it shall fairly represent 

residents from each development that it 

represents; 

c. It shall adopt written procedures 

providing for the election of specific 

officers on a regular basis; and 

d. It shall have an elected governing 

board. 


rwilkins on PROD1PC63 with NOTICES_2
11628 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

20. Secretary means the Secretary of 

the Department of Housing and Urban 

Development. 

21. Site-Based Resident Associations 

means resident councils or resident 

management corporations representing a 

specific public housing development. 

22. Statewide Resident Organization 

(SRO) is an incorporated nonprofit 

organization or association for public 

housing that meets the following 

requirements: 

a. The SRO has statewide jurisdiction; 

b. The SRO has experience in 

providing start-up and capacity-building 

training to residents and resident 

organizations; and 

c. Public housing residents 

representing different geographical 

locations in the state must comprise the 

majority of the Board of Directors. 

23. Tribal/TDHE Resident Group 

means tribal/TDHE resident groups that 

are democratically elected groups such 

as IHA-wide resident groups, area-wide 

resident groups, single development 

groups, or resident management 

corporations (RMCs). 

C. Regulations Governing the ROSS 

Program 

ROSS Family and Homeownership is 

governed by 24 CFR Part 964. 

II. Award Information 

A. Performance Period and Award Type 

1. Grant Period. Three years. The 

grant period shall begin the day the 

grant agreement and the form HUD–

1044 (Assistance Award/Amendment) 

are signed by both the grantee and HUD. 

2. Grant Extensions. Requests to 

extend the grant term beyond the grant 

term must be submitted in writing to the 

local HUD field office or area ONAP at 

least 90 days prior to the expiration of 

the grant term. Requests must explain 

why the extension is necessary, what 

work remains to be completed, and 

what work and progress was 

accomplished to date. Extensions may 

be granted only once by the field office 

or area ONAP for a period not to exceed 

6 months and may be granted for a 

further 6 months by the HUD 

Headquarters program office at the 

request of the Field Office or area 

ONAP. 

3. Type of Award. Grant agreement. 

4. Subcontracting. Subcontracting is 

permitted. Grantees must follow federal 

procurement regulations found in HUD 

regulations at 24 CFR 84.40–84.48 and 

24 CFR 85.36. 

5. Total Funding. HUD expects to 

award a total of approximately 

$30,000,000 in ROSS—Elderly/Persons 

with Disabilities grants in FY 2007. This 

amount includes $18,000,000 

appropriated in FY 2007 and 

$12,000,000 in rollover funds. Awards 

will be made as follows: 

a. PHAs must use the number of 

occupied conventional family public 

housing units as of September 30, 2006, 

per their budget to determine the 

maximum grant amount they are eligible 

for in accordance with the chart above. 

(Use form HUD–51751, ROSS Fact 

Sheet). Applicants should clearly 

indicate on the fact sheet the number of 

eligible units under their Annual 

Contributions Contract. 

b. The maximum grant award is 

$125,000 for each RA. 

c. Nonprofits are eligible applicants if 

they are representing or acting at the 

behest of an RA. Accordingly, nonprofit 

applicants must show support from that 

RA. Nonprofit organizations that have 

support from an RA are limited to 

$125,000 for each RA. A nonprofit 

organization may not receive more than 

$375,000 in FY 2007 ROSS-Family & 

Homeownership grant funding, but may 

propose to serve more than 3 RAs. In 

cases where nonprofit applicants are not 

able to obtain support from RAs, they 

must obtain letters of support from 

PHAs and/or tribes/TDHEs. 

Note: All nonprofit applicants that do not 

include a letter of support from an RA must 

include a letter of support from a PHA or 

tribe/TDHE. Please see Threshold 

Requirements for more information. Support 

letters must indicate the developments to be 

served by the nonprofit organization. 

Funding for nonprofit applicants that do not 

receive letters of support from RAs will be 

determined as follows. Support letters must 

indicate the developments to be served by 

the nonprofit organization as well as the 

number of family occupied conventional 

public housing units in those developments. 

Number of family occupied conventional units Maximum 

funding 

1–780 units ............................... $125,000 

781–2,500 units ........................ 250,000 

2,501 or more units .................. 375,000 

Applicants should see the General 

Section for instructions on submitting 

support letters and other documentation 

with their electronic application. 

d. Tribes/TDHEs should use the 

number of units counted as Formula 

Current Assisted Stock for FY 2006 as 

defined in 24 CFR 1000.316. Tribes that 

have not previously received funds from 

the Department under the U.S. Housing 

Act of 1937 should count housing units 

under management that are owned and 

operated by the Tribe and that are 

identified in their housing inventory as 

of September 30, 2006, for family units. 

Tribes should clearly indicate the 

number of units under management on 

the Fact Sheet. 

III. Eligibility Information 

A. Eligible Applicants. Eligible 

applicants are PHAs, tribes/TDHEs, 

RAs, and nonprofit organizations 

(including those nonprofit organizations 

supported by resident organizations, 

PHAs, or tribes/TDHEs). 

B. Cost Sharing or Matching. The 

required match is 25 percent of 

requested funds and the match is a 

threshold requirement. Therefore, 

applicants who do not demonstrate the 

minimum 25 percent match will fail the 

threshold requirement and will not 

receive further consideration for 

funding. Please see the section below on 

threshold requirements for more 

information on what is required for the 

match. 

C. Other 

1. Eligible Activities. 

a. Eligible Program Activities 

Applicants should propose 

implementing comprehensive programs 

within the 3-year grant term which will 

result in improved housing and 

economic self-sufficiency for Public and 

Indian Housing residents. Proposals 

should involve partnerships with 

organizations that will enhance 

grantees’ ability to provide educational 

programs, housing counseling, fair 

housing counseling, job training and 

other supportive services for residents. 

All applicants must complete a work 

plan covering the 3-year grant term. 

The eligible activities are listed in the 

following five categories, from basic to 

advanced: (1) Life-Skills Training; (2) 

Job Training, Job Search, and Placement 

Assistance; (3) Post-Employment 

Follow-up; (4) Activities to Support 

Career Advancement and Long-Term 

Economic Self-Sufficiency; and (5) 

Homeownership. Applicants are not 

limited to choosing one category of 

activity, but rather should design their 

programs to address the specific needs 

of the population they are targeting. 

Only applicants proposing activities in 

Category 5 (Homeownership), and able 

to show existing linkages to an existing 

homeownership program such as, for 

PHAs, Housing Choice VoucherHomeownership, Section 32, or 

homeownership programs and resources 

offered by other organizations or state or 

local homeownership programs and for 

Tribes/TDHEs, programs such as the 

Mutual Help Homeownership 

Opportunity Program, the Section 184 

Program, and homeownership programs 

developed under the Indian Housing 

Block Grant Program such as mortgage 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11629 

assistance, will be eligible for 2 points 

in Rating Factor 3, Soundness of 

Approach, under ‘‘Addressing HUD’s 

Policy Priorities—Providing Increased 

Homeownership and Rental 

Opportunities for Low- and ModerateIncome Persons * * *’’ Funds may be 

used for, but are not limited to, the 

activities described below. 

(Category 1) Life-Skills Training (for 

Youth and Adults). An applicant’s 

proposals can cover, but are not limited 

to, the following types of activities: 

(a) Credit. The importance of having 

good credit and how to maintain good 

credit. 

(b) Banking and Money Management. 

How to open a bank account, balance a 

checkbook, create a weekly spending 

budget, and establish contingency plans 

for child care and transportation, etc. 

(c) Real Life Issues. Information on tax 

forms, voter registration, leases, car 

insurance, health insurance, long-term 

care insurance, etc. 

(d) Literacy training and GED 

preparation. 

(e) College preparatory courses and 

information. 

(f) Goal setting. 

(g) Mentoring. 

(h) Hiring residents to help with the 

implementation of this program. 

Note: Stipends and salaries serve different 

purposes. Resident salaries can only be used 

to hire residents to help program staff with 

the implementation of grant activities. 

(Category 2) Job Training, Job Search, 

and Placement Assistance. Eligible 

activities include but are not limited to: 

(a) Skills assessment of participating 

residents. 

(b) Applying for a job. How to 

complete employment forms; 

highlighting skills employers are 

looking for, researching job 

opportunities in the area, and 

calculating net wages. 

(c) Soft skills training including 

problem-solving and other cognitive 

skills, oral and written communication 

skills, workplace norms (appropriate 

dress, punctuality, respectful 

communication, etc.), work ethic, and 

interpersonal and teamwork skills. 

(d) Creating job training and 

placement programs. 

(e) Resume writing. 

(f) Interviewing techniques. 

(g) Employer linkage and job 

placement. Working with local 

employers and job placement providers 

to design and offer training that 

addresses local employers’ needs, and to 

create a job placement program that 

refers trained residents to participating 

employers and other local area 

employers. 

(h) Professional clothing or uniforms 

related to new employment. 

(i) Career advancement and planning 

programs. Such programs should be 

designed to: 

(i) Set career goals; 

(ii) Provide strategies such as finding 

a strong professional mentor within an 

organization for which residents may be 

working, and focusing on the 

organization’s priorities. 

(iii) Reinforce welfare-to-work 

programs and focus efforts on increasing 

residents’ earning capacity. Activities 

can include job counseling, helping 

residents secure better paying jobs or 

jobs in better work environments, 

preparing for work in a new job 

category, obtaining additional job skills, 

and other job-related or educational 

training. 

(iv) Working with local employers to 

create opportunities that combine 

education and skills training with jobs. 

Strategies that promote work-based 

learning can offer the most effective 

method for giving new workers the tools 

they need to move onto a career ladder 

and achieve upward mobility. 

(Category 3) Post-employment followup. After placing residents in jobs, 

providing follow-up and ongoing 

support to newly hired residents can 

have a significant positive impact on 

long-term job retention. 

(Category 4) Activities to Support 

Career Advancement and Long-Term 

Economic Self-Sufficiency. 

(a) Individual Savings Accounts 

(ISAs). Applicants may create programs 

that encourage residents to save and 

contribute to match savings accounts 

such as Individual Development 

Accounts (IDAs). The programs should 

include financial counseling and 

education activities. ISAs may only be 

used for three purposes: (1) To purchase 

a first home that is existing or under 

construction when the purchase 

contract is signed; (2) to receive 

postsecondary education or training; or 

(3) to start a local business (other than 

acquiring, leasing, constructing, or 

rehabilitating real property in 

connection with the business). 

Applicants are encouraged to leverage 

funds by working with local financial 

organizations, which can also contribute 

to residents’ ISAs. FSS escrow accounts 

may not be used as a match for ROSS 

FamilyHomeownership-funded ISAs. 

Grantees shall consult the Internal 

Revenue Service regarding possible tax 

consequences of the ISAs on 

participating residents. 

(b) Housing Counseling to increase 

homeownership opportunities. This can 

include information to help residents 

move to market-rate rental housing and/ 

or ‘‘pre-purchase’’ homeownership 

counseling and training. This may 

include training on such subjects as 

credit and financial management, credit 

repair, housing search, how to finance 

the purchase of a home, fair housing, 

Individual Savings Accounts, the Real 

Estate Settlement Procedures Act 

(RESPA), and home maintenance. 

(Category 5) Homeownership. 

Applicants should be able to show 

existing linkages with HUD 

homeownership programs such as the 

Housing Choice Voucher 

Homeownership Program, the PHA 

Homeownership Program also known as 

Section 32 (formerly the Section 5(h) 

Homeownership Program), or 

homeownership programs and resources 

offered by other organizations or state or 

local homeownership programs. 

Tribes/TDHEs should be able to show 

existing linkages with programs such as 

the Mutual Help Homeownership 

Opportunity Program, the Section 184 

Program, and homeownership programs 

developed under the Indian Housing 

Block Grant Program such as mortgage 

assistance. Proposals should involve 

partnerships with organizations that 

will enhance the services grantees will 

offer. Applicants are strongly 

encouraged to partner with HUDapproved housing counseling agencies. 

For a list of HUD-approved housing 

counseling agencies, go to: http:// 

www.hud.gov/offices/hsg/sfh/hcc/ 

hccprof14.cfm. 

Eligible activities include, but are not 

limited to: 

(1) Training to include: 

(a) Asset building; 

(b) Credit counseling and credit 

scoring; 

(c) Financial literacy and 

management; 

(d) Selecting a real estate broker; 

(e) Choosing a lender; 

(f) Appraisals; 

(g) Home inspections; 

(h) Avoiding delinquency and 

predatory lending; 

(i) Foreclosure prevention; 

(j) Home maintenance and financial 

management for first-time homeowners; 

(k) RESPA; and 

(l) Fair Housing Counseling. 

(2) ISAs. You may create programs 

that encourage residents to save and 

contribute to match savings accounts 

such as Individual Development 

Accounts (IDAs). ISAs are to be used 

solely for (a) escrow accounts, (b) down 

payment assistance and (c) closing 

costs, to assist the resident to purchase 

an existing dwelling unit or a dwelling 

unit under construction. 


rwilkins on PROD1PC63 with NOTICES_2
11630 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

b. Eligible Other Activities 

(1) Hiring of a qualified project 

coordinator to run the grant program. A 

qualified project coordinator must have 

at least 2 years of experience in 

managing programs and should have 

experience working on supportive 

services programs. If Category 5 

activities are being proposed, a qualified 

grant coordinator must have experience 

working on homeownership programs 

designed for typically underserved 

populations. The project coordinator 

should be hired for the entire 3-year 

term of the grant. The project 

coordinator is responsible for: 

(a) Marketing the program to 

residents; 

(b) Assessing participating residents’

skills and job readiness; 

(c) Assessing participating residents’

needs for supportive services, e.g., child 

care, transportation costs, etc. 

(d) Assisting a tribe or TDHE to create 

a resident group to promote selfsufficiency efforts in the Indian area; 

(e) Designing, coordinating, and 

providing grant activities based on 

residents’ needs and the local labor 

market; and 

(f) Monitoring the progress of program 

participants and evaluating the overall 

success of the program. A portion of 

grant funds may be reserved to ensure 

that evaluations can be completed for all 

participants who received training 

through this program. This may include 

software for tracking and evaluation to 

meet HUD’s reporting requirements. For 

more information on how to measure 

performance, please see Rating Factor 5 

in the ‘‘Application Review 

Information’’ section of this NOFA. 

(2) Staff training. 

(3) Long distance travel subject to 

funding restrictions. 

(4) Lease or rental of space for 

program activities, but only under the 

following conditions: 

(i) The lease must be for existing 

facilities not requiring rehabilitation or 

construction except for minimal 

alterations to make the facilities 

accessible for a person with disabilities; 

(ii) No repairs or renovations of the 

property may be undertaken with 

federal funds; and 

(iii) Properties in the Coastal Barrier 

Resources System designated under the 

Coastal Barrier Resources Act (16 U.S.C. 

3501) cannot be leased or rented with 

federal funds. 

(5) Stipends. Stipends are an eligible 

use of grant funds, and stipends may be 

used for reasonable out-of-pocket costs. 

Stipends may also be used to reimburse 

such things as local transportation to 

and from job training and job 

interviews, supplemental educational 

materials, and child care expenses. 

Stipends must be tied to residents’

successful performance and regular 

attendance. 

(6) Hiring of Residents. Grant funds 

may also be used to hire a resident(s) as 

program staff. 

(7) Supportive Services. 

(a) After-school programs for schoolage children to include tutoring, 

remedial training, and educational 

programming using computers. 

(b) Provision of information on the 

Earned Income Tax Credit Program, 

Food Stamps, Child Tax Credit Program, 

Medicaid, the State Child Health 

Insurance Program (S–CHIP), Student 

Loan Interest Deduction, tribal welfare 

programs, and other benefit programs 

that can help individuals and families 

make a successful transition from 

welfare to work. 

(c) Transportation costs as necessary 

to enable participating families to 

receive services or commute to training 

or employment including purchase, 

rental, or lease of a vehicle for the 

grantee and limited in use for program 

purposes and fuel for program activities. 

(d) Childcare while residents are 

participating in program-related 

activities. 

(e) Parenting courses. 

(f) Nutrition courses. 

(g) Health care information and 

services including referrals to mental 

health providers and alcohol and other 

drug abuse treatment programs. 

(h) English as a second language (ESL) 

classes. 

(i) Housekeeping courses. 

(j) Creating and maintaining linkages 

to local social service agencies such as 

employment agencies, health 

departments, transportation agencies, 

economic/community development 

agencies, community colleges, 

recreational and cultural services, and 

other community organizations such as 

Boys & Girls Clubs, 4H Clubs, Boy 

Scouts, Girl Scouts, etc. 

(8) Hiring or otherwise retaining other 

staff as necessary for program activities. 

(9) Evaluation. 

(10) Administrative Costs. 

Administrative costs may include, but 

are not limited to, purchase of office 

furniture, or office equipment and 

supplies, program outreach, printing 

and postage, local travel, utilities, 

administrative salaries, and lease or 

rental of space for program activities 

(subject to lease restrictions above). To 

the maximum extent practicable, when 

leasing space or purchasing equipment 

or supplies, business opportunities 

should be provided to businesses under 

Section 3 of the Housing and Urban 

Development Act of 1968. 

Administrative costs, including 

administrative salaries, must not exceed 

10 percent of the total grant amount 

requested from HUD. All administrative 

costs should be delineated and allocated 

as direct costs an indirect cost rate will 

not be accepted; 

2. Threshold Requirements. 

Applicants must respond to each 

threshold requirement clearly and 

thoroughly by following the instructions 

below. If your application fails one 

threshold requirement (regardless of the 

type of threshold) it will be considered 

a failed application and will not receive 

consideration for funding. 

a. Match. All applicants are required 

to have in place a firmly committed 25 

percent match in cash or in-kind 

donations as defined in this NOFA. 

Joint applicants must together have at 

least a 25 percent match. Applicants 

who do not demonstrate the minimum 

25 percent match will fail this threshold 

requirement and will not receive further 

consideration for funding. If you are 

applying for more than one ROSS grant 

(i.e., ROSS-Elderly), you must use 

different sources of match donations for 

each grant application and you must 

indicate which additional ROSS grant(s) 

you are applying for by attaching an 

additional page to your application 

stating the sources and amounts of each 

of your match contributions for this 

application as well as any other HUD 

programs to which you are applying. 

Match to be used for ineligible activities 

will not be accepted. Match donations 

must be firmly committed, which means 

that the amount of match resources and 

their dedication to ROSS-funded 

activities must be explicit, in writing, 

and signed by a person authorized to 

make the commitment. Letters of 

commitment, memoranda of 

understanding (MOU), or tribal 

resolution must be on organization 

letterhead, and signed by a person 

authorized to make the stated 

commitment, whether it be in cash or 

in-kind services. The letters of 

commitment/MOUs/tribal resolutions 

must indicate the total dollar value of 

the commitment and be dated between 

the publication date of this NOFA and 

the application deadline published in 

this NOFA, or amended deadline, and 

indicate how the commitment will 

relate to the proposed program. If the 

commitment is in-kind, the letters 

should explain exactly what services or 

material will be provided. The 

commitment must be available at time 

of award. Applicants proposing to use 

their own, non-ROSS grant funds to 

meet the match requirement, in whole 

or in part, must also include a letter of 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11631 

commitment indicating the type of 

match (cash or in-kind) and how the 

match will be used. Please see the 

General Section for instructions for 

submitting the required letters with 

your electronic application. 

Committed amounts in excess of the 

25 percent of the requested grant 

amount may be considered as leveraged 

funds for higher points under Rating 

Factor 4 (described in the ‘‘Application 

Review Information’’ section of this 

NOFA). 

(1) The value of volunteer time and 

services shall be computed by using the 

normal professional rate for the local 

area or the national minimum wage rate 

of $5.15 per hour (Note: PHA applicants 

may not count their staff time toward 

the match); 

(2) In order for HUD to determine the 

value of any donated material, 

equipment, staff time, building, or lease, 

your application must provide a letter 

from the organization making the 

donation stating the value of the 

contribution. 

(3) Other resources/services that can 

be committed include: in-kind services 

provided to the applicant; funds from 

federal sources (not including ROSS 

funds) as allowed by statute, including, 

for example, Community Development 

Block Grant (CDBG) funds; Indian 

Housing Block Grant (IHBG) funds; 

funds from any state or local 

government sources; and funds from 

private contributions. Applicants may 

also partner with other program funding 

recipients to coordinate the use of 

resources in the target area. 

b. Past Performance. HUD’s field 

offices will evaluate data provided by 

applicants as well as applicants’ past 

performance to determine whether 

applicants have the capacity to manage 

the grant for which they are applying. 

The area ONAP will review past 

performance for tribal and TDHE 

submissions. Field offices will evaluate 

the contract administrators’ past 

performance for applicants required to 

have a contract administrator. In 

evaluating past performance HUD will 

look at the applicant’s record of 

completing grant activities on time, 

within budget, and the results achieved. 

Using Rating Factor 1, the field office/ 

area ONAP will evaluate applicants’

past performance. Applicants should 

carefully review Rating Factor 1 to 

ensure their application addresses each 

of the criteria requested therein. If 

applicants fail to address what is 

requested in Rating Factor 1, their 

application will fail this threshold and 

will not receive further consideration. 

c. Contract Administrator Partnership 

Agreement. All nonprofit applicants, all 

RAs, and PHAS troubled PHAs (as of 

the application publication date) are 

required to submit a signed Contract 

Administrator Partnership Agreement. 

The agreement must be for the entire 

grant term. If an applicant that is 

required to have a Contract 

Administrator Partnership Agreement 

and fails to submit one or it is 

incomplete, incorrect or insufficient, 

this will be treated as a technical 

deficiency. See the General Section for 

more information on Corrections to 

Deficient Applications. Troubled PHAs 

are not eligible to be contract 

administrators. Grant writers who assist 

applicants with preparing their ROSS 

applications are also ineligible to be 

contract administrators. For more 

information on contract administrators, 

see the section ‘‘Program 

Requirements.’’

d. Letters of Support for Nonprofit 

Applicants. 

(1) All nonprofit applicants must 

include one or more letters of support 

from resident associations (RAs). In the 

event that RAs are inactive, nonprofit 

applicants must submit letters from 

PHAs or tribes/TDHEs indicating 

support for their application. All letters 

of support must be signed by an 

authorized representative of the 

supporting organization and be dated 

between the publication date of this 

NOFA and the application deadline 

published in this NOFA, or the 

amended deadline. 

(2) Nonprofit applicants that do 

receive support from resident 

associations must submit form HUD–

52754 (‘‘List of Resident Associations 

Supporting Nonprofit Applicants’’). 

Submitting this form is not applicable 

where RAs are inactive or where 

applicants do not submit letters of 

support from RAs. 

(3) In cases where nonprofit 

organizations are applying to serve 

tribes/TDHEs, nonprofit applicants must 

submit letters of support from tribes/ 

TDHEs. Nonprofit organizations must 

also use form HUD–52754 to list which 

tribes/TDHEs support their application. 

(4) Letters of support must describe to 

what extent they are familiar with the 

nonprofit applicant and indicate their 

support and understanding of the 

nonprofit organization’s application. 

Letters must include contact 

information and the name and title of 

the person authorized to sign for the 

organization and should, whenever 

possible, be on letterhead. If RA 

letterhead is not available, the letter 

may be submitted on PHA letterhead. 

(5) All nonprofit applicants that do 

not provide letters of support from 

resident associations must provide a 

letter(s) of support from PHAs or tribes/ 

TDHEs with jurisdiction over the 

developments the applicant proposes to 

serve. Letters from PHAs or tribes/ 

TDHEs must describe the extent to 

which the nonprofit applicant is 

familiar with the needs of the 

community to be served, which 

programs the nonprofit applicant has 

operated or managed in the community 

that are similar to the applicant’s 

proposal, and whether the nonprofit 

organization has the capacity to 

implement its proposed program. 

Letters from PHAs or tribes/TDHEs must 

also list the names of the developments 

to be served, the number of occupied 

conventional family or elderly/disabled 

public housing units (depending on the 

grant category) in those developments, 

certify that the units are conventional 

public housing, and identify the ROSS 

grant category to which the nonprofit 

organization is applying. PHA or tribe/ 

TDHE letters of support must be signed 

by the Executive Director, tribal leader, 

or authorized designee and must be on 

PHA or tribe/TDHE letterhead. Please 

see the General Section for instructions 

for submitting the required letters with 

your electronic application. 

(6) Applications from nonprofit 

organizations, which do not submit the 

information requested in this section 

will fail this threshold requirement and 

will not be considered for funding. 

e. Nonprofit status. All nonprofit 

applicants must submit their IRS 

determination letter to prove their 

nonprofit (e.g., 501(c)(3)) status. 

Applicants that fail to submit this letter 

will fail this threshold requirement and 

will not be considered for funding. 

Please see the General Section for 

instructions for submitting the required 

documentation with your electronic 

application. 

f. Minimum Score for All Fundable 

Applications. Applications that pass all 

threshold requirements and go through 

the ranking and rating process must 

receive a minimum score of 75 in order 

to be considered for funding. 

g. General Section Thresholds. All 

applicants will be subject to all 

Threshold requirements listed in the 

General Section. 

h. The Dun and Bradstreet Universal 

Numbering System (DUNS) Number 

Requirement. Refer to the General 

Section for information regarding the 

DUNS requirement. You will need to 

obtain a DUNS number to receive an 

award from HUD. 

3. Program Requirements 

a. Contract Administrator. The 

contract administrator must assure that 

the financial management system and 


rwilkins on PROD1PC63 with NOTICES_2
11632 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

procurement procedures that will be in 

place during the grant term will fully 

comply with either 24 CFR part 84 or 

85, as appropriate. Contract 

administrators are expressly forbidden 

from accessing HUD’s Line of Credit 

Control System (LOCCS) and submitting 

vouchers on behalf of grantees. Contract 

administrators must also assist grantees 

to meet HUD’s reporting requirements. 

Contract administrators may be: local 

housing agencies; community-based 

organizations such as community 

development corporations (CDCs), 

churches, temples, synagogues, 

mosques; nonprofit organizations; state/ 

regional associations and organizations. 

Troubled PHAs are not eligible to be 

contract administrators. Grant writers 

who assist applicants prepare their 

applications are also ineligible to be 

contract administrators. Organizations 

that the applicant proposes to use as the 

contract administrator must not violate 

or be in violation of other conflicts of 

interest as defined in 24 CFR part 84 

and 24 CFR part 85. 

b. Requirements Applicable to All 

Applicants. All applicants, lead and 

non-lead, should refer to ‘‘Other 

Requirements and Procedures 

Applicable to All Programs’’ of the 

General Section for requirements 

pertaining specifically to procurement 

of recovered materials and for 

information regarding other 

requirements to which they may be 

subject. 

4. Number of Applications Permitted. 

Applicants may desire to provide a 

broad range of services supported by 

grants from a number of ROSS funding 

categories. Applicants may submit more 

than one application only based on the 

criteria below: 

a. General. Applicants may submit up 

to one application for each ROSS 

funding category (i.e., one application 

for ROSS–Elderly/Persons with 

Disabilities, one application for ROSSFamily-Homeownership, etc.), except in 

the case of nonprofits. Nonprofit 

organizations may submit more than 

one application per ROSS funding 

category provided they will be serving 

residents of distinct PHAs or Tribes/ 

TDHEs. 

b. More than one application per 

development. Only one application per 

funding category will be funded for a 

particular development. For example, if 

multiple applicants apply for ROSSFamily-Homeownership for the same 

development, only the highest scoring 

application will be considered for 

award. If multiple applicants are 

interested in providing services to a 

development and the services are 

funded under the same ROSS funding 

category, the applicants should work 

together to submit one application on 

behalf of the development. 

c. Joint applications. Two or more 

applicants may join together to submit 

a joint application for proposed grant 

activities. However, joint applications 

must designate a lead applicant. In 

addition, the lead applicant must be 

registered with Grants.gov and submit 

the application using the Grants.gov 

portal. Lead applicants are subject to all 

threshold requirements. Non-lead 

applicants are subject to the following 

threshold requirements as applicable: 

(1) Letter(s) of support for nonprofit 

applicants; 

(2) Evidence of nonprofit status as 

outlined under the section covering 

threshold requirements; and 

(3) Threshold requirements outlined 

in Section III.C. of the General Section. 

Joint applications may include PHAs, 

RAs, Tribes/TDHEs, and nonprofit 

organizations on behalf of resident 

organizations. Joint applications 

involving nonprofit organizations must 

also provide evidence of resident 

support or support from local civic 

organizations or from units of local 

government. PHAs, tribes/TDHEs, and 

resident organizations that are part of a 

joint application may not also submit 

separate applications as sole applicants 

under this NOFA. 

Note: Joint applicants may combine their 

eligible units to determine the maximum 

funding amount the applicants are eligible to 

receive. Please enter the total number of 

eligible units on the ROSS fact sheet. 

5. Eligible Participants. All ROSS 

Family and Homeownership program 

participants must be residents of 

conventional public housing or 

NAHASDA-assisted housing. 

Participants in the Public Housing 

Family Self-Sufficiency (FSS) program 

(non-Housing Choice Voucher FSS 

Program) are also eligible to participate 

in activities funded under ROSS. 

6. Eligible Developments. Only 

conventional Public and Indian housing 

developments and NAHASDA-assisted 

developments may be served by ROSS 

grant funds. Other housing/ 

developments, including, but not 

limited to private housing, federally 

insured housing, federally subsidized, 

or assisted (i.e., assisted under Section 

8, Section 202, Section 811, Section 

236), and others are not eligible to 

participate in ROSS. 

7. Energy Star. HUD has adopted a 

wide-ranging energy action plan for 

improving energy efficiency in all 

program areas. As a first step toward 

implementing the energy plan, HUD, the 

Environmental Protection Agency 

(EPA), and the Department of Energy 

(DoE) have signed a joint partnership to 

promote energy efficiency in HUD’s 

affordable housing efforts and programs. 

The purpose of the Energy Star 

partnership is to promote energy 

efficiency of the affordable housing 

stock and to help protect the 

environment. Applicants providing 

housing assistance or counseling 

services are encouraged to promote 

Energy Star materials and practices, as 

well as buildings constructed to Energy 

Star standards, to both homebuyers and 

renters. Program activities can include 

developing Energy Star promotional and 

information materials, outreach to lowand moderate-income renters and 

buyers on the benefits and savings when 

using Energy Star products and 

appliances, and promoting the 

designation of community buildings and 

homes as Energy Star compliant. For 

further information about Energy Star, 

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

888–STAR–YES (888–782–7937) or, for 

the hearing-impaired, 888–588–9920 

(TTY). 

IV. Application and Submission 

Information 

A. Address to Request an Application 

Package. Copies of the published 

NOFAs and application forms for HUD 

programs announced through NOFAs 

may be downloaded from the grants.gov 

Web site at http://www.grants.gov/ 

applicants/apply_for_grants.jsp; if you 

have difficulty accessing the 

information, you may receive customer 

support from Grants.gov by calling its 

Support Desk at (800) 518-GRANTS, or 

by sending an e-mail to 

support@grants.gov. You may request 

general information from the NOFA 

Information Center (800–HUD–8929) 

between the hours of 10 a.m. and 6:30 

p.m. (Eastern Time) Monday through 

Friday, except on federal holidays. 

When requesting information, please 

refer to the name of the program you are 

interested in. The NOFA Information 

Center opens for business 

simultaneously with the publication of 

the SuperNOFA. 

B. Content and Form of Application 

Submission 

1. Application Format Information for 

All Applicants. Applicants should make 

sure to include all requested 

information, according to the 

instructions found in this NOFA and, 

where applicable, in the General 

Section. This will help ensure a fair and 

accurate review of your application. 

2. Content and Format for 

Submission. 

a. Content of Application. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11633 

Applicants must write narrative 

responses to each of the rating factors, 

that appear after this section. Applicants 

will be evaluated on whether their 

responses demonstrate that they have 

the necessary capacity to successfully 

manage the proposed program. 

Applicants should ensure that their 

narratives are written clearly and 

concisely so that HUD reviewers, who 

may not be familiar with the ROSS 

program, may fully understand their 

proposal. 

b. Format of Application 

(1) Applications may not exceed 40 

narrative pages. Narrative pages must be 

typed, double-spaced, numbered, be in 

Times New Roman, 12-point font, and 

have one-inch margins and font size 12. 

Supporting documentation, required 

forms, and certifications will not be 

counted toward the 40 narrative page 

limit. However, applicants should make 

every effort to submit only what is 

necessary in terms of supporting 

documentation. Please see the General 

Section for instructions on how to 

submit supporting documentation with 

your electronic application. 

(2) A checklist is provided here to 

ensure applicants submit all required 

forms and information. (Note: 

Applicants who receive a waiver to 

submit paper applications must submit 

their applications in a three-ring binder, 

with TABS dividing the sections as 

indicated below. When submitting 

electronically, you do not need to 

submit these in TABS. Be sure to name 

each attachment clearly.) Copies of the 

forms may be downloaded with the 

application package and instructions 

from http://www.grants.gov/applicants/ 

apply_for_grants.jsp. You must use the 

forms that are included with the 2007 

application so as to avoid using 

outdated forms that may be on 

HUDCLIPS or found from another 

source. Please include a header in your 

narrative pages and any other additional 

pages that includes the applicant names 

and the requirement being responded to. 

TAB 1: Required Forms From the 

General Section and Other ROSS Forms: 

1. Acknowledgement of Application 

Receipt (HUD–2993), for paper 

application submissions only (you must 

have an approved waiver to submit a 

paper application); 

2. Application for Federal Financial 

Assistance (SF–424); 

3. SF–424 Supplement, ‘‘Survey on 

Ensuring Equal Opportunities for 

Applicants’’ (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

4. Questionnaire for HUD’s Initiative 

on Removal of Regulatory Barriers 

(HUD–27300) (‘‘HUD Communities 

Initiative Form’’ on Grants.gov); 

5. ROSS Fact Sheet (HUD–52751); 

6. HUD–424–CB, ‘‘Grant Application 

Detailed Budget’’ (‘‘HUD Detailed 

Budget Form’’ on Grants.gov); 

7. Grant Application Detailed Budget 

Worksheet (HUD–424–CBW)—please 

remember to include a separate HUD–

424–CBW for any sub-contract of 10% 

or more of federal funds; 

8. HUD–2880, ‘‘Applicant/Recipient 

Disclosure/Update Report’’ (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

9. Certification of Consistency with 

RC/EZ/EC–II Strategic Plan (HUD–2990) 

if applicable; 

10. Certification of Consistency with 

the Consolidated Plan (HUD–2991) (for 

all applicants except for tribes/TDHEs 

and non-profits serving tribes/TDHEs); 

11. Certification of Consistency with 

the Indian Housing Plan (HUD–52752) 

(for tribes/TDHEs and non-profits 

serving tribes/TDHEs); 

12. Certification of Resident Council 

Board of Election (HUD–52753) (for RA 

applicants and non-profit applicants 

being supported by one or more RAs); 

13. Disclosure of Lobbying Activities 

(SF–LLL), if applicable; 

14. Disclosure of Lobbying Activities 

Continuation Sheet (SF–LLL–A), if 

applicable; 

15. You Are Our Client Grant 

Applicant Survey (HUD–2994–A) 

(Optional); 

16. HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) (For use with electronic 

applications as the cover sheet to 

provide third party documentation); 

17. Code of Conduct per General 

Section Instructions; and 

18. Statement on Affirmatively 

Furthering Fair Housing per General 

Section Instructions. 

TAB 2: Threshold Requirements: 

1. Letters from Partners attesting to 

match; 

2. Letter from Applicant’s 

organization attesting to match (if 

applicant is contributing to match); 

3. Letter(s) of Support from Resident 

Associations/PHAs/tribes/TDHEs 

(Threshold requirement for all nonprofit 

applicants); 

4. Chart of Resident Associations 

Participating (required only for 

nonprofit applicants) (HUD–52754); 

5. IRS nonprofit determination letter 

proving 501(c)(3) status (Threshold 

requirement for all nonprofit 

applicants); and 

6. Contract Administrator Partnership 

Agreement (required for all nonprofit 

organizations, resident associations, and 

PHAS-troubled PHAs) (HUD–52755). 

TAB 3: Narrative for Rating Factor 1 and 

ROSS Program Forms 

1. Narrative; 

2. Chart A: Program Staffing (HUD–

52756); 

3. Chart B: Applicant/Administrator 

Track Record (HUD–52757); 

4. Resumes/Position Descriptions; 

5. Statement attesting to Housing 

Choice Voucher Homeownership 

program, Section 32 or other program, if 

proposing activities in Category 5. 

TAB 4: Narrative for Rating Factor 2 

TAB 5: Rating Factor 3 

1. Narrative; 

2. Work plan (see relevant sample 

ROSS work plan HUD 52764). 

TAB 6: Narrative for Rating Factor 4 

TAB 7: Rating Factor 5 

1. Narrative; 

2. Logic Model (HUD–96010). 

C. Submission Dates and Times 

1. Deadline Dates. The application 

must be received and validated by 

Grants.gov no later than 11:59:59 p.m. 

eastern time on the deadline date. 

Please note that the validation process 

may take up to 72 hours. If you submit 

a waiver request and it is approved, the 

notification of approval of the waiver 

request will provide instructions on 

where to submit the paper application. 

See the General Section and Section F. 

below for instructions regarding waivers 

to the electronic application submission 

requirement. If an applicant receives a 

waiver to the electronic application 

submission requirement, the application 

must be received by the application 

deadline date. 

D. Intergovernmental Review: Not 

applicable. 

E. Funding Restrictions 

1. Reimbursement for Grant 

Application Costs. Grantees are 

prohibited from using ROSS grant funds 

to reimburse any costs incurred in 

conjunction with preparation of their 

ROSS application. 

2. Covered Salaries. 

a. Project Coordinator. All applicants 

may propose to hire a qualified project 

coordinator to run the program. The 

ROSS Family and Homeownership 

program will fund up to $68,000 in 

combined annual salary and fringe 

benefits for a full-time project 

coordinator. Applicants may propose a 

part-time coordinator at a lesser salary. 

For audit purposes, applicants must 

have documentation on file 


rwilkins on PROD1PC63 with NOTICES_2
11634 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

demonstrating that the salary and fringe 

benefits of the project coordinator are 

comparable to similar professions in 

their local area. 

b. Resident Salaries. No more than 5 

percent of ROSS Family and 

Homeownership funds may be used to 

pay for resident salaries. This does not 

apply to contracting with residentowned businesses. 

c. Types of Salaries. ROSS Family and 

Homeownership funds may only be 

used for the types of salaries described 

in this section according to the 

restrictions described. Nonadministrative ROSS funds may only be 

used to pay for salaries of staff that 

provide direct services to residents. 

Direct services staff, for purposes of this 

NOFA, are defined as applicant 

personnel or subcontractors who, as 

their primary responsibility, provide 

services directly to residents that 

participate in the activities described in 

this application e.g., housing and credit 

counselors, case managers, job trainers, 

and childcare providers, among other 

positions. Clerical, legal, finance, 

supervisory, executive and all other 

non-direct services staff may be paid for 

activities related to the grant, but subject 

to the 10 percent total administrative 

costs limit. 

3. Administrative Costs. For all 

applicants, administrative costs may 

include, but are not limited to, purchase 

of furniture, office equipment and 

supplies, program outreach, printing 

and postage, local travel, utilities, 

administrative salaries, and lease or 

rental of space for program activities 

(subject to restrictions on leasing; see 

Eligible Activities section of this 

NOFA). Administrative costs, including 

administrative salaries, must not exceed 

10 percent of the total grant amount 

requested from HUD. Administrative 

costs must adhere to OMB Circular A–

87 or A–122, as appropriate. Please use 

HUD–424–CBW to itemize your 

administrative costs. All administrative 

costs should be delineated and allocated 

as direct costs—an indirect cost rate will 

not be accepted; 

4. Individual Savings Accounts 

(ISAs). ROSS Family and 

Homeownership funds can be used as 

matching funds for ISAs, but no more 

than 20 percent of total grant funds may 

be used for this purpose. 

5. Stipends. No more than $200 of the 

grant award may be used per participant 

per month for stipends for active 

trainees and program participants. 

Stipends may only be used to reimburse 

reasonable out-of-pocket expenses 

related to participation in training and 

other program-related activities. 

Receipts for such expenses must be 

provided by the resident in order to 

obtain reimbursement. Stipends are not 

considered an administrative expense 

and therefore are not subject to the 10 

percent limitation on administrative 

costs. 

6. Funding Requests in Excess of 

Maximum Grant Amount. Applicants 

that request funding in excess of the 

maximum grant amount that they are 

eligible to receive will be given 

consideration only for the maximum 

grant for which they are eligible. If a 

grant is awarded, the grantee will work 

with the field office or area ONAP to reapportion the grant funds for eligible 

activities proposed in the original 

application. 

7. Ineligible Activities/Costs. Grant 

funds may not be used for ineligible 

activities. The following are ineligible 

activities/costs: 

a. Payment of wages and/or salaries to 

participants for receiving supportive 

services and/or training programs (this 

does not include stipends); 

b. Purchase, lease, or rental of land; 

c. New construction, costs for 

construction materials; 

d. Rehabilitation or physical 

improvements except for minimal 

alterations to make the facilities 

accessible for a person with disabilities; 

e. Vehicle insurance and/or 

maintenance; 

f. Entertainment costs; 

g. Purchasing food; 

h. Payment of wages and/or salaries to 

doctors, nurses or other staff (including 

health aids or companions) in relation 

to medical services provided to 

residents; 

i. Purchase of non-prescription or 

prescription medications; 

j. Down payment assistance (NOTE: 

Participants may use their ISAs for this 

purpose); 

k. Revolving loan funds; 

l. Costs that exceed limits identified 

in the NOFA, for the following: Project 

Coordinator, resident salaries, ISAs, 

stipends, administrative expenses, and 

long distance travel; 

m. Cost of application preparation; 

n. Scholarships for degree programs; 

o. purchase of space 

8. ROSS funds cannot be used to hire 

or pay for the services of a Contract 

Administrator. 

9. Other Budgetary Restrictions. Some 

long-distance travel may be necessary 

during the term of the grant in order for 

professional grant staff to attend training 

conferences related to program purposes 

or activities. Long distance travel costs 

for grant program staff may not exceed 

$5,000 for the life of the grant and must 

receive prior approval from the grantee’s 

local HUD field office or area ONAP. 

F. Other Submission Requirements 

1. All applicants are required to 

submit their applications electronically 

via Grants.gov unless they request and 

are approved by HUD for a waiver of 

that requirement. Please refer to the 

General Section for information on how 

to submit your application and all 

attachments electronically via 

Grants.gov. 

2. Proof of Timely Submission. Please 

see the General Section for this 

information. Applicants that fail to meet 

the deadline for application receipt will 

not receive funding consideration. 

3. For Waiver Recipients Only. 

Applicants should submit their waiver 

requests in writing using mail. Waiver 

requests must be postmarked no later 

than 15 days prior to the application 

deadline date and should be sent to 

Anice Schervish, 451 Seventh Street, 

SW., Room 3236, Washington, DC 

20410. Applicants who have received 

waivers to submit paper applications 

(see the General Section for more 

information) must submit their 

applications to: HUD Grants 

Management Center, Mail Stop: ROSS 

Family and Homeownership, 501 

School Street, SW., 8th floor, 

Washington DC 20024. 

4. Number of Copies. Only applicants 

receiving a waiver to the electronic 

submission requirement may submit a 

paper copy application. When the 

waiver request is approved, the 

applicant will be provided information 

on how many copies are needed and 

where to submit the copies. All paper 

applications must be received by the 

deadline date. Any paper applications 

submitted without an approved waiver 

will be considered ineligible. 

V. Application Review Information 

A. Criteria 

1. Factors for Award Used to Evaluate 

and Rate Applications to the ROSS 

program. The factors for rating and 

ranking applicants and maximum points 

for each factor are provided below. The 

maximum number of points available 

for this program is 102. This includes 

two RC/EZ/EC–II bonus points. The 

SuperNOFA contains a certification that 

must be completed in order for the 

applicant to be considered for the RC/ 

EZ/EC–II bonus points. A listing of 

federally designated RCs, EZs, and EC–

IIs is available at http://www.hud.gov/ 

offices/adm/grants/fundsavail.cfm. The 

agency certifying to RC/EZ/EC–II status 

must be contained in the listing of RC/ 

EZ/EC–II organizations on HUD’s Web 

site. 

Note: Applicants should carefully review 

each rating factor before writing a response. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11635 

Applicants’ narratives should be as 

descriptive as possible, ensuring that every 

requested item is addressed. Applicants 

should make sure their narratives thoroughly 

address the Rating Factors below. Applicants 

should include all requested information, 

according to the instructions found in this 

NOFA. This will help ensure a fair and 

accurate application review. 

a. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (up to 25 Points). 

This factor addresses whether the 

applicant has the organizational 

capacity and resources necessary to 

successfully implement the proposed 

activities within the grant period. In 

rating this factor, HUD will consider the 

extent to which the proposal 

demonstrates that the applicant will 

have qualified and experienced staff 

dedicated to administering the program. 

(1) Proposed Program Staffing (up to 

7 Points). 

(a) Staff Experience (up to 4 Points). 

The knowledge and experience of the 

proposed project coordinator, staff, and 

partners in planning and managing 

programs for which funding is being 

requested. Experience will be judged in 

terms of recent, relevant, and successful 

experience of proposed staff to 

undertake eligible program activities. In 

rating this factor, HUD will consider 

experience within the last 5 years to be 

recent, experience pertaining to the 

specific activities being proposed to be 

relevant, and experience producing 

specific accomplishments to be 

successful. The more recent the 

experience and the more experience 

proposed staff members who work on 

the project have in successfully 

conducting and completing similar 

activities, the greater the number of 

points applicants will receive for this 

rating factor. The following information 

should be provided in order to provide 

HUD with an understanding of your 

proposed staff’s experience and 

capacity: 

(i) The number of staff years (one staff 

year = 2080 hours) to be allocated to the 

proposed program by each employee or 

expert as well as each of their roles in 

the program; 

(ii) The staff’s relevant educational 

background and/or work experience; 

and 

(iii) Relevant and successful 

experience running programs whose 

activities are similar to the eligible 

program activities described in the grant 

application. 

An applicant will receive up to 4 

points if the applicant provided the 

requested materials in sufficient detail 

to demonstrate an experienced and 

well-coordinated proposed staff. 

Documentation indicates that the 

project coordinator and proposed staff 

have recent (experience within the last 

5 years), relevant (pertaining to the 

specific or similar activities being 

proposed), and successful (experience 

producing specific results) experience 

in conducting and completing similar 

activities. 

(b) Organizational Capacity (up to 3 

Points). Applicants will be evaluated 

based on whether they or their partners 

have sufficient qualified personnel to 

deliver the proposed activities in a 

timely and effective fashion. In order to 

enhance or supplement capacity, 

applicants should provide evidence of 

partnerships with nonprofit 

organizations or other organizations that 

have experience providing supportive 

services to typically underserved 

populations. Provide resumes and 

position descriptions (where staff is not 

yet hired) for all key personnel. 

(Resumes/position descriptions and 

other HUD forms do not count toward 

the page limit.) An applicant will 

receive up to 3 points if the applicant 

provided a description of its ability (inhouse or with partners) to implement 

the proposed program and attached 

resumes and position descriptions 

(where staff is not yet hired) for all key 

personnel. Reviewers may also consult 

HUD–52756. 

(2) Past Performance of Applicant/ 

Contract Administrator (up to 6 Points). 

(a) Applicants’ past experience may 

include, but is not limited to, running 

and managing programs aimed at 

assisting residents of low-income 

housing to achieve housing and 

economic self-sufficiency. 

(b) Applicants must indicate past 

grants they received and managed, the 

grant amounts, and grant terms (years) 

of the grants, which are counted toward 

past experience. 

(c) Applicants’ narratives must 

describe how they (or their Contract 

Administrator) successfully 

implemented past grant programs 

designed to promote resident selfsufficiency, moving from welfare to 

work, and/or helping residents move to 

market-rate rental housing or 

homeownership. 

(d) Applicants will be evaluated 

according to the following criteria: 

(i) Achievement of specific 

measurable outcomes and objectives in 

terms of benefits gained by participating 

residents. Applicants should describe 

results their programs have obtained, 

such as reduced welfare dependency, 

higher incomes, higher rates of 

employment, increased savings, moving 

from subsidized housing to market rate 

rental housing; and for Category 5, the 

number of families in homeownership 

counseling pipeline, and the rates of 

homeownership achieved through 

training programs; 

(ii) Description of success in attracting 

and keeping residents involved in past 

grant-funded training programs. HUD 

wants to see that applicants’ grantfunded programs benefited a significant 

numbers of residents; 

(iii) Description of timely and 

accurate expenditure of program 

funding throughout the term of past 

grants. This means regular (i.e., 

quarterly) and accurate drawdowns 

throughout the life of the grant, with all 

funds expended by the end of the grant 

term; 

(iv) Description of past leveraging. 

Applicants must describe how they 

have created leveraging partnerships for 

funding or in-kind services for previous 

projects, the extent of the leveraging 

partnership, and how leveraging and 

partnerships benefited program 

participants. 

Past experience may include, but is 

not limited to, running and managing 

programs aimed at assisting residents of 

low-income housing to achieve 

economic self-sufficiency. Reviewers 

may consult the narrative and/or the 

HUD–52757. The applicant will receive 

up to 6 points if the following is shown: 

• achievement of specific measurable 

outcomes and objectives in terms of 

benefits gained by participating 

residents; 

• a description of success in 

attracting and keeping residents 

involved in past grant-funded training 

programs, and documentation that 

shows that the grant activities benefited 

a significant number of residents; 

• a description of timely expenditure 

of program funding throughout the term 

of past grants. Timely means regular 

draw-downs throughout the life of the 

grant, i.e., quarterly draw-downs, with 

all funds expended by the end of the 

grant term; 

• a description of how the applicant 

has leveraged funding or in-kind 

services beyond amounts that were 

originally proposed for past projects. In 

addition to addressing items 1–4 above, 

the application must also: indicate past 

grants received, the grant amounts, and 

grant terms (years) of the grants, which 

are being counting toward past 

experience; AND 

• describe how the applicant (or their 

Contract Coordinator Administrator, if 

applicable) successfully implemented 

past grant programs designed to 

promote self-sufficiency, moving from 

welfare to work, and/or helping 

residents move to market rate rental 

housing. 


rwilkins on PROD1PC63 with NOTICES_2
11636 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

An applicant will receive up to 4 

points if the applicant sufficiently 

addressed at least 3 of the 4 items of 

review criteria listed above. An 

applicant will receive up to 2 points if 

the applicant sufficiently addressed at 

least 2 of the 4 items of review criteria 

listed above. An applicant will receive 

0 points if the applicant only addressed 

one or did not address any of items 1 

through 4. 

(3) Program Administration and 

Fiscal Management (up to 12 Points). 

Applicants should describe how they 

will manage the program; how HUD can 

be sure that there is program 

accountability; and provide a 

description of proposed staff’s roles and 

responsibilities. Applicants should also 

describe how grant staff and partners 

will report to the project coordinator 

and other senior staff. Applicants 

should also include the following: 

(a) A complete description of their 

fiscal management structure, including 

fiscal controls currently in place 

including those of a Contract 

Administrator for applicants required to 

have a Contract Administrator (i.e., 

PHAS troubled PHAs, resident 

associations, and nonprofit applicants); 

(b) Applicants must list any audit 

findings or material weaknesses in the 

past five years (HUD Inspector General, 

management review, fiscal, etc.), and 

what has been done to address them; 

An applicant will receive up to 12 

Points if the applicant provided a 

comprehensive narrative description of 

(i) the project management structure and 

program accountability, including the 

use of a contract administrator, if 

applicable; the narrative (ii) describes 

staff’s roles and responsibilities and (iii) 

details how staff and partners will 

report to the project coordinator and 

other senior staff, as well as (iv) the 

lines of accountability among all 

components of the proposed program; 

and (v) if applicable, a list of any audit 

findings in the past 5 years (HUD IG, 

management review, fiscal, etc.), 

material weaknesses and what the 

applicant has done to address them. An 

applicant will receive up to 9 points if 

the applicant has fully addressed three 

of (i) through (iv). An applicant will 

receive up to 6 points if the applicant 

has fully addressed two of (i) through 

(iv). An applicant will receive up to 3 

points if the applicant has fully 

addressed one of (i) through (iv). If an 

applicant provides audit findings or 

material weaknesses but does not 

provide what the applicant has done to 

address them, the applicant will lose 

two points. An applicant will receive 0 

points if all of (i) through (v) are not 

addressed. 

b. Rating Factor 2: Need/Extent of the 

Problem (up to 14 Points). 

This factor addresses the extent to 

which there is a need for funding the 

proposed program. In responding to this 

factor, applicants will be evaluated on 

the extent to which they describe and 

document the level of need for their 

proposed activities and the urgency for 

meeting the need. 

In responding to this factor, 

applicants must include: 

(1) Socioeconomic Profile (up to 6 

points). A thorough socioeconomic 

profile of the eligible residents to be 

served by the program, including 

education levels, income levels, and 

other socio-economic statistics for the 

local area pertinent to the proposed 

program, etc. Applicants may either 

provide data for the local area and show 

that the residents reflect the local area 

or may provide resident-specific data. 

An applicant will receive up to 6 

points if the applicant provided a 

thorough socioeconomic profile of the 

eligible residents to be served by the 

program, including education levels, 

income levels, and other pertinent 

socio-economic data for the local area. 

An applicant will receive up to 3 points 

if the applicant provided a basic 

socioeconomic profile of the area, but 

did not show that the residents to be 

served reflect that profile. An applicant 

will receive 0 Points if the applicant 

failed to provide the socioeconomic data 

on the community and/or profiles of the 

eligible residents. 

(2) Demonstrated Link Between 

Proposed Activities and Local Need (up 

to 8 points). Applicants’ narratives must 

demonstrate a clear relationship 

between proposed activities, community 

needs, and the purpose of the program 

funding in order for points to be 

awarded for this factor. 

An applicant will receive up to 8 

points if the applicant narrative 

demonstrates a strong, clear relationship 

between the proposed activities, 

community needs and the purpose of 

the program funding. An applicant will 

receive up to 4 points if the applicant 

narrative demonstrates a tenuous 

relationship between the proposed 

activities, needs, and the purpose of 

program funding. An applicant will 

receive 0 points if the applicant failed 

to demonstrate a clear relationship 

between the proposed activities, 

community needs and the purpose of 

the program funding. 

c. Rating Factor 3: Soundness of 

Approach (up to 34 Points). 

This factor addresses both the quality 

and cost-effectiveness of applicants’

proposed work plan. The narrative and 

work plan must indicate a clear 

relationship between proposed activities 

and intended outcomes, the targeted 

population’s needs, and the purpose of 

the program funding. Applicants’

proposed activities must address HUD’s 

policy priorities outlined in this Rating 

Factor. 

In rating this factor, HUD will 

consider: 

(1) Quality of the Work Plan (up to 22 

points). This factor evaluates both the 

applicant’s work plan and budget, 

which will be evaluated based on the 

following criteria: 

(a) Specific Services and/or Activities 

(up to 12 points). Applicants’ narratives 

must describe the specific services, 

course curricula, and activities they 

plan to offer and who will be 

responsible for each. In addition to the 

narrative, applicants must also provide 

a work plan, which must list the 

specific services, activities, and 

outcomes they expect. The proposed 

program narrative and work plan must 

show a logical order of activities and 

progress and must tie to the outcomes 

and outputs applicants identify in the 

Logic Model (see Rating Factor 5). 

Please see a sample work plan in the 

Appendix. Applicants’ narratives must 

explain how their proposed activities 

will: 

(i) Involve community partners in the 

delivery of services (4 points); 

An applicant will receive up to 4 

points if the applicant narrative 

describes the involvement of partner 

organizations to deliver or support their 

proposed programs. An applicant will 

receive up to 2 points if the applicant 

narrative describes the existence of 

other community-based organizations in 

the area, but does not describe firm 

connections between program activities 

and the delivery or support of the 

proposed program. An applicant will 

receive 0 points if the applicant does 

not intend to involve any community 

partners in the delivery or support of 

their proposed program. 

(ii) Offer comprehensive services 

(versus a small range of services) geared 

toward achieving the following (6 

points): 

—Enhancing economic opportunities for 

residents leading to economic selfsufficiency and homeownership or 

other housing self-sufficiency; 

An applicant will receive up to 6 

points if the applicant narrative 

describes the specific services, course 

curricula, and activities they plan to 

offer and who will be responsible for 

each; the narrative shows that the 

proposed program involves a 

comprehensive range of services and 

activities that are intended to move 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11637 

participants along a continuum towards 

economic self-sufficiency; and the 

narrative shows a logical order and 

progress and outcomes are identified. 

An applicant will receive up to 3 points 

if the applicant fully describes the 

proposed program, but the program does 

not address a spectrum of activities. An 

applicant will receive 0 points if the 

applicant failed to provide sufficient 

information to determine if the 

proposed program will contain a 

continuum of services, no logical order 

is described and no outcomes are 

identified. 

(b) Feasibility and Demonstrable 

Benefits (up to 5 points). This factor 

examines whether applicants’ work 

plans are logical, feasible and likely to 

achieve its stated purpose during the 

term of the grant. HUD’s intention is to 

fund applications that will quickly 

produce demonstrable results and 

advance the purposes of the ROSS 

program. 

The work plan should demonstrate 

that their projects are ready to be 

implemented shortly after the grant 

award, but not to exceed three months 

following the execution of the grant 

agreement. The work plan must indicate 

time frames and deadlines for 

accomplishing major activities. 

An applicant will receive up to 5 

points if the work plan and supporting 

narrative are logical, feasible, and 

demonstrate that the proposed project is 

ready for implementation within three 

months of execution of the grant 

agreement. The work plan also indicates 

timeframes and deadlines for 

accomplishing major activities and how 

well the proposed activities address the 

needs described in Rating Factor 2. The 

applicant will receive up to 3 points if 

the work plan and supporting narrative 

are logical and feasible, but do not 

demonstrate that the project is ready for 

implementation within 3 months of 

grant agreement execution. An applicant 

will receive 0 points if the applicant 

failed to provide the information to 

determine that the project is logical and 

feasible or whether the project would be 

ready for implementation within three 

months of execution of the grant 

agreement. 

(c) Budget Appropriateness/Efficient 

Use of Grant (up to 5 Points). The score 

in this factor will be based on the 

following: 

(i) Justification of expenses. 

Applicants will be evaluated based on 

whether their expenses are reasonable 

and thoroughly explained, and support 

the objectives of their proposal. 

(ii) Budget Efficiency. Applicants will 

be evaluated based on whether their 

application requests funds 

commensurate with the level of effort 

necessary to accomplish their goals and 

anticipated results. 

(iii) Please note that the budget form 

HUD–424 CBW requires that a separate 

424–CBW form be submitted for each 

sub-contract of 10% or more of the 

requested grant amount. If an 

application proposes to sub-contract 

10% or more of the requested grant 

amount and does not include a separate 

424–CBW for each 10 percent or more 

sub-contract, all points for Budget 

Appropriateness/Efficient Use of Grant 

will be lost (5 points). If 424–CBWs for 

sub-contracts for 50 percent or more of 

the requested grant amount are not 

included, the application will lose 10 

points. 

An applicant will receive up to 5 

Points if expenses are reasonable, 

thoroughly explained, support the 

objectives of the proposal and are 

commensurate with the level of effort 

necessary to accomplish the goal. An 

applicant will receive up to 3 points if 

the expenses somewhat support the 

objectives of the proposal or only 

somewhat commensurate with the level 

of effort necessary to accomplish the 

goals. An applicant will receive 0 points 

if expenses are not reasonable and/or 

the requested funds are not 

commensurate with the goals and 

anticipated results of the proposed 

program. 

(d) Ineligible Activities. Two points 

will be deducted for each type of 

ineligible activity proposed in the 

application, as identified in Section 

IV(E). For example, you will lose 2 

points if you propose costs that exceed 

the limits identified in the NOFA for a 

Project Coordinator. 

(2) Addressing HUD’s Policy Priorities 

(up to 10 points). HUD wants to 

improve the quality of life for those 

living in distressed communities. HUD’s 

grant programs are a vehicle through 

which long-term, positive change can be 

achieved at the community level. 

Applicants’ narratives and work plans 

will be evaluated based on how well 

they meet the following HUD policy 

priorities: 

(i) Improving the Quality of Life in 

Our Nation’s Communities (up to 2 

points). In order to receive points in this 

category, applicants’ narrative and/or 

work plan must indicate the types of 

activities, service, and training programs 

applicants will offer which can help 

residents successfully transition from 

welfare to work and earn higher wages. 

An applicant will receive up to 4 

points if the work plan and supporting 

narrative indicate the types of activities, 

services and training programs that will 

be offered to help residents successfully 

move along the spectrum of selfsufficiency. An applicant will receive 0 

points if the application did not provide 

sufficient information to determine 

whether the types of activities, services 

and training programs that will be 

offered will help residents successfully 

transition from welfare to work and earn 

higher wages. 

(ii) Providing Increased 

Homeownership and Rental 

Opportunities for Low- and ModerateIncome Persons, Persons with 

Disabilities, the Elderly, Minorities, and 

Families with Limited English 

Proficiency (NOTE: Only applicants 

proposing Category 5-Homeownership 

activities are eligible for these points.) 

(up to 2 points). In order to receive 

points in this category, applicants’

narratives and/or work plans must 

indicate the types of activities and 

training programs they will offer which 

can help residents successfully 

transition to homeownership. 

Applicants that indicate that they have 

existing linkages to an existing 

homeownership program (such as, for 

PHAs, Housing Choice VoucherHomeownership, Section 32, or 

homeownership programs and resources 

offered by other organizations or state or 

local homeownership programs or for 

Tribes/TDHEs, programs such as the 

Mutual Help Homeownership 

Opportunity Program, the Section 184 

Program, and homeownership programs 

developed under the Indian Housing 

Block Grant Program such as mortgage 

assistance, must provide a specific 

statement attesting to these linkages and 

indicating the minimum number of 

homeownership opportunities (e.g,. the 

number of HCV-Homeownership 

vouchers or number of homes in the 

Section 32 program that will be 

dedicated to ROSS participants) that 

will be provided annually to residents 

successfully completing the 

requirements of the programs funded by 

this NOFA. 

An applicant will receive 2 points if 

the application indicates the applicant 

has existing linkages to an existing 

homeownership program such as HCVHomeownership, Section 32, Mutual 

Help Homeownership Opportunity 

Program, SHOP, Section 184, IHBG or 

other state or local homeownership (not 

just homeownership training) programs 

AND provides a specific statement 

indicating the minimum number of 

homeownership opportunities that will 

be provided annually. An applicant will 

receive 0 points if the applicant does 

not provide a specific statement 

indicating the minimum number of 

homeownership opportunities that will 

be provided annually OR does not 


rwilkins on PROD1PC63 with NOTICES_2
11638 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

describe its existing linkages to existing 

homeownership programs. 

(iii) Providing Full and Equal Access 

to Grassroots Faith-Based and Other 

Community-Based Organizations in 

HUD Program Implementation (up to 4 

points). HUD encourages applicants to 

partner with grassroots organizations, 

e.g., civic organizations, grassroots faithbased and other community-based 

organizations that are not usually 

effectively utilized. These grassroots 

organizations have a strong history of 

providing vital community services 

such as developing first-time 

homeownership programs, creating 

economic development programs, and 

providing job training and other 

supportive services. In order to receive 

points under this factor, applicants’

narratives and/or work plans must 

describe how applicants will work with 

these organizations and what types of 

services they will provide. 

An applicant will receive up to 4 

points if the applicant’s narrative and 

work plan clearly name the grassroots 

organizations with whom they will be 

working, describe what types of services 

will be provided by those organizations, 

and describe how these partnerships 

will contribute to the achievement of 

the goals and proposed outcomes for the 

program. An applicant will receive up 

to 2 points if the applicant indicates that 

it will work with grassroots 

organizations, but does not indicate the 

types of services that will be provided 

by these organizations. An applicant 

will receive 0 points if neither the work 

plan or narrative provide a description 

of how the applicant will work with 

grassroots organizations (civic 

organizations, faith-based and/or other 

community-based organizations), and 

the types of services that will be 

provided. 

(iv) Policy Priority for Increasing the 

Supply of Affordable Housing Through 

the Removal of Regulatory Barriers to 

Affordable Housing (up to 2 points). 

Under this policy priority, higher 

rating points are available to: (1) 

Governmental applicants that are able to 

demonstrate successful efforts in 

removing regulatory barriers to 

affordable housing, and (2) 

nongovernmental applicants that are 

associated with jurisdictions that have 

undertaken successful efforts in 

removing barriers. For applicants to 

obtain the policy priority points for 

efforts to successfully remove regulatory 

barriers, applicants would have to 

complete form HUD 27300, 

‘‘Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers.’’ A copy 

of HUD’s Notice entitled America’s 

Affordable Communities Initiative, 

HUD’s Initiative on Removal of 

Regulatory Barriers: Announcement of 

Incentive Criteria on Barrier Removal in 

HUD’s 2004 Competitive Funding 

Allocations’’ can be found on HUD’s 

Web site at http://www.hud.gov/offices/ 

adm/grants/frregbarrier.pdf. The 

information and requirements contained 

in HUD’s regulatory barriers policy 

priority apply to this FY2006 NOFA. A 

description of the policy priority and a 

copy of form HUD–27300 can be found 

in the application package posted on 

www.Grants.gov. Applicants are 

encouraged to read the Notice as well as 

the General Section to obtain an 

understanding of this policy priority 

and how it can impact their score. A 

limited number of questions expressly 

request the applicant to provide brief 

documentation with their response. 

Other questions require that for each 

affirmative statement made, the 

applicant must supply a reference, Web 

site link, or a brief statement indicating 

where the back-up information may be 

found, and a point of contact, including 

a telephone number and/or email 

address. The electronic copy of the HUD 

27300 has space to attach required 

documentation or identify a URL or 

reference. Reference material/ 

documentation can be scanned and 

attached to the form HUD–27300 and 

submitted with the application or faxed 

to HUD following the facsimile 

submission instructions. When 

providing documents in support of your 

responses to the questions on the form, 

please provide the applicant name and 

project name and whether you are 

responding under column A or B, then 

identify the number of the question and 

the URL or document name and attach 

using the attachment function at the end 

of the electronic form. 

(3) Economic Opportunities for Lowand Very Low-Income Persons (Section 

3) (up to 2 Points). 

You will receive 2 points if your 

application demonstrates that you will 

implement Section 3 of the Housing and 

Urban Development Act of 1968 (12 

U.S.C. 1701u) (Economic Opportunities 

for Low- and Very Low-Income Persons 

in Connection with Assisted Projects) 

and its implementing regulations at 24 

CFR part 135 in connection with this 

grant, if awarded. Information about 

Section 3 can be found at HUD’s Section 

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

fheo/section3/section3brochure.cfm. 

Your application must describe how 

you will implement Section 3 through 

the proposed grant activities. You must 

state that you will, to the greatest extent 

feasible, direct training, employment, 

and other economic opportunities to: 

(a) Low- and very low-income 

persons, particularly those who are 

recipients of government assistance for 

housing, and 

(b) Business concerns which provide 

economic opportunities to low- and 

very low-income persons. 

An applicant will receive 2 points if 

the applicant describes how it will 

implement Section 3 through the 

proposed grant activities and states it 

they will, to the greatest extent feasible, 

direct training, employment, and other 

economic opportunities to Section 3 

interests (low- and very low-income 

persons, particularly those who are 

recipients of government assistance for 

housing and business concerns which 

provide economic opportunities to lowand very low-income persons.) An 

applicant will receive 0 points if the 

applicant does not describe 

implementing Section 3 through 

proposed grant activities and does not 

state that they will direct training, 

employment and other economic 

opportunities to Section 3 interests. 

d. Rating Factor 4: Leveraging 

Resources (up to 10 Points). 

This factor addresses the applicant’s 

ability to secure community resources 

that can be combined with HUD’s grant 

resources to achieve program purposes. 

Applicants are required to create 

partnerships with organizations that can 

help achieve their program’s goals. 

PHAs are required by section 12(d)(7) of 

the U.S. Housing Act of 1937 entitled 

‘‘Cooperation Agreements for Economic 

Self-Sufficiency Activities’’ to make best 

efforts to enter into such agreements 

with relevant state or local agencies. In 

rating this factor, HUD will look at the 

extent to which applicants partner, 

coordinate, and leverage their services 

with other organizations serving the 

same or similar populations. 

Applicants must have at least a 25 

percent cash or in-kind match. The 

match is a threshold requirement. Joint 

applicants must together have at least a 

25 percent match. Applicants who do 

not demonstrate the minimum 25 

percent match will fail the threshold 

requirement and will not receive further 

consideration for funding. Leveraging in 

excess of the 25 percent of the grant 

amount will receive a higher point 

value. In evaluating this factor, HUD 

will consider the extent to which 

applicants have partnered with other 

entities to secure additional resources, 

which will increase the effectiveness of 

the proposed program activities. Match 

proposed to be used for ineligible 

activities will not be accepted. The 

additional resources and services must 

be firmly committed, must support the 

proposed grant activities and must, in 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11639 

combined amount (including in-kind 

contributions of personnel, space and/or 

equipment, and monetary contributions) 

equal at least 25 percent of the grant 

amount requested in the application. 

‘‘Firmly committed’’ means that the 

amount of resources and their 

dedication to ROSS-funded activities 

must be explicit, in writing and signed 

by a person authorized to make the 

commitment. Please see the section on 

Threshold Requirements for more 

information. 

Points for this factor will be awarded 

based on the documented evidence of 

partnerships and firm commitments and 

the ratio of requested ROSS funds to the 

total proposed grant budget. 

Points will be assigned based on the 

following scale: 

Percentage of Match Points Awarded 

25 4 points (with partnerships), 2 

points (without partnerships); 

26–50 6 points (with partnerships), 

4 points (without partnerships); 

51–75 8 points (with partnerships), 

6 points (without partnerships); 

76 or above 10 points (with 

partnerships), 8 points (without 

partnerships). 

e. Rating Factor 5: Achieving Results 

and Program Evaluation (up to 17 

Points). 

(1) An important element in any 

supportive service program is the 

development and reporting of 

performance measures and outcomes. 

This factor emphasizes HUD’s 

determination to ensure that applicants 

develop performance and outcome 

measures that are focused on residents’

achieving economic and housing selfsufficiency—reducing and eliminating 

dependency on any type of subsidized 

housing or welfare assistance. 

Additionally, achieving outcomes and 

accurate evaluation will assist HUD in 

meeting its commitment to federal 

requirements for accountability. 

Applicants must demonstrate how they 

propose to measure their success and 

outcomes as they relate to the 

Department’s Strategic Plan. 

(2) HUD requires ROSS applicants to 

develop an effective, quantifiable, 

outcome-oriented plan for measuring 

performance and determining that goals 

have been met. Applicants must use the 

Logic Model form HUD–96010 for this 

purpose. The narrative describes how 

the measurement tools are used to 

collect and verify reported data and to 

modify the program if goals are not 

being met. 

(3) Applicants must establish interim 

benchmarks, or outputs, for their 

proposed program that lead to the 

ultimate achievement of outcomes. 

‘‘Outputs’’ are the direct products of a 

program’s activities. Examples of 

outputs are: the number of eligible 

families that participate in supportive 

services, the number of new services 

provided, the number of residents 

receiving counseling, or the number of 

households using a technology center. 

Outputs should produce outcomes for 

your program. ‘‘Outcomes’’ are benefits 

accruing to the residents, families, and/ 

or communities during or after 

participation in the ROSS program. 

Outcomes are not the development or 

delivery of services or program activities 

but the results of the services delivered 

or program activities—the ultimate 

results of the program. Applicants must 

clearly identify the outcomes to be 

achieved and measured. Examples of 

outcomes are: increasing 

homeownership rates, increasing 

residents’ financial stability (e.g., 

increasing assets of a household through 

savings), or increasing employment 

stability (e.g., whether persons assisted 

obtain or retain employment for one or 

two years after job training completion). 

(4) This rating factor requires that 

applicants identify program outputs, 

outcomes, and performance indicators 

that will allow applicants to measure 

their performance. Performance 

indicators should be objectively 

quantifiable and measure actual 

achievements against anticipated 

achievements. Applicants’ narratives, 

work plans, and Logic Models should 

identify what applicants are going to 

measure, how they are going to measure 

it, and the steps they have in place to 

make adjustments to their work plan 

and management practices if 

performance targets begin to fall short of 

established benchmarks and time 

frames. Applicants’ proposals must also 

show how they will measure the 

performance of partners and affiliates. 

Applicants must include the standards, 

data sources, and measurement methods 

they will use to measure performance. 

(Applicants will be evaluated based 

on how comprehensively they propose 

to measure their program’s outcomes.) 

Applicant will receive up to 17 points 

if the applicant provided a work plan, 

narrative and Logic Model that (a) 

describes the goals, objectives, 

outcomes, and performance 

measurements to be achieved over the 

term of the program; (b) includes short, 

intermediate, and long-term goals; (c) 

indicates what will be measured; (d) 

indicates how it will be measured; and 

(e) shows steps to be taken if 

performance targets are not met within 

the established timeframes. An 

applicant will receive up to 14 points if 

the applicant fully addresses four of the 

five items of review criteria. An 

applicant will receive up to 11 points if 

the applicant fully addresses three of 

the five items of review criteria. An 

applicant will receive up to 7 points if 

the applicant fully addresses two of the 

five items of review criteria. An 

applicant will receive up to 4 points if 

the applicant fully addresses one of the 

five items of review criteria. An 

applicant will receive 0 points if the 

applicant did not provide the Logic 

Model or enough information to 

determine the program goals, outcomes 

and/or performance measurements. 

B. Review and Selection Process 

1. Review Process. Four types of 

reviews will be conducted: a screening 

to determine if you are eligible to apply 

for funding under the ROSS Family and 

Homeownership grant program; whether 

your application submission is 

complete, on time and meets the 

threshold; a review by the field office 

(or area ONAP office) to evaluate past 

performance; and a technical review to 

rate your application based on the five 

rating factors provided in this NOFA. 

2. Selection Process for All Grant 

Categories and All Applicants. Twentyfive percent (25%) of funds will be set 

aside for Resident Associations and all 

qualifying Resident Association 

applications will be funded first, up to 

25 percent of the funding amount. 

HUD’s selection process is designed to 

achieve geographic diversity of grant 

awards throughout the country. For 

each grant category, HUD will first 

select the highest ranked application 

from each of the ten federal regions and 

ONAP for funding. After this ‘‘round,’’

HUD will select the second highestranked application in each of the 10 

federal regions and ONAP for funding 

(the second round). HUD will continue 

this process with the third, fourth, and 

so on, highest ranked applications in 

each federal region and ONAP until the 

last complete round is selected for 

funding. If available funds exist to fund 

some but not all eligible applications in 

the next round, HUD will make awards 

to those remaining applications in rank 

order (by score) regardless of region and 

ONAP and will fully fund as many as 

possible with remaining funds. If 

remaining funds in one grant category 

are too small to make an award, they 

may be transferred to another ROSS 

program. If there are remaining funds in 

any ROSS program after all qualifying 

applications have been awarded, those 

funds may be transferred to another 

ROSS program. 

3. Tie Scores. In the event of a tie 

score between two applications that 

target the same developments, HUD will 


rwilkins on PROD1PC63 with NOTICES_2
11640 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

select the application that was received 

first. 

4. Deficiency Period. Applicants will 

have 14 calendar days in which to 

provide missing information requested 

from HUD. For other information on 

correcting deficient applications, please 

see the General Section. 

VI. Award Administration Information 

A. Award Notices 

1. HUD will make announcements of 

grant awards after the rating and ranking 

process is completed. Grantees will be 

notified by letter and will receive 

instructions on what steps they must 

take in order to access funding and 

begin implementing grant activities. 

Applicants who are not funded will also 

receive letters via U.S. postal mail. 

2. Debriefings. All applicants may 

request a debriefing. Applicants 

requesting to be debriefed must send a 

written request to Iredia Hutchinson, 

Director, Grants Management Center, 

501 School Street, SW., Suite 800, 

Washington, DC 20024. 

B. Administrative and National Policy 

Requirements 

1. Environmental Impact. In 

accordance with 24 CFR 58.34(a)(3) or 

(a)(9), 58.35(b)(2), (b)(4) or (b)(5), 

50.19(b)(3), (b)(9), (b)(12), (b)(14), or 

(b)(15), activities under this ROSS 

program are categorically excluded from 

the requirements of the National 

Environmental Policy Act of 1969 and 

are not subject to environmental review 

under related laws and authorities. 

2. Applicable Requirements. Unless 

specifically enumerated in this NOFA, 

all applicants (lead and non-lead) are 

subject to the requirements specified in 

Section III.C. of the General Section. 

Grantees are subject to regulations and 

other requirements found in: 

a. 24 CFR 84 (‘‘Uniform 

Administrative Requirements for Grants 

and Agreements with Institutions of 

Higher Education, Hospitals, and Other 

Nonprofit Organizations’’); 

b. 24 CFR 85 (‘‘Administrative 

Requirements for Grants and 

Cooperative Agreements to State, Local, 

and Federally Recognized Indian Tribal 

Governments’’); 

c. 24 CFR 964 (‘‘Tenant Participation 

and Tenant Opportunities in Public 

Housing’’); 

d. OMB Circular A–87 (‘‘Cost 

Principles for State, Local, and Indian 

Tribal Governments’’); 

e. OMB Circular A–110 (‘‘Uniform 

Administrative Requirements for Grants 

and Other Agreements with Institutions 

of Higher Education, Hospitals and 

Other Non-Profit Organizations’’); 

f. OMB Circular A–122 (‘‘Cost 

Principles for Non-Profit 

Organizations’’); and 

g. OMB Circular A–133 (‘‘Audits of 

States, Local Governments, and NonProfit Organizations’’). 

3. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). Applicants and grantees must also 

comply with Section 3 of the Housing 

and Urban Development Act of 1968, 12 

U.S.C. 1701u and ensure that training, 

employment, and other economic 

opportunities shall, to the greatest 

extent feasible, be directed toward lowand very low-income persons, 

particularly those who are recipients of 

government assistance for housing and 

to business concerns that provide 

economic opportunities to low- and 

very low-income persons. 

4. Fair Housing and Civil Rights Laws. 

Applicants and their sub-recipients 

must comply with all Fair Housing and 

Civil Rights laws, statutes, regulations, 

and Executive Orders as enumerated in 

24 CFR 5.105(a), as applicable. Please 

see the General Section for more 

information. 

C. Reporting 

1. Semi-Annual Performance Reports. 

Grantees must submit semi-annual 

performance reports to the field office or 

area ONAP. These progress reports must 

include financial reports (SF–269A) and 

a Logic Model (HUD–96010) showing 

achievements to date against outputs 

and outcomes proposed in the 

application and approved by HUD. Each 

quarterly report must identify any 

deviations (positive or negative) from 

outputs and outcomes proposed and 

approved by HUD, by providing the 

information in the reporting TAB of the 

approved Logic Model. HUD anticipates 

that some of the reporting of financial 

status and grant performance will be 

through electronic or Internet-based 

submissions. Grantees must use 

quantifiable data to measure 

performance against goals and 

objectives outlined in their work plan. 

Performance reports are due to the field 

office on July 30 and January 31 of each 

year. If reports are not received by the 

due date, grant funds will be suspended 

until reports are received. For FY 2007, 

HUD is considering a new concept for 

the Logic Model. The new concept is a 

Return on Investment (ROI) statement. 

HUD will be publishing a separate 

notice on the ROI concept. 

2. Final Report. All grantees must 

submit a final report to their local field 

office or area ONAP that will include a 

financial report (SF–269A), a final Logic 

Model, and a narrative evaluating 

overall results achieved against their 

work plan. Grantees must use 

quantifiable data to measure 

performance against goals and 

objectives outlined in their work plan. 

The final report must also include 

responses to the management questions 

found in the Logic Model and approved 

for your program. The financial report 

must contain a summary of all 

expenditures made from the beginning 

of the grant agreement to the end of the 

grant agreement and must include any 

unexpended balances. The final Logic 

Model and financial report are due to 

the field office 90 days after the 

termination of the grant agreement. 

3. Final Audit. Grantees that expend 

$500,000 in federal funds in a given 

program or fiscal year are required to 

obtain a complete final close-out audit 

of the grant’s financial statements by a 

Certified Public Accountant (CPA), in 

accordance with generally accepted 

government audit standards. A written 

report of the audit must be forwarded to 

HUD within 60 days of issuance. Grant 

recipients must comply with the 

requirements of 24 CFR 84 or 24 CFR 

85, as stated in OMB Circulars A–87, A–

110, and A–122, as applicable. 

4. Racial and Ethnic Data. HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. HUD 

has adopted the Office of Management 

and Budget’s (OMB) Standards for the 

Collection of Racial and Ethnic Data. In 

view of these requirements, funded 

recipients should use form HUD–27061, 

Racial and Ethnic Data Reporting Form. 

VII. Agency Contact(s) 

For questions and technical 

assistance, you may call the Public and 

Indian Housing Information and 

Resource Center at 800–955–2232. For 

persons with hearing or speech 

impairments, please call the toll-free 

Federal Information Relay Service at 

800–877–8339. 

VIII. Other Information 

A. Code of Conduct. Please see the 

General Section for more information. 

B. Transfer of Funds. If transfer of 

funds from any of the ROSS programs 

does become necessary, HUD will 

consider the amount of unfunded 

qualified applications in deciding to 

which program the extra funds will be 

transferred. 

C. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2577–0229. In accordance with 

the Paperwork Reduction Act, HUD may 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11641 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 49.5 hours per respondent for 

the application. This includes the time 

for collecting, reviewing, and reporting 

the data for the application. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
11642 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.020</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11643 

Public and Indian Housing Family SelfSufficiency Program Coordinators 

Under Resident Opportunities and SelfSufficiency (ROSS) Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Public and Indian Housing, 

Office of Public Housing Investments. 

B. Funding Opportunity Title: Public 

and Indian Housing Family SelfSufficiency (PH FSS) Program 

Coordinators. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR 

5100–N–16; OMB Approval Number is 

2577–0229. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: 14.877. 

F. Application Deadline: The 

application deadline date is June 6, 

2007. Please see the General Section for 

application submission, delivery, and 

timely receipt requirements. 

G. Additional Overview Content 

Information: 

1. Purpose of Program: The purpose of 

the Public Housing FSS (PH FSS) 

program is to promote the development 

of local strategies to coordinate the use 

of assistance under the Public Housing 

program with public and private 

resources, enable participating families 

to increase earned income, reduce or 

eliminate the need for welfare 

assistance, and make progress toward 

achieving economic independence and 

housing self-sufficiency. The FSS 

program and this FSS NOFA support 

the Department’s strategic goals of 

helping HUD-assisted renters make 

progress toward housing selfsufficiency. The FSS program provides 

critical tools that can be used by 

communities to support welfare reform 

and help families develop new skills 

that will lead to economic selfsufficiency. As a result of their 

participation in the FSS program, many 

families have achieved stable, well-paid 

employment, which has made it 

possible for them to become 

homeowners or move to other nonassisted housing. An FSS program 

coordinator assures that program 

participants are linked to the supportive 

services they need to achieve selfsufficiency. 

2. Funding Available: HUD expects to 

award a total of approximately 

$12,000,000 in FY 2007. This amount 

includes $10,000,000 appropriated in 

FY 2007 and $2,000,000 in rollover 

funds. 

3. Award Amounts: Awards will pay 

only for the annual salary and fringe 

benefits of PH FSS Coordinators. Award 

amounts will be based on locality pay 

rates for similar professions. Each new 

or renewal position amount will not 

exceed $65,500. 

4. Eligible Applicants: Eligible 

applicants are Public Housing 

Authorities (PHAs) and tribes/Tribally 

Designated Housing Entities (TDHEs) 

that administer PH FSS programs. All 

applicants must have an approved PH 

FSS Action Plan on file with their local 

HUD field office or Area Office of Native 

American Programs (ONAP) prior to this 

NOFA’s application deadline. Nonprofit organizations and resident 

associations are not eligible to apply for 

funding under this program. 

5. Cost Sharing/Match Requirement: 

There is no match requirement under 

this funding program. 

6. Grant Term: The grant term is one 

year from the execution date of the grant 

agreement. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Authority and Program 

Description. The Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007) 

allows funding for program coordinators 

under the Resident Opportunity & SelfSufficiency program. Through annual 

NOFAs, HUD has provided funding to 

public housing agencies (PHAs) or 

tribes/TDHEs that are operating PH FSS 

programs to enable those applicants to 

employ program coordinators to support 

their PH FSS programs. In FY 2007 PH 

FSS Program Coordinator NOFA, HUD 

is again making funding available to 

PHAs/Tribes/TDHEs to employ PH FSS 

program coordinators for one year. HUD 

will accept applications from both new 

and renewal applicants that have HUD 

approval to administer a PH FSS 

program. PHA/Tribe/TDHEs funded 

under the ROSS PH FSS NOFA in FY 

2005 or 2006 are considered ‘‘renewal’’

applicants in this NOFA. These renewal 

applicants are invited to apply for funds 

to continue previously funded PH FSS 

program coordinator positions. Funding 

priority will be given to renewals for 

applicants that have achieved a ‘‘High 

Performer’’ status on their most recent 

Public Housing Assessment System 

(PHAS) review and tribes/THDEs that 

have been determined eligible as a 

renewal applicant (PHAS score 

requirement is not applicable to tribes/ 

THDEs). Second priority will be given to 

standard performer renewal applicants. 

Third priority will be given to troubled 

performer renewal applicants and fourth 

priority will be given to new applicants. 

There will be no funding for expanding 

the number of coordinator positions in 

an existing program. 

The maximum number of positions 

that a new applicant, including new 

joint applicants, may receive is one fulltime FSS program coordinator. 

Applicants must administer the FSS 

program in accordance with HUD 

regulations and requirements in 24 CFR 

Part 984, which govern the PH FSS 

program and must comply with the 

existing Public Housing program 

requirements, notices, and guidebooks. 

This includes using a Program 

Coordinating Committee (PCC) to secure 

the necessary resources to implement 

the FSS Program. See 24 CFR 984.202 

for more information. 

B. Number of Positions for Which 

Eligible Applicants May Apply. Eligible 

applicants may apply for funding for PH 

FSS program coordinator positions 

under this NOFA as follows: 

1. Renewal Applicants. Applicants 

that qualify as eligible renewal 

applicants under this NOFA may apply 

for the continuation of each PH FSS 

coordinator position awarded under the 

ROSS PH FSS NOFA in FY 2005 or 

2006. 

2. New Applicants. An applicant that 

meets the requirements for a new 

applicant under this FSS NOFA may 

apply for PH FSS program coordinator 

positions as follows: 

a. Up to one full-time PH FSS 

coordinator position for an applicant 

with HUD approval to administer a PH 

FSS program of 25 or more FSS slots; or 

b. Up to one full-time PH FSS 

coordinator position per application for 

joint applicants that together have HUD 

approval to administer a total of at least 

25 PH FSS slots. 

C. Definitions. The following 

definitions apply to the funding 

available under this NOFA. 

1. Renewal Applicant. Applicants that 

received funding under the ROSS PH 

FSS NOFA in FY 2005 or 2006. 

2. New Applicant. Applicants that did 

not receive funding under the ROSS PH 

FSS NOFA in FY 2005 or FY 2006 that 

have HUD approval to administer a PH 

FSS program of at least 25 slots or that 

fulfill the 25 slot minimum by applying 

jointly with one or more other 

applicants who together have approval 

to administer at least 25 PH FSS slots. 

3. Tribally Designated Housing Entity 

(TDHE) is an entity authorized or 

established by one or more Indian tribes 

to act on behalf of each such tribe 

authorizing or establishing the housing 

entity as defined by Section 4(21) of 

NAHASDA. 

4. Indian Tribe means any tribe, band, 

nation, or other organized group or a 

community of Indians, including any 


rwilkins on PROD1PC63 with NOTICES_2
11644 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Alaska Native village, regional, or 

village corporation as defined in or 

established pursuant to the Alaska 

Native Claims Settlement Act, and that 

is recognized as eligible for the special 

programs and services provided by the 

United States to Indians because of their 

status as Indians pursuant to the Indian 

Self Determination and Education Act of 

1975, or any state-recognized tribe 

eligible for assistance under section 4 

(12)(C) of NAHASDA. 

5. MTW PHAs. New and renewal 

PHAs that are under MTW agreements 

with HUD may qualify for funding 

under this NOFA if the PHA 

administers an FSS program. When 

determining the size of a new applicant, 

MTW PHA’s HUD-approved FSS 

program, the PHA may request the 

number of FSS slots reflected in the 

PHA’s MTW agreement be used instead 

of the number in the PHA’s FSS Action 

Plan. However, this number must be at 

least 25 in order to qualify as a new 

applicant. 

6. FSS Program Size. The total 

number of PH FSS program slots 

identified in the applicant’s HUDapproved PH FSS Action Plan, or, if 

requested by MTW PHA applicants, the 

number of slots in the applicant’s MTW 

agreement. The total may include both 

voluntary and mandatory PH FSS 

program slots. 

7. Action Plan. Describes the policies 

and procedures of the PHA or tribe/ 

TDHE for operation of a local FSS 

program. For a full description of the 

minimum amount of information that 

the Action Plan must contain, please see 

24 CFR 984.201. 

8. Positive Graduation Percentage. 

The percent of public housing FSS 

families that have successfully 

graduated from the program between 

October 1, 2000, and the publication 

date of this NOFA as shown in FSS exit 

reports submitted to HUD on Form 

HUD–50058 or as otherwise reported to 

HUD by MTW PHAs. The data source is 

Form HUD–52767 as well as HUD’s PIC 

data system records of Form HUD–

50058 PH FSS program exit reports that 

were effective between October 1, 2000, 

and the publication date of this NOFA. 

9. The Number of PH FSS Program 

Participants. The total number of 

families formerly or currently enrolled 

in the applicant’s PH FSS program 

between October 1, 2000 and the 

publication date of this NOFA. For 

renewal applicants funded for the first 

time under the 2006 NOFA, please use 

the enrollments anticipated by the due 

date of this NOFA. The data source is 

Form HUD–52767 as well as HUD’s PIC 

data system records of Form HUD–

50058 reports that were effective 

between October 1, 2000, and the 

publication date of this NOFA. 

10. Percentage of Families with 

Positive FSS Escrow Balances. The 

number of current or former PH FSS 

families with positive escrow balances 

as a percentage of total number of PH 

FSS program participants. The data 

source is Form HUD–52767 as well as 

HUD’s PIC data system records of Form 

HUD–50058 PH FSS program progress 

reports that were effective between 

October 1, 2000, and the publication 

date of this NOFA, or as otherwise 

reported to HUD by MTW PHAs. 

11. PH FSS Program Coordinator. A 

person responsible for linking FSS 

program participants to supportive 

services. Program Coordinators will 

work with the Program Coordinating 

Committee and local service providers 

to ensure that the necessary services and 

linkages to community resources are 

being made, such as ensuring that the 

services included in participants’

contracts of participation are provided 

on a regular, ongoing, and satisfactory 

basis; making sure that participants are 

fulfilling their responsibilities under the 

contracts, and ensuring that FSS escrow 

accounts are established and properly 

maintained for eligible families. FSS 

Coordinators may also perform job 

development functions for the FSS 

program. 

II. Award Information 

A. Available Funds. This NOFA 

announces the availability of 

approximately $12,000,000 in FY 2007 

to employ FSS program coordinators for 

the PH FSS program. This amount 

includes $10,000,000 appropriated in 

FY 2007 and $2,000,000 in rollover 

funds. If additional funding becomes 

available during FY 2007, HUD may 

increase the amount available for PH 

FSS program coordinators under this 

NOFA. A maximum of $65,500 is 

available for each full-time coordinator 

position funded. Salaries are to be based 

on local comparables. The funding will 

be provided as a one-year grant. 

Funding amounts for individual 

grantees will be contingent upon HUD 

field office approval. 

B. Grant Term. The grant term is one 

year from the execution date of the grant 

agreement. 

C. Grant Extensions. Requests to 

extend the grant term beyond the grant 

term must be submitted in writing to the 

local HUD field office or area ONAP at 

least 90 days prior to the expiration of 

the grant term. Requests must explain 

why the extension is necessary, what 

work remains to be completed, and 

what work and progress was 

accomplished to date. Extensions may 

be granted only once by the field office 

or area ONAP for a period not to exceed 

6months and may be granted for longer 

by the HUD Headquarters Program 

Office at the request of the Field Office 

or Area ONAP. 

III. Eligibility Information 

A. Eligible Applicants. Eligible 

applicants are PHAs and tribes/TDHEs 

that administer low-rent public housing 

programs. New and renewal applicants 

must have an approved PH FSS Action 

Plan on file with their local HUD field 

office or Area ONAP prior to this 

NOFA’s application deadline. PHAs/ 

tribes/TDHEs eligible to apply for 

funding under this NOFA are: 

1. Renewal Applicants. Those PHAs 

or Tribes/TDHEs that received funding 

under the PH FSS NOFA in FY 2005 or 

2006. To continue to qualify as renewal 

applicants, the FY 2007 application of 

joint applicants must include at least 

one applicant that meets this standard. 

Joint applicants can change the lead 

applicant in their FY2007 application. A 

grantee that was originally funded as 

part of a joint application, that wishes 

to now apply separately will continue to 

be considered a renewal applicant for 

funding purposes, but must be able to 

meet the FSS minimum program size 

requirement of a HUD-approved PH FSS 

program of at least 25 slots that applies 

to new applicants. 

2. New Applicants. Applicants that 

were not funded under the PH FSS 

NOFA in FY 2005 or FY 2006. The new 

applicant PHA or Tribe/TDHE must be 

authorized through its HUD-approved 

FSS Action Plan to administer a PH FSS 

program of at least 25 slots, or be an 

applicant with HUD approval to 

administer PH FSS programs of fewer 

than 25 slots that applies jointly with 

one or more other applicants so that 

together they have HUD approval to 

administer at least 25 PH FSS slots. 

Joint applicants must specify a lead coapplicant that will receive and 

administer the FSS program coordinator 

funding. 

3. Moving to Work (MTW) PHAs. New 

and renewal PHAs that are under the 

MTW demonstration may qualify for 

funding under this NOFA if the PHA 

administers a PH FSS program. When 

determining the size of a MTW PHA’s 

HUD-approved PH FSS program, the 

PHA may request that the number of PH 

FSS slots reflected in the PHA’s MTW 

agreement be used instead of the 

number in the PHA’s PH FSS Action 

Plan. However, this number must be at 

least 25 in order to qualify as a new 

applicant. 

4. Troubled Applicants 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11645 

a. An applicant that has been 

designated by HUD as troubled under 

the Public Housing Assessment System 

(PHAS), or that has serious program 

management findings from Inspector 

General audits or serious outstanding 

HUD management review or 

Independent Public Accountant (IPA) 

audit findings for the applicant’s Low 

Rent Public Housing program that are 

resolved prior to the application due 

date is eligible to apply under this 

NOFA. Serious program management 

findings are those that would cast doubt 

on the capacity of the applicant to 

administer its PH FSS program in 

accordance with applicable HUD 

regulatory and statutory requirements. 

b. The requirements that apply to an 

applicant whose PHAS troubled 

designation has not been removed by 

HUD or whose major program 

management findings or other 

significant program compliance 

problems that have not been resolved by 

the deadline date are stated in the 

Program Requirements section of this 

NOFA. 

B. Cost Sharing or Matching. None 

required. 

C. Other 

1. Eligible Activities. Funds awarded 

to applicants under this FSS NOFA may 

only be used to pay salaries and fringe 

benefits of PH FSS program staff. 

Funding may be used to employ or 

otherwise retain for one year the 

services of PH FSS program 

coordinators. PH FSS coordinator 

support positions funded under 

previous FSS NOFAs that made funding 

available for such FSS positions may be 

continued. A part-time program 

coordinator may be retained where 

appropriate. Please note that even with 

a part-time program coordinator, the 25- 

slot minimum must be retained. 

2. Theshold Requirements 

a. All Applicants 

(1) Each applicant must qualify as an 

eligible applicant under this NOFA and 

must have submitted an FSS application 

in the format required by this NOFA 

that was received and validated by 

Grants.gov by the application deadline 

date. Validation may take up to 72 

hours. 

(2) All applications must include a 

Dun and Bradstreet Universal 

Numbering System (DUNS) number. 

(See the General Section for further 

information about the DUNS number 

requirement.) 

(3) Civil Rights Thresholds, Nondiscrimination, Affirmatively Furthering 

Fair Housing. All applicants must 

comply with these requirements. Please 

see the General Section for details. 

(4) The applicant must have a 

financial management system that meets 

federal standards. See the General 

Section regarding those applicants that 

may be subject to HUD’s arranging for 

a pre-award survey of an applicant’s 

financial management system. 

(5) Applicants must comply with the 

requirements for funding competitions 

established by the HUD Reform Act of 

1989 (42 U.S.C. 3531 et seq.) and other 

requirements as defined in the General 

Section. 

b. Renewal Applicants. Continued 

funding for existing coordinator 

positions. In addition to meeting the 

other requirements of this FSS NOFA, 

renewal applicants must continue to 

operate a PH FSS program and have 

executed FSS contract(s) of 

participation with PH FSS program 

families. 

c. New Applicants. New applicants 

must meet the all requirements of this 

FSS NOFA including those in Section 

III.A above regarding eligibility. 

d. Troubled Applicants. Contract 

Administrator Partnership Agreement. 

Applicants that are troubled at the time 

of application are required to submit a 

signed Contract Administrator 

Partnership Agreement. The agreement 

must be for the entire grant term. The 

grant award shall be contingent on 

having a signed Partnership Agreement 

included in the application. If an 

applicant that is required to have a 

Contract Administrator Partnership 

Agreement fails to submit one or if it is 

incomplete, incorrect, or insufficient, 

this will be treated as a technical 

deficiency. See General Section for more 

information on Corrections to Deficient 

Applications. The Contract 

Administrator must ensure that the 

financial management system and 

procurement procedures that will be in 

place during the grant term will fully 

comply with 24 CFR Part 85. Troubled 

applicants are not eligible to be contract 

administrators. Grant writers who assist 

applicants to prepare their FSS 

applications are ineligible to be Contract 

Administrators. 

3. Program Requirements 

a. Hiring a PH FSS Program 

Coordinator. Funds awarded under this 

NOFA may only be used to employ or 

retain the services of a PH FSS Program 

Coordinator for the one-year grant term. 

A PH FSS Program Coordinator must: 

(1) Work with the Program 

Coordinating Committee and with local 

service providers to ensure that PH FSS 

program participants are linked to the 

supportive services they need to achieve 

self-sufficiency. 

(2) Ensure that the services included 

in participants’ contracts of 

participation are provided on a regular, 

ongoing, and satisfactory basis; that 

participants are fulfilling their 

responsibilities under the contracts; and 

that FSS escrow accounts are 

established and properly maintained for 

eligible families. All of these tasks 

should be accomplished through case 

management. FSS coordinators may also 

perform job development functions for 

the FSS program. 

(3) Monitor the progress of program 

participants and evaluate the overall 

success of the program. 

b. Salary Comparables. For all 

positions requested under this NOFA, 

evidence of salary comparability to 

similar positions in the local 

jurisdiction must be kept on file in the 

PHA/Tribe/TDHE office. 

c. FSS Action Plan. The requirements 

for the PH FSS Action Plan are stated in 

24 CFR 984.201. For a new applicant to 

qualify for funding under this NOFA, 

the PHA/Tribe/TDHE’s initial PH FSS 

Action Plan or amendment to change 

the number of PH FSS slots in the PHA/ 

Tribe/TDHE’s previously HUDapproved PH FSS Action Plan, must be 

submitted to and approved by the local 

HUD field office or Area ONAP prior to 

the application due date of this PH FSS 

NOFA. An FSS Action Plan can be 

updated by means of a simple one-page 

addendum that reflects the total number 

of PH FSS slots (voluntary and/or 

mandatory slots) the applicant intends 

to fill. New applicants with previously 

approved PH FSS Action Plans may 

wish to confirm the number of HUDapproved slots their local HUD field 

office has on record. An MTW PHA may 

request that the number of PH FSS slots 

reflected in its MTW agreement be used 

instead of the number of slots in the 

PHA’s PH FSS Action Plan. 

d. Eligible families. Current residents 

of public/Indian housing are eligible. 

Eligible families that are currently 

enrolled or participating in local public/ 

Indian housing self-sufficiency 

programs are also eligible. 

e. Contract of participation. Each 

family that is selected to participate in 

an FSS program must enter into a 

contract of participation with the PHA 

or tribe/TDHE that operates the FSS 

program. The contract shall be signed by 

the head of the FSS family and be 

individually designed to benefit the 

subject family. 

f. Contract term. The contract with 

participating families shall be for 5 

years. During this time, each family will 

be required to fulfill its contractual 


rwilkins on PROD1PC63 with NOTICES_2
11646 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

obligations. PHAs or tribes/TDHEs may 

extend contracts for no more than 2 

years for any family that requests an 

extension of its contract, provided the 

PHA or tribe/TDHE finds good cause 

exists to provide an extension. This 

extension request must be in writing. 

See 24 CFR 984.303 for more 

information on contracts of 

participation. 

g. Escrow accounts for very low or 

low-income participating families. Such 

accounts shall be computed using the 

guidelines set forth in 24 CFR 984.305. 

NOTE: FSS families that are not lowincome are not entitled to an escrow/ 

credit. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package. Applications are available from 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. The Download 

Instructions and the Application 

Download provide the information and 

forms that you need to apply for funding 

under this NOFA. If you have difficulty 

accessing the information you may 

receive customer support from 

Grants.gov by calling their Support Desk 

at (800) 518–GRANTS, or sending an email to support@grants.gov. You may 

request general information, from the 

NOFA Information Center (800–HUD–

8929) between the hours of 10 a.m. and 

6:30 p.m. (eastern time) Monday 

through Friday, except on federal 

holidays. Persons with hearing or 

speech impairments may access this 

number via TTY (text telephone) by 

calling the Federal Information Relay 

Service at 800–877–8339. (These are 

toll-free numbers.) When requesting 

information, please refer to the name of 

the program you are interested in. The 

NOFA Information Center opens for 

business simultaneously with the 

publication of the SuperNOFA. 

B. Content and Format of Application 

Submission 

1. Content of Application. In addition 

to any information required in the 

General Section, each new and renewal 

applicant must complete the forms on 

the list below. Copies of the forms may 

be downloaded with the application 

package and instructions from http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. You must use the 

forms that are included with the 2007 

application so as to avoid using 

outdated forms that may be on 

HUDCLIPS or found from another 

source. 

a. SF–424 Application for Federal 

Assistance—In completing the SF–424, 

renewal applicants should select the 

continuation box on question 2, type of 

application. In section 18 of the SF–424, 

estimated funding, complete only 18.a., 

which will be the amount requested 

from HUD in the FY 2007 FSS 

application, and 18.g., Total. 

b. SF–424 Supplement, Survey on 

Ensuring Equal Opportunity for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov) 

c. SF–LLL Disclosure of Lobbying 

Activities (if applicable) 

d. HUD–2880—Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

e. HUD–2991—Certification of 

Consistency with the Consolidated Plan 

( for PHA applicants) 

f. HUD–52752—Certification of 

Consistency with Indian Housing Plan 

(for Tribes/TDHE applicants) 

g. Contract Administrator Partnership 

Agreement, required for troubled PHA 

applicants (see HUD–52755) 

h. HUD–96011 Facsimile Transmittal, 

even if not transmitting any faxes 

(‘‘HUD Facsimile Transmittal’’ on 

Grants.gov) 

i. HUD–52767 Family Self-Sufficiency 

Funding Request Form. 

j. The HUD–2994–A—‘‘You Are Our 

Client Applicant Survey’’ is optional. 

k. In addition, the application must 

include a completed Logic Model (form 

HUD 96010) showing proposed 

performance measures. See the General 

Section for information on the Logic 

Model. 

l. Code of Conduct per General 

Section instructions 

m. Statement on Affirmatively 

Furthering Fair Housing per General 

Section instructions. 

2. Budget Forms. There are no budget 

forms required for this application. 

C. Submission Date and Time. Your 

completed application must be received 

and validated by Grants.gov no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. Please note 

that validation may take up to 72 hours. 

Applicants should carefully read section 

IV titled ‘‘APPLICATION and 

SUBMISSION INFORMATION’’ in the 

General Section regarding HUD’s 

procedures pertinent to the submission 

of your application. 

D. Intergovernmental Review. 

Intergovernmental Review is not 

applicable to this program. 

E. Funding Restrictions 

1. Salary Cap. Awards under this 

NOFA are subject to a cap of $65,500 

per year per full-time coordinator 

position funded. Under this NOFA, if 

applicants apply jointly, the $65,500 

maximum amount that may be 

requested per position applies to up to 

one full time coordinator position for 

the application as a whole, not to each 

applicant separately. 

2. Limitation on Renewal Funding 

Increases. For renewal coordinator 

positions, applicants will be limited to 

a three percent increase above the 

amount of the most recent award for the 

position unless a higher increase is 

approved by the local HUD field office 

after review of the applicant’s written 

justification and at least three 

comparables that must be submitted to 

the field office by the applicant at the 

time they submit their FY2007 PH FSS 

Program Coordinator application to 

HUD. Examples of acceptable reasons 

for increases above 3 percent would be 

the need for a coordinator with higher 

level of skills or to increase the hours of 

a part-time coordinator to full-time. 

Total positions funded cannot exceed 

the maximum number of positions for 

which the applicant is eligible under 

this NOFA. If the funding increase is not 

approved by the local field office or area 

ONAP, the applicant will be eligible for 

renewal at the level of the most recent 

award. 

3. Ineligible Activities 

a. Funds under this NOFA may not be 

used to pay the salary of an FSS 

coordinator for a Housing Choice 

Voucher (HCV) FSS program. A PH FSS 

program coordinator may only serve 

Low-Rent Public Housing families while 

the HCV FSS program serves only HCV 

families. The funding for HCV FSS 

program coordinators is being made 

available through a separate NOFA 

included in the FY 2007 Super NOFA. 

b. Funds under this FSS NOFA may 

not be used to pay for services for FSS 

program participants. 

c. Funds under this FSS NOFA may 

not be used to pay for administrative 

activities. 

F. Other Submission Requirements. 

Electronic application submission is 

mandatory unless an applicant requests, 

and is granted, a waiver to the 

requirement. Applicants should submit 

waiver requests in writing using mail. 

Waiver requests must be postmarked no 

later than 15 days prior to the 

application deadline date and should be 

sent to Anice Schervish, 451 7th Street, 

SW., Room 3236 Washington, DC 20410. 

If HUD grants a waiver, the applicant 

will be notified of the application 

submission requirements for paper copy 

applications. Paper copy applications 

must be received by the appropriate 

HUD office no later than the application 

deadline date to meet the deadline 

submission requirements. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11647 

V. Application Review Information 

A. Criteria. The funds available under 

this NOFA are being awarded based on 

demonstrated performance. 

Applications are reviewed by the local 

HUD field office or area ONAP office 

and the Grants Management Center to 

determine whether or not they are 

technically adequate based on the 

NOFA requirements. Field offices or 

area ONAPs will provide to the Grants 

Management Center (GMC) in a timely 

manner, as requested, information 

needed by the GMC to make its 

determination, such as the HUDapproved PH FSS program size of new 

applicants and information on the 

administrative capabilities of 

applicants. 

B. Reviews and Selection Process 

1. Funding Priority Categories. If HUD 

receives applications for funding greater 

than the amount made available under 

this NOFA, HUD will divide eligible 

applications into priority categories as 

follows: 

a. Funding Category 1—Applications 

from eligible renewal applicants 

designated ‘‘high performer’’ in their 

most recent PHAS review and tribes/ 

THDEs that have been determined 

eligible as a renewal applicant (PHAS 

score requirement is not applicable to 

tribes/THDEs) will be funded for 

continuation of previously funded 

eligible positions. 

b. Funding Category 2—Eligible 

renewal applicants designated standard 

performers on the most recent PHAS 

review will be funded for continuation 

of previously funded eligible positions. 

c. Funding Category 3—Eligible 

renewal applicants designated troubled 

performers on the most recent PHAS 

review will be funded for continuation 

of previously funded eligible positions. 

d. Funding Category 4—Applications 

from eligible new applicants agreeing to 

implement an FSS program of at least 25 

slots. 

2. Order of Funding. 

a. Funding Category 1.—Starting with 

Funding Category 1, HUD will first 

determine whether there are sufficient 

monies to fund all eligible positions 

requested in the funding category. If 

available funding is not sufficient to 

fund all positions requested in the 

category, HUD will calculate, for each 

eligible applicant, the applicant’s 

Positive Escrow Percentage and 

Graduation Percentage and will use 

these percentages in making funding 

decisions. Definitions of the FSS 

Positive Escrow Percentage and 

Graduation Percentage are included in 

the Definitions Section (Section I.C.) of 

this NOFA. 

HUD will begin funding eligible 

Funding Category 1 applicants starting 

with the applicants with the highest 

Positive Escrow Percentage first. If 

monies are not sufficient to fund all 

applicants with the same Positive 

Escrow Percentage, HUD will fund 

eligible applicants in order starting with 

those that have the highest Graduation 

Percentage first. If funding is not 

sufficient to fund all applicants with the 

same FSS Positive Escrow Percentage 

and/or Graduation Percentage, HUD will 

select among eligible applicants by PH 

FSS program size (number of approved 

slots) starting with eligible applicants 

with the largest PH FSS program size 

first. 

b. Funding Category 2.—If funding 

remains after funding all Funding 

Category 1 applications, HUD will then 

process eligible Funding Category 2 

applications. If there are not enough 

funds to fund all of Funding Category 2, 

HUD will use same criteria as above for 

Funding Category 1. 

c. Funding Category 3.—If funding 

remains after funding all Funding 

Category 2 applications, HUD will then 

process eligible Funding Category 3 

applications. If there are not enough 

funds to fund all of Funding Category 2, 

HUD will use the same criteria as above 

for Funding Category. 

d. Funding Category 4.—If funding 

remains after funding all Funding 

Category 1, 2, and 3 applications, HUD 

will then process requests of eligible 

Funding Category 4 applicants. If there 

are not sufficient monies to fund all 

eligible positions requested, HUD will 

begin funding positions starting with 

applicants with the largest PH FSS 

program size (number of approved slots) 

first. 

3. Based on the number of 

applications submitted, the GMC may 

elect not to process applications for a 

funding priority category where it is 

apparent that there are insufficient 

funds available to fund any applications 

within the priority category. 

4. Corrections to Deficient 

Applications. The General Section of 

the SuperNOFA provides the 

procedures for corrections to deficient 

applications. 

5. Unacceptable Applications. After 

the technical deficiency correction 

period (as provided in the General 

Section), the GMC will disapprove 

applications that it determines are not 

acceptable for processing. Applications 

from applicants that fall into any of the 

following categories are ineligible for 

funding under this NOFA and will not 

be processed: 

a. An application submitted by an 

entity that is not an eligible applicant as 

defined under this PH FSS NOFA or an 

application that does not comply with 

the requirements of Section IV.B., IV.C. 

and IV.F. of this NOFA. 

b. An application from an applicant 

that does not meet the fair housing and 

civil rights threshold requirements of 

the General Section of the SuperNOFA. 

c. An application from an applicant 

that does not comply with the 

prohibition against lobbying activities of 

this NOFA. 

d. An application from an applicant 

that has been debarred or otherwise 

disqualified from providing assistance 

under the program. 

e. An application that did not meet 

the application deadline date and timely 

receipt requirements as specified in this 

NOFA and the General Section. 

f. Applications will not be funded that 

do not meet the threshold requirements 

identified in this NOFA and the General 

Section. 

VI. Award Administration Information 

A. Award Notices. Successful 

applicants will receive an award letter 

from HUD. Successful applicants will be 

notified by letter and will receive 

instructions for the steps they must take 

to access funding and begin 

implementing grant activities. 

Applicants who are not funded will also 

receive letters via U.S. postal mail. 

B. Administrative and National Policy 

Requirements 

1. Environmental Impact. Under 24 

CFR 50.19(b)(4) and (12), activities 

under this NOFA are categorically 

excluded from environmental review 

under the National Environmental 

Policy Act of 1969 (42 U.S.C. 4321) and 

not subject to compliance actions for 

related environmental authorities. 

2. Applicable Requirements. Grantees 

are subject to regulations and other 

requirements found in: 

a. OMB Circular A–87 ‘‘Cost 

principles for State, Local, and Indian 

Tribal Governments’’; 

b. OMB Circular A–133 ‘‘Audits of 

States, Local Governments, and NonProfit Organizations’’; 

c. HUD Regulations 24 CFR Part 984 

‘‘Section 8 and Public Housing Family 

Self-Sufficiency Program’’; and 

d. HUD Regulations 24 CFR Part 85 

‘‘Administrative Requirements for 

Grants and Cooperative Agreements to 

State, Local, and Federally Recognized 

Indian Tribal Governments’’. 

3. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). Section 3 requirements do not apply 

to this program. 

4. Fair Housing and Civil Rights Laws. 

Please see the General Section for more 

information. 


rwilkins on PROD1PC63 with NOTICES_2
11648 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

5. Provision of Services to Individuals 

with Limited English Proficiency (LEP). 

Successful applicants and grantees must 

seek to provide access to program 

benefits and information to LEP 

individuals through translation and 

interpretive services, in accordance with 

HUD’s Draft LEP Recipient Guidance 

(68 FR 70968). 

6. Communications. Successful 

applicants should ensure that notices of 

and communications during all training 

sessions and meetings shall be provided 

in a manner that is effective for persons 

with hearing, visual, and other 

communication-related disabilities 

consistent with Section 504 of the 

Rehabilitation Act of 1973. See 24 CFR 

Section 8.6. 

7. HUD’s Strategic Goals. HUD is 

committed to ensuring that programs 

result in the achievement of HUD’s 

strategic mission. The FSS program and 

this FSS NOFA support the 

Department’s strategic goals of helping 

HUD-assisted renters make progress 

toward self-sufficiency by giving 

funding preference to PHA/Tribes/ 

TDHEs whose FSS programs show 

success in moving families to economic 

self-sufficiency. You can find out about 

HUD’s Strategic Framework and Annual 

Performance Plan at http:// 

www.hud.gov/offices/cfo/reports/ 

cforept.cfm3. 

8. HUD Policy Priorities. This NOFA 

supports the HUD policy priority of 

helping HUD-assisted renters make 

progress toward self-sufficiency. In this 

NOFA, funding priority is given to those 

applicants that demonstrate that their 

FSS families have increased their 

earned income since enrolling in FSS. 

See Section V.B. of the General Section 

for a full discussion of HUD’s policy 

priorities. 

C. Reporting. Successful applicants 

must report activities of their FSS 

enrollment, progress and exit activities 

of their FSS program participants 

through required submissions of the 

Form HUD–50058 or as otherwise 

agreed for MTW PHAs. HUD’s 

assessment of the accomplishments of 

the FSS programs of grantees funded 

under this NOFA may be based in part 

on Public Housing Information Center 

(PIC) system data obtained from the 

Form HUD–50058. MTW PHAs that do 

not report to HUD on Form HUD–50058 

will be asked to submit an annual report 

to HUD with the same information on 

FSS program activities that is provided 

to HUD by non-MTW PHAs via Form 

HUD–50058. A grantee is also required 

to submit a completed Logic Model 

(HUD–96010) showing 

accomplishments against proposed 

outputs and outcomes as part of their 

annual reporting requirement to HUD. 

Grantees shall use quantifiable data to 

measure performance against goals and 

objectives outlined in their Logic Model. 

Semi-annual Performance Reports 

consisting of the updated Logic Model 

are due in the field office on July 30 and 

January 31 of each year. For FY 2007, 

HUD is considering a new concept for 

the Logic Model. The new concept is a 

Return on Investment statement. HUD 

will be publishing a separate notice on 

the ROI concept. In addition, HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. It has 

adopted the Office of Management and 

Budget’s Standards for the Collection of 

Racial and Ethnic Data. In view of these 

requirements, funded recipients should 

use Form HUD–27061, Racial and 

Ethnic Data Reporting Form. Form 

50058 used in concurrence with the PIC 

Data system is a comparable form. 

Applicants that receive awards from 

HUD should be prepared to report on 

additional measures that HUD may 

designate at the time of award. 

D. Debriefings. The applicant may 

request an applicant debriefing. 

Beginning not less than 30 days after the 

awards for assistance are publicly 

announced in the Federal Register and 

for at least 120 days after that 

announcement, HUD will, upon 

receiving a written request, provide a 

debriefing to the requesting applicant. 

(See Section VI.A. of the General 

Section for additional information 

regarding a debriefing.) Applicants 

requesting to be debriefed must send a 

written request to: Iredia Hutchinson, 

Director; Grants Management Center, 

U.S. Department of Housing and Urban 

Development, 501 School Street, SW., 

Suite 800; Washington, DC 20024. 

VII. Agency Contacts 

A. For Technical Assistance. For 

answers to your questions, you may 

contact the Public and Indian Housing 

Resource Center at 800–955–2232. Prior 

to the application deadline, staff at the 

number given above will be available to 

provide general guidance, but not 

guidance with actually preparing the 

application. Following selection, but 

prior to award, HUD staff will be 

available to assist in clarifying or 

confirming information that is a 

prerequisite to the offer of an award by 

HUD. Persons with hearing or speech 

impairments may use the Grants.gov 

helpdesk e-mail. 

B. Satellite Broadcast. HUD will hold 

an information broadcast via satellite for 

potential applicants to learn more about 

the PH FSS program and preparation of 

an application. For more information 

about the date and time of this 

broadcast, you should consult the HUD 

Web site at http://www.hud.gov. 

VIII. Other Information 

A. Code of Conduct. Please see the 

General Section for more information. 

B. Transfer of Funds. If transfer of 

funds from any of the ROSS programs 

does become necessary, HUD will 

consider the amount of un-funded 

qualified applications in deciding to 

which program the extra funds will be 

transferred. 

C. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2577–0229. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 40 hours per respondent for the 

application. This includes the time for 

collecting, reviewing, and reporting the 

data for the application. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11649 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.021</GPH>
11650 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Self-Help Homeownership Opportunity 

Program (SHOP) 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Community Planning and 

Development. 

B. Funding Opportunity Title: SelfHelp Homeownership Opportunity 

Program (SHOP). 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–06; OMB Approval Number 

2506–0157. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: Self-Help 

Homeownership Opportunity Program. 

The CFDA number is 14.247. 

F. Dates: The application deadline 

date for electronic submission and 

validation in Grants.gov is June 13, 

2007. Applications submitted through 

http://www.grants.gov must be received 

and validated by grants.gov no later 

than 11:59:59 Eastern time on the 

application deadline date. The 

validation process may take up to 72 

hours. 

G. Optional, Additional Overview 

Information: 

SHOP funds are awarded to national 

and regional nonprofit organizations 

and consortia demonstrating experience 

in administering self-help housing 

programs in which the homebuyers 

contribute a significant amount of 

sweat-equity toward construction or 

rehabilitation of the dwelling. The 

amount available for SHOP in Fiscal 

Year (FY) 2007 is approximately 

$19,800,000. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description 

SHOP funds are to be used to 

facilitate and encourage innovative 

homeownership opportunities on a 

national geographically diverse basis 

through self-help housing programs that 

require significant sweat-equity by the 

homebuyer toward the construction or 

rehabilitation of the dwelling. 

SHOP programs are administered by 

national and regional nonprofit 

organizations and consortia. Units 

developed with SHOP funds must be 

decent, safe, and sanitary non-luxury 

dwellings and must be made available 

to eligible homebuyers at prices below 

the prevailing market prices. Eligible 

homebuyers are low-income individuals 

and families (i.e., those whose annual 

incomes do not exceed 80 percent of the 

median income for the area, as 

established by HUD) who would 

otherwise be unable to purchase a 

dwelling but for the provision of sweat 

equity. Housing assisted under this 

Notice of Funding Availability (NOFA) 

must involve labor contributed by 

homebuyers and volunteers in the 

construction of dwellings and other 

activities that involve the community in 

the project. 

B. Authority 

Funding made available under SHOP 

is authorized by Section 11 of the 

Housing Opportunity Program 

Extension Act of 1996 (42 U.S.C. 12805 

note) (the ‘‘Extension Act’’). 

II. Award Information 

Approximately $19,800,000 will be 

available for this program in FY2007. 

Any unobligated funds from previous 

competitions or additional funds that 

may become available due to 

deobligation or recapture from previous 

awards or budget transfers may be 

added to the FY2007 appropriation to 

fund applications submitted in response 

to this NOFA. Awards will be made to 

successful applicants in the form of a 

grant. Grant funds must be expended 

within 24 months of the date that they 

are first made available for draw-down 

in a line of credit established by HUD 

for the grantee, except that grant funds 

provided to affiliates that develop five 

or more units must be expended within 

36 months. 

III. Eligibility Information 

A. Eligible Applicants 

You must be a national or regional 

nonprofit public or private organization 

or consortium that has the capacity and 

experience to provide or facilitate selfhelp housing homeownership 

opportunities. Your organization or 

consortium must undertake eligible 

SHOP activities directly and/or provide 

funding assistance to your local 

affiliates to carry out SHOP activities. 

You must propose in your application to 

use a significant amount of SHOP funds 

in at least two states. Affiliates must be 

located within the regional 

organization’s or consortium’s service 

area. 

A national organization is defined as 

an organization that carries out self-help 

housing activities or funds affiliates that 

carry out self-help housing activities on 

a national scale. A regional organization 

is defined as an organization that carries 

out self-help housing activities or funds 

affiliates that carry out self-help housing 

activities on a regional scale. A regional 

area is a geographic area, such as the 

Southwest or Northeast that includes at 

least two states. The states in the region 

need not be contiguous, and the service 

area of the organization need not 

precisely conform to state boundaries. 

A consortium is defined as two or 

more nonprofit organizations located in 

at least two states that individually have 

the capacity and experience to carry out 

self-help housing activities or fund 

affiliates that carry out self-help housing 

activities on a national or regional scale 

and enter into an agreement to submit 

a single application for SHOP funding 

on a national or regional basis. The 

consortium must propose to use a 

significant amount of SHOP funds in 

each state represented in the 

consortium. All consortium members 

must receive SHOP funds and one 

organization must be designated as the 

lead entity. The lead entity must submit 

the application and, if selected for 

funding, execute the SHOP Grant 

Agreement with HUD and assume 

responsibility for the grant on behalf of 

the consortium in compliance with all 

program requirements. 

A consortium agreement, executed 

and dated by all consortium members 

for the purpose of applying for and 

using FY2007 SHOP funds, must be 

submitted with your application. A 

consortium’s application must be a 

single integrated document that 

demonstrates the consortium’s 

comprehensive approach to self-help 

housing. All consortium members must 

be identified in your application. The 

integrated application must reflect all 

consortium members’ programs as a 

single program and may only briefly 

summarize the individual consortium 

members’ past experiences in factor 1. 

All other components of the application 

must reflect an overall consortium 

program design. Individual program 

designs for consortium members or 

affiliates within the integrated 

document will not be considered by 

HUD in scoring an application. Upon 

being funded, the lead entity must enter 

into a separate agreement with each 

consortium member. The agreement 

must include the requirements of the 

FY2007 SHOP Grant Agreement 

between HUD and the consortium and 

set forth the individual consortium 

member’s responsibilities for 

compliance with HUD’s 2007 SHOP 

program. 

An affiliate is defined as: 

(1) a local public or private nonprofit 

self-help housing organization that is a 

subordinate organization (i.e., chapter, 

local, post, or unit) of a central 

organization and covered by the group 

exemption letter issued to the central 

organization under Section 501(c)(3) of 

the Internal Revenue Code; or 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11651 

(2) a local public or private nonprofit 

self-help housing organization with 

which the applicant has an existing 

relationship (e.g., the applicant has 

provided technical assistance or funding 

to the local self-help housing 

organization); or 

(3) a local public or private nonprofit 

self-help housing organization with 

which the applicant does not have an 

existing relationship, but to which the 

applicant will provide necessary 

technical assistance and mentoring as 

part of funding under the application. 

You must carry out eligible activities 

or you must enter into an agreement to 

fund affiliates to carry out eligible 

activities. If you are a consortium, each 

of your affiliates must receive funds and 

be linked to an individual consortium 

member. 

Your application may not propose to 

fund any affiliate or consortium member 

that is also included in another SHOP 

application. You must ensure that any 

affiliate or consortium member under 

your FY2007 application is not also 

seeking FY2007 SHOP funding from 

another SHOP applicant. If an affiliate 

applies for funds through more than one 

applicant, it may be disqualified for any 

funding. 

B. Cost Sharing or Matching 

Applicants are required to leverage 

resources for the construction of selfhelp housing assisted with SHOP. 

Failure to provide documentation of 

leveraged resources that meet the 

submission requirements for firm 

commitments as stated in factor 4 will 

result in a lower application score. 

C. Other 

1. Eligible Activities 

The costs of eligible activities may be 

incurred by the applicant (and by 

affiliates, if permitted by the applicant) 

after the publication date of the NOFA 

and charged to the SHOP grant, 

provided that the applicant and 

affiliates comply with the requirements 

of this NOFA (including relocation and 

environmental review requirements) 

and provided that these costs are 

included in the application. Applicants 

and affiliates incur costs at their own 

risk, because applicants that do not 

receive a SHOP grant cannot be 

reimbursed or reimburse affiliates. 

Eligible activities are: 

a. Land acquisition, including 

financing and closing costs, which may 

include reimbursing an organization, 

consortium, or affiliate, upon approval 

of any required environmental review, 

for non-grant amounts expended by the 

organization, consortium, or affiliate to 

acquire land before completion of the 

review; 

b. Infrastructure improvements, 

including installing, extending, 

constructing, rehabilitating, or 

otherwise improving utilities and other 

infrastructure, including removal of 

environmental hazards; and 

c. Administration, planning, and 

management development, including 

the costs of general management, 

oversight, and coordination of the SHOP 

grant; staff and overhead costs of the 

SHOP grant; costs of providing 

information to the public about the 

SHOP grant; costs of providing civil 

rights and fair housing training to local 

affiliates as well as any expenses 

involved in affirmatively furthering fair 

housing; and indirect costs (such as rent 

and utilities) of the grantee or affiliate 

in carrying out the SHOP activities. 

2. Threshold Requirements 

HUD will not consider an application 

from an ineligible applicant. An 

applicant must meet all of the 

applicable threshold requirements listed 

in the General Section published on 

January 18, 2007, and the SHOP 

threshold requirements described 

below: 

a. Organization and Eligibility. You 

must be eligible to apply under SHOP 

(see Section III.A.). 

b. Nonprofit Status. You must 

describe how you qualify as an eligible 

applicant and provide evidence of your 

public or private nonprofit status, such 

as a current Internal Revenue Service 

(IRS) ruling that your organization is 

exempt from taxation under Section 

501(c)(3) or 501(c)(4) of the Internal 

Revenue Code of 1986. If you are a 

consortium, each consortium member 

must submit evidence of its nonprofit 

status to the lead entity for inclusion in 

the consortium’s application package. 

c. Consortium Agreement. If you are 

a consortium, each consortium member 

must enter into and sign a consortium 

agreement for the purpose of applying 

for SHOP funds and carrying out SHOP 

activities. Your consortium agreement 

must be submitted as an appendix to 

your application. 

d. Amount. The amount of SHOP 

funds you request must be sufficient to 

complete a minimum of 30 self-help 

housing units and may not exceed an 

average investment of $15,000 per unit. 

e. Homebuyer Eligibility. Eligible 

homebuyers are low-income individuals 

and families (i.e., those whose incomes 

do not exceed 80 percent of the median 

income for the area, as established by 

HUD). You must specify the definition 

of ‘‘annual income’’ to be used in your 

proposed program. You may use one of 

the following three definitions of 

‘‘annual income’’ to determine whether 

a homebuyer is income-eligible under 

SHOP: 

(1) ‘‘Annual income’’ as defined at 24 

CFR 5.609; or 

(2) ‘‘Annual income’’ as reported 

under the Census long-form for the most 

recent available decennial Census; or 

(3) ‘‘Adjusted gross income’’ as 

defined for purposes of reporting under 

the IRS Form 1040 series for individual 

federal annual income tax purposes. 

You may also adopt or develop your 

own definition of annual income for use 

in determining income eligibility under 

SHOP subject to review and approval by 

HUD. You must include your definition 

of ‘‘annual income’’ in your Program 

Summary. 

f. Experience. You must demonstrate 

successful completion of at least 30 selfhelp homeownership units in a national 

or regional area within the 24-month 

period immediately preceding the 

publication of this NOFA. For dwellings 

to qualify as self-help homeownership 

units, the homebuyers must have 

contributed a significant amount of 

sweat-equity toward the construction as 

set forth in this section. 

g. Sweat Equity. Your program must 

require homebuyers to contribute a 

minimum of 100 hours of sweat equity 

toward the construction or 

rehabilitation of their own homes and/ 

or the homes of other homebuyers 

participating in the self-help housing 

program. In the case of a household 

with only one adult, the requirement is 

50 hours of sweat equity toward the 

construction of these homes. Sweat 

equity includes training for construction 

on the dwelling units, but excludes 

homebuyer counseling and home 

maintenance training. All homebuyers, 

including homebuyers with disabilities, 

must meet these minimum hourly sweat 

equity requirements; however, grantees 

must permit reasonable 

accommodations for persons with 

disabilities in order for them to meet the 

hourly requirements. For example, 

homebuyers with disabilities may work 

on less physical tasks or administrative 

tasks to meet this requirement, or a 

volunteer(s) may enter into an 

agreement to substitute for the disabled 

person. No exception to meeting these 

hourly sweat equity requirements may 

be made. 

h. Community Participation. Your 

program must involve community 

participation in which volunteers assist 

in the construction or rehabilitation of 

dwellings. Volunteer labor is work 

performed by an individual without 

promise, expectation, or compensation 

for the work rendered. For mutual selfVerDate Aug<31>2005 16:13 Mar 12, 2007 Jkt 211001 PO 00000 Frm 00219 Fmt 4701 Sfmt 4703 E:\FR\FM\13MRN2.SGM 13MRN2

rwilkins on PROD1PC63 with NOTICES_2
11652 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

help housing programs that are assisted 

by the U.S. Department of Agriculture’s 

Rural Housing Services/Rural 

Development under Section 523 of the 

Housing Act of 1949 (7 CFR part 1944, 

subpart I) or which have a program 

design similar to the Section 523 

program, the work by each participating 

family on other participating families’

homes may count as volunteer labor. A 

mutual self-help housing program 

generally involves four to ten 

participating families organized in a 

group to use their own labor to reduce 

the total construction cost of their 

homes and complete construction work 

on their homes by an exchange of labor 

with one another. 

i. Eligible Activities. You must use the 

SHOP funds for eligible activities (see 

Sections III.C.1 and IV.E.) and carry out 

the activities yourself or fund affiliates 

to carry out the activities. 

3. Threshold Submission Requirements. 

In order for your application to be 

rated and ranked, all threshold 

requirements must be met. Threshold 

requirements 2(d) through (i) above do 

not require separate submissions, but 

must be addressed in the program 

summary and/or in the submission 

requirements for the rating factors listed 

below in Section V, Application Review 

Information Criteria. 

4. Other Requirements. 

Other requirements applicable to the 

SHOP program are set forth in Section 

III.C.4, ‘‘Additional Nondiscrimination 

and Other Requirements’’ of the General 

Section. The following requirements 

also apply to SHOP: 

a. Economic Opportunities for Lowand Very Low-Income Persons (Section 

3). SHOP recipients must comply with 

Section 3 of the Housing and Urban 

Development Act of 1968 (Section 3), 12 

U.S.C. 170lu (Economic Opportunities 

for Low- and Very Low-Income Persons 

in Connection with Assisted Projects), 

and the HUD regulations at 24 CFR part 

135, including the reporting 

requirement of subpart E. Section 3 

requires recipients to ensure that to the 

greatest extent feasible, training, 

employment, and other economic 

opportunities will be directed to lowand very-low income persons, 

particularly those who are recipients of 

government assistance for housing, and 

to business concerns that provide 

economic opportunities to low- and 

very-low income persons. 

b. Real Property Acquisition and 

Relocation. SHOP projects are subject to 

the Uniform Relocation Assistance and 

Real Property Acquisition Policies Act 

of 1970, as amended (Uniform Act or 

URA) (42 U.S.C. 4601), and the 

government-wide implementing 

regulations issued by the U.S. 

Department of Transportation at 49 CFR 

Part 24. The URA is a federal law that 

establishes minimum standards for 

federally-funded programs and projects 

that require the acquisition of real 

property (real estate) or displace persons 

from their homes, businesses, or farms. 

The URA’s protections and assistance 

apply to the acquisition, rehabilitation, 

or demolition of real property for federal 

or federally funded projects. 

SHOP grantees and affiliates must 

comply with all applicable URA 

requirements in order to receive SHOP 

funds for their programs and projects; 

non-compliance could jeopardize SHOP 

funding. Real property acquisitions for a 

SHOP-assisted program or project 

conducted before completion of an 

environmental review and HUD’s 

approval of a request for release of funds 

and environmental certification are also 

subject to the URA. SHOP grantees and 

affiliates must ensure that all such real 

property acquisitions comply with 

applicable URA requirements. 

Generally, real property acquisitions 

conducted without the threat or use of 

eminent domain, commonly referred to 

as ‘‘voluntary acquisitions,’’ must satisfy 

the applicable requirements and criteria 

of 49 CFR 24.101(b)(1) through (5). 

Evidence of compliance with these 

requirements must be maintained by the 

affiliate and submitted to and 

maintained by the SHOP grantee. It is 

also important to note that tenants who 

occupy property that may be acquired 

through voluntary means must be fully 

informed of their eligibility for 

relocation assistance. This includes 

notifying such tenants of their potential 

eligibility when negotiations are 

initiated, notifying them if they become 

fully eligible, and, in the event the 

purchase of the property will not occur, 

notifying them that they are no longer 

eligible for relocation benefits. Evidence 

of compliance with these requirements 

must be maintained by the affiliate and 

submitted to and maintained by the 

SHOP grantee. 

Additional information and resources 

pertaining to real property acquisition 

and relocation for HUD-funded 

programs and projects are available on 

HUD’s Real Estate Acquisition and 

Relocation Web site at http:// 

www.hud.gov/relocation. You will find 

applicable laws and regulations, policy 

and guidance, publications, training 

resources, and a listing of HUD contacts 

if you have questions or need assistance. 

c. Environmental Requirements. The 

environmental review requirements for 

SHOP supersede the environmental 

requirements in the General Section. All 

SHOP assistance is subject to the 

National Environmental Policy Act of 

1969 and related federal environmental 

authorities and regulations at 24 CFR 

part 58. SHOP grant applicants are 

cautioned that no activity or project may 

be undertaken, or federal or non-federal 

funds or assistance committed, if the 

project or activity would limit 

reasonable choices or could produce an 

adverse environmental impact, until all 

required environmental reviews and 

notifications have been completed by a 

unit of general local government, tribe, 

or State, and until HUD approves a 

recipient’s request for release of funds 

under the environmental provisions 

contained in 24 CFR part 58. 

Notwithstanding the preceding 

sentence, in accordance with section 

11(d)(2)(A) of the Housing Opportunity 

Extension Act of l996 and HUD Notice 

CPD–01–09, an organization, 

consortium, or affiliate may advance 

non-grant funds to acquire land before 

completion of an environmental review 

and HUD’s approval of a request for 

release of funds and environmental 

certification. Any advances to acquire 

land prior to such approval are made at 

the risk of the organization, consortium, 

or affiliate, and reimbursement from 

SHOP funds for such advances will 

depend on the result of the 

environmental review. 

d. Statutory and Program 

Requirements. SHOP is governed by 

Section 11 of the Housing Opportunity 

Program Extension Act of 1996 (42 

U.S.C. 12805 note) (the Extension Act), 

and this NOFA. There are no program 

regulations. You must comply with all 

statutory requirements applicable to 

SHOP as cited in Section I, Funding 

Opportunity Description, and the 

program requirements cited in this 

NOFA. Pursuant to these requirements, 

you must: 

(1) Develop, through significant 

amounts of sweat-equity by each 

homebuyer and volunteer labor, at least 

30 dwelling units at an average cost of 

no more than $15,000 per unit of SHOP 

funds for land acquisition and 

infrastructure improvements; 

(2) Use your grant to leverage other 

sources of funding, including private or 

other public funds, to complete 

construction or rehabilitation of the 

housing units; 

(3) Develop quality dwellings that 

comply with local building and safety 

codes and standards that will be made 

available to homebuyers at prices below 

the prevailing market price; 

(4) Schedule SHOP activities to 

expend all grant funds awarded and 

substantially fulfill your obligations 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11653 

under your grant agreement, including 

timely development of the appropriate 

number of dwelling units. Grant funds 

must be expended within 24 months of 

the date that they are first made 

available for draw-down in a line of 

credit established by HUD for the 

grantee, except that grant funds 

provided to affiliates that develop five 

or more units must be expended within 

36 months; and 

(5) Not require a homebuyer to make 

an up-front financial contribution to a 

housing unit other than cash 

contributed for down payment or 

closing costs at the time of acquisition. 

IV. Application and Submission 

Information 

A. Address To Request Application 

Package 

This NOFA contains all the 

information necessary for national and 

regional nonprofit organizations and 

consortia to submit an application for 

SHOP funding. This section describes 

how you may obtain application forms 

and additional information about the 

SHOP program NOFA. Copies of the 

published SHOP NOFA and related 

application forms for this NOFA may be 

downloaded from the grants.gov Web 

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

applicants/apply_for_grants.jsp. If you 

have difficulty accessing the 

information, you may receive customer 

support from Grants.gov by calling its 

help desk at (800) 518–GRANTS or by 

sending an e-mail to 

support@grants.gov. If you do not have 

Internet access and you need to obtain 

a copy of this NOFA, you may contact 

HUD’s NOFA Information Center tollfree at (800) HUD–8929. Individuals 

with hearing or speech impairments 

may access this number via the toll-free 

Federal Information Relay Service at 

800–877–8339. 

1. Application Kit. There is no 

application kit for this program. All the 

information you need to apply is 

contained in this NOFA and is available 

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

apply_for_grants.jsp. The NOFA forms 

are available to be downloaded from 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. Pay attention to 

the submission requirements and format 

for submission specified for this NOFA 

to ensure that you have submitted all 

required elements of your application. 

The published Federal Register 

document is the official document that 

HUD uses to solicit applications. 

Therefore, if there is a discrepancy 

between any materials published by 

HUD in its Federal Register 

publications and other information 

provided in paper copy, electronic copy, 

or at www.grants.gov, the Federal 

Register publication prevails. Be sure to 

review your application submission 

against the requirements in the Federal 

Register for this NOFA. 

2. Guidebook and Further 

Information. See the General Section. 

B. Content and Form of Application 

Submission 

You must meet all application and 

submission requirements described in 

the General Section. Your application 

should consist of the items listed in the 

section below called Assembly Format 

and Content. HUD’s standard forms can 

be found in the application located on 

Grants.gov. 

1. Page Limits. There are page limits 

for responses to the five rating factors. 

A national or regional organization is 

limited to 40 pages of narrative to 

respond to the five rating factors. A 

consortium is permitted up to 5 

additional pages to address the past 

experiences of its individual consortium 

members. Required appendices, forms, 

certifications, statements, and 

assurances are not subject to the page 

limitations. All pages must be numbered 

sequentially 1 through 40 or 45, for 

factors 1 through 5. Your application 

may contain only the items listed in the 

Assembly Format and Content checklist 

below. In responding to the five factors, 

information must be included in your 

narrative response to each factor, unless 

this NOFA states that it should be 

included as an appendix. If you are 

submitting material using the fax 

method described in the General 

Section, the narrative should refer to the 

documents being faxed as part of your 

narrative response to the factor. Any 

supplemental information not required 

in the program summary, narratives or 

appendices requested by HUD that 

further explains information required in 

the five factors will not be reviewed for 

consideration in the scoring of the 

application. 

2. Assembly Format and Content. 

Your FY2007 application will be 

composed of an Application Overview, 

Narrative Statements (rating factors), 

Forms, and Appendices. In order to 

receive full consideration for funding, 

you should use the following checklist 

to ensure that all requirements are 

addressed and submitted with your 

electronic application. 

a. Application Overview (Not subject 

to the page limitations) 

lllSF–424, Application for Federal 

Assistance (signed by the Authorized 

Organization Representative (AOR) who 

is legally authorized to submit the 

application on behalf of the applicant 

and has been approved by the eBusiness 

Point of Contact to submit the 

application via Grants.gov. (See the 

General Section.) 

lllSF–424 Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424–SUPP)’’ on Grants.gov). 

lllSelf-Help Housing Organization 

Qualification—Narrative describing 

qualification as an eligible applicant 

and Evidence of Nonprofit Tax Exempt 

Status (in accordance with Section III.C. 

of this NOFA). 

lllConsortium Agreement, if 

applicable. 

lllProgram Summary (including 

definition of ‘‘annual income’’). 

b. Narrative Statements Addressing: 

(Subject to the page limitations 

described above.) 

lllFactor 1—Capacity of the 

Applicant and Relevant Organizational 

Staff (including organizational chart). 

lllFactor 2—Need/Extent of the 

Problem (limited to five pages). 

lllFactor 3—Soundness of 

Approach. 

lllFactor 4—Leveraging Resources. 

lllFactor 5—Achieving Results and 

Program Evaluation. 

c. Forms, Certifications, and 

Assurances: (Not subject to the page 

limitations.) 

lllHUD–424–CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov). 

lllHUD–424–CBW, Grant 

Application Detailed Budget Worksheet. 

lllSF–LLL, Disclosure of Lobbying 

Activities, as applicable. 

lllHUD–2880, Applicant/Recipient 

Disclosure/Update Report. (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov). 

lllHUD–2990, Certification of 

Consistency with the RC/EZ/EC–II 

Strategic Plan. 

lllHUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) required for electronic 

submissions of third party documents. 

lllHUD–2994–A, You Are Our 

Client Grant Applicant Survey 

(optional) 

lllHUD–96010, Program Outcome 

Logic Model. 

d. Appendices (Not subject to the 

page limitations.) 

lllA copy of your code of conduct 

(see the General Section). 

lllLeveraging documentation—firm 

commitment letters (see factor 4). 

lllSurvey of potential affiliates, if 

applicable (see factor 2). 

lllDemonstration of past 

performance for new applicants (see 

factor 5). 


rwilkins on PROD1PC63 with NOTICES_2
11654 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

lllHUD–27300, Questionnaire for 

HUD’s Initiative on Removal of 

Regulatory Barriers (‘‘HUD 

Communities Initiative Form’’ on 

Grants.gov), if applicable. (See factor 3.) 

lllEvaluative criteria for Removal of 

Regulatory Barriers to Affordable 

Housing in affiliate selection process, if 

applicable (see factor 3). 

Other information should not be 

submitted and will not be considered in 

scoring the application. 

e. Certifications and Assurances. 

Applicants are placed on notice that by 

signing the SF–424 cover page noted 

above in 2.a., Application Overview, the 

applicant is certifying to all information 

described in Section IV.F of the General 

Section. 

C. Submission Date and Time 

The electronic application must be 

received and validated no later than 

11:59:59 p.m. Eastern time by 

Grants.gov on the application deadline 

date, which is June 13, 2007. The 

validation process may take up to 72 

hours. If an applicant is granted a 

waiver to the electronic application 

submission requirement, the application 

must be received at HUD Headquarters 

by the application deadline date, which 

is June 13, 2007 (see General Section). 

D. Intergovernmental Review 

Executive Order 12372 review does 

not apply to SHOP. 

E. Funding Restrictions 

1. Administrative costs. 

Administrative costs may not exceed 20 

percent of any SHOP grant. Indirect 

costs may only be charged to the SHOP 

grant under a cost allocation plan 

prepared in accordance with OMB 

Circular A–122. 

2. Pre-agreement costs. After the 

publication date of the NOFA, but 

before the effective date of the SHOP 

Grant Agreement, an applicant and 

affiliates, if permitted by the applicant, 

may incur costs that may be charged to 

their SHOP grant, provided the costs are 

eligible (see Section III.C.1.) and in 

compliance with the requirements of 

this NOFA (including relocation and 

environmental review requirements) 

and the application. Applicants and 

affiliates incur costs at their own risk, 

because applicants that do not receive a 

SHOP grant cannot be reimbursed or 

reimburse affiliates. To be eligible for 

reimbursement with SHOP funds, preagreement costs must be identified in 

the application. 

3. Ineligible Costs. Costs associated 

with the rehabilitation, improvement, or 

construction of dwellings and any other 

costs not identified in Section III.C.1. 

are not eligible uses of SHOP funds. 

Acquiring land for land banking 

purposes (i.e., holding land for an 

indefinite period) is an ineligible use of 

program funds. Acquisition undertaken 

by the applicant or its affiliate before the 

publication date of the NOFA is not an 

eligible cost. SHOP funds may not be 

expended on a property unless its 

acquisition by the grantee, (includes 

individual consortium members), or its 

affiliates complies with the Uniform 

Relocation Assistance and Real Property 

Acquisition Policies Act of 1970 (URA). 

SHOP funds may not be used for 

lobbying activities. These requirements 

also apply to the reimbursement of preagreement costs (see Section IV.E.2). 

F. Other Submission Requirements 

You must meet all submission 

requirements described in the General 

Section. Refer to the General Section for 

detailed submission instructions, 

including methods and deadlines for 

submission. 

1. No Facsimiles or Videos. HUD will 

not accept an entire application sent by 

facsimile (fax). However, third-party 

documents or other materials sent by 

facsimile in compliance with the 

submission requirements and received 

by the application submission date will 

be accepted. Facsimile corrections to 

technical deficiencies will not be 

accepted. Videos submitted as part of an 

application will not be viewed. 

2. Applications must be received and 

validated by Grants.gov by the 

application deadline date. 

3. Waivers to the Electronic 

Submission Process: Applicants may 

request a waiver of the electronic 

submission process for good cause (see 

the General Section for more 

information). Applicants may submit 

waiver requests by facsimile or by email no later than 15 days prior to the 

June 13, 2007, application due date. 

Applicants may e-mail their requests to 

Louise_D._Thompson@hud.gov or send 

a facsimile to Lou Thompson at (202) 

708–1744. Requests should include a 

subject line titled ‘‘SHOP—Electronic 

Application Waiver Request.’’

Applicants who are granted a waiver 

based on a HUD-approved justification 

must submit their applications in 

accordance with the requirements stated 

in the approval to the waiver request. 

V. Application Review Information 

A. Criteria 

Rating Factor l: Capacity of the 

Applicant and Relevant Organizational 

Staff (25 Points) 

This factor examines the extent to 

which you, as a single applicant or 

consortium (including individual 

consortium members), have the 

experience and organizational resources 

necessary to carry out the proposed 

activities effectively and in a timely 

manner. Any applicant that does not 

receive at least 15 points under this 

factor will not be eligible for funding. 

In evaluating this factor, HUD will 

consider your recent (last five years) and 

relevant experience in carrying out the 

activities you propose (including 

experience in developing accessible/ 

visitable housing), and your 

administrative and fiscal management 

capability to administer the grant, 

including the ability to account for 

funds appropriately. All applicants, 

including individual consortium 

members, must have capacity and 

experience in administering or 

facilitating self-help housing. If you are 

sponsoring affiliate organizations that 

do not have experience in developing 

self-help housing, HUD will assess your 

organization’s experience in providing 

technical assistance and the ability to 

mentor new affiliates. 

Submission Requirements for Rating 

Factor 1 

a. Past Experience (10 points). You 

must describe the past experience (most 

recent five years) of your organization in 

carrying out self-help housing activities 

(specify the time frame during which 

these activities occurred) that are the 

same as, or similar to, the activities you 

propose for funding, and demonstrate 

that you have had reasonable success in 

carrying out and completing those 

activities. You must include the average 

number of sweat equity hours provided 

per homebuyer family, and the average 

number of volunteer labor hours 

provided per unit. You may 

demonstrate reasonable success by 

showing that your previous activities 

were carried out as proposed, consistent 

with the time frame you proposed for 

completion of all work. 

b. Management Structure (12 points). 

You must provide a description of your 

organization’s or consortium’s 

management structure, including an 

organizational chart that identifies all 

key management positions and the 

names and positions of staff managing 

SHOP. You must also describe your key 

staff and their specific roles and 

responsibilities for the day-to-day 

management of your proposed program 

to be funded from FY2007 SHOP funds. 

You must indicate if you will or will not 

be working with organizations that are 

inexperienced in carrying out self-help 

housing and describe the technical 

assistance you will provide them and 

how you will mentor these 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11655 

organizations to develop capacity either 

directly or indirectly resulting in 

development of FY2007 SHOP-assisted 

units. 

c. Experience Developing Accessible 

Housing (3 points). You must 

demonstrate your experience in and 

ability to construct and alter self-help 

housing by describing the kinds of 

features you have used to design homes 

in accordance with universal design and 

visitability standards, or to otherwise 

make homes physically accessible. You 

must provide yearly data for the last five 

years on the number of accessible units 

completed. 

Rating Factor 2: Need/Extent of the 

Problem (10 Points) 

This factor examines the extent to 

which you demonstrate an urgent need 

for SHOP funds in your proposed target 

areas based on the need for affordable 

housing, using quality data identified by 

sources to substantiate that need. 

The purpose of this factor is to make 

sure that funding is provided where a 

need for funding exists. You must 

identify the community need or needs 

that your proposed SHOP activities are 

designed to address. If you plan to select 

some or all affiliates after application 

submission, you must demonstrate how 

the selection of affiliates will help to 

address the needs identified in the 

proposed target areas. 

Submission Requirements for Rating 

Factor 2 (Five Page Limit) 

Extent of Need for Affordable Housing 

(10 points). You must establish the need 

for affordable housing and the specific 

need for SHOP funds in the 

communities or areas in which your 

proposed activities will be carried out. 

You must specifically address the need 

for acquisition and/or infrastructure 

assistance for self-help housing 

activities in these identified areas and 

how your proposed SHOP activities 

meet these needs. Also, to the extent 

information is available, you must 

address the need for accessible homes in 

the target area(s); evidence of housing 

discrimination in the target area(s); and 

any need for housing shown in the local 

Analysis of Impediments to Fair 

Housing Choice, if appropriate. This 

information must be tied to the 

examples of housing problems that are 

noted in b. below. Applicants that select 

affiliates after application submission 

must submit a list of affiliates they 

surveyed and upon which they are 

basing their need for SHOP funding, and 

the specific criteria to be used to select 

communities or projects based on need. 

In reviewing applications, HUD will 

consider the extent, quality, and validity 

of the information and data submitted 

that addresses the need for affordable 

housing in the target area and how 

recent the data sources are. ‘‘Recent’’

means the most recent updated U.S. 

Census data, as appropriate, and other 

information and data issued within the 

last five years of this NOFA that address 

indicators of social or economic decline 

that best capture the applicant’s 

situation. Such information must 

include: 

a. Housing market data in the 

proposed target areas including, but not 

limited to: low-income, minority, and 

disability populations; number of home 

sales and median sales price; and 

homeownership, rental, and vacancy 

rates. This information can be obtained 

from state or regional housing plans, the 

American Housing Survey, the United 

States Census, Home Mortgage 

Disclosure Act data or other local data 

sources, such as Consolidated Plans, 

comprehensive plans, local tax assessor 

databases, or relevant realtor 

information. Data included in your 

application must be recent and specific 

to your proposed target areas; and 

b. Housing problems in the proposed 

target areas such as overcrowding, cost 

burden, housing age or deterioration, 

low homeownership rate (especially 

among minority families, families with 

children, and families with members 

with disabilities), and lack of adequate 

infrastructure or utilities. 

Rating Factor 3: Soundness of Approach 

(45 Points) 

This factor examines the quality and 

soundness of your plan to carry out a 

self-help housing program. In evaluating 

this factor, HUD will consider the areas 

described below: 

a. Your proposed use of SHOP funds, 

including the number of units and the 

type(s) of housing to be constructed, and 

the use of sweat equity and volunteer 

labor; your schedule for expending 

funds and completing construction, 

including interim milestones; the 

proposed budget and cost effectiveness 

of your program; your plan to reach all 

potentially eligible homebuyers, 

including those with disabilities and 

others least likely to apply; and your 

procedures for meeting section 3 

requirements. 

b. How your planned activities further 

five of eight HUD policy priorities 

described in the General Section. The 

five policy priorities that apply 

specifically to SHOP in FY2007 are: 

(1) Providing increased 

homeownership opportunities for lowand moderate-income persons, persons 

with disabilities, the elderly, minorities, 

and families with limited English 

proficiency; 

(2) Encouraging accessible design 

features: visitability in new construction 

and substantial rehabilitation and 

universal design; 

(3) Providing full and equal access to 

grassroots, faith-based, and other 

community-based organizations in HUD 

program implementation; 

(4) Participation in Energy Star; and 

(5) Removal of regulatory barriers to 

affordable housing. 

c. How you plan to meet section 3 

requirements for jobs and training and 

contracting opportunities for SHOPfunded infrastructure improvements. 

Submission Requirements for Rating 

Factor 3 

Activities. Describe the types of 

activities that you propose to fund with 

SHOP and the proposed number of units 

to be assisted with SHOP funding, the 

housing type(s) (single family or 

multifamily, or both) to be assisted and 

the form of ownership (fee simple, 

condominium, cooperative, etc.) you 

propose to use. 

a. Sweat Equity and Volunteer Labor 

(7 points). Describe your program’s 

requirements for sweat equity and 

volunteer labor (i.e., types of tasks and 

numbers of hours required for both 

sweat equity and volunteer labor) and 

how you will provide reasonable 

accommodations for persons with 

disabilities by identifying sweat equity 

assignments that can be performed by 

the homebuyer regardless of the 

disability, such as providing 

administrative, clerical, organizational, 

or other office work or minor tasks onsite. Reasonable accommodation can 

include sweat equity by the homebuyer 

that can be performed regardless of the 

disability or substitution of a nonhomebuyer designee(s) to perform the 

sweat equity assignments on behalf of 

the homebuyer. Volunteers substituting 

for disabled homebuyers must enter into 

an agreement to complete the work on 

behalf of the homebuyers. Include the 

dollar values of both the sweat equity 

and volunteer labor contributions. 

b. Funds Expenditure, Construction, 

and Completion Schedules (7 points). 

Submit a construction and completion 

schedule that expends SHOP funds and 

substantially fulfills your obligations if 

you are funded. You must provide a 

definition of ‘‘substantially fulfills’’ and 

specifically state the percentage or 

number of properties that you propose 

to be completed and conveyed to 

homebuyers at the time all grant funds 

are expended. Your construction 

schedule must include the number of 

dwelling units to be completed within 


rwilkins on PROD1PC63 with NOTICES_2
11656 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

24 months or, in the case of affiliates 

that develop five or more units, within 

36 months, and a time frame for 

completing any unfinished units. 

Your schedule must also include 

interim milestones or benchmarks 

against which HUD can measure your 

progress in: (1) Selecting local affiliates 

if they are not specifically identified in 

the application, (2) expending funds, 

and (3) completing acquisition, 

infrastructure, and housing construction 

activities, and occupancy by 

homebuyers within these schedules. 

These milestones or benchmarks should 

be established at reasonable intervals 

(e.g., monthly, quarterly). 

c. Budget (7 points). Provide a 

detailed budget including a breakdown 

for each proposed task and each budget 

category (acquisition, infrastructure 

improvements, and administration) 

funded by SHOP in the HUD–424–CB 

and 424–CBW. You must include a line 

item for the cost of monitoring 

consortium members and affiliates at 

least once during the grant period. Your 

detailed budget must also include 

leveraged funding to cover costs of 

completing construction of the proposed 

number of units. Budget amounts on the 

HUD–424–CB and 424–CBW must agree 

with amounts stated elsewhere in the 

application. 

d. Cost Effective (6 points). 

Demonstrate the extent to which after 

the investment of SHOP funds, the 

contribution of sweat equity and 

volunteer labor, donations (e.g. land or 

building materials, etc.), in-kind 

contributions, and financing subsidies, 

reduces the average sales price to the 

homebuyer below the appraised value of 

the house or market value of comparable 

housing in the neighborhood. 

Applicants showing a larger reduction 

of the sales price to the homebuyer from 

the appraised value as a result of the 

homebuyer’s sweat equity, volunteer 

labor, and other contributions will 

receive a higher score. 

e. Policy Priorities (6 points). Describe 

how each of the five HUD policy 

priorities identified specifically for 

SHOP is furthered by your proposed 

activities. You will receive up to one 

point for each of the first four policy 

priorities based on how well your 

proposed work activities address the 

specific policy. You can receive up to 

two points based on how well you 

address policy priority 5, removal of 

regulatory barriers to affordable 

housing, for which you must submit 

form HUD–27300 (America’s Affordable 

Communities Initiative, Questionnaire 

for HUD’s Initiative on Removal of 

Regulatory Barriers) and where 

required, provide the documentation 

and point of contact information. 

Applicants are encouraged to read 

HUD’s notices published in the Federal 

Register on March 22 (69 FR 13450) and 

April 21 (69 FR 21663), 2004, to obtain 

an understanding of this policy priority 

and how it can impact your score. There 

are exceptions as provided below. 

Applicants that identify affiliate 

organizations and jurisdictions to be 

served in their application to HUD 

should address the questions in Part A 

or Part B, but not both, of form HUD–

27300 for the jurisdiction in which the 

majority or plurality of services will be 

performed. 

Applicants that do not identify 

affiliates and communities to be served 

in their application to HUD, but select 

affiliates competitively or through 

another method after application 

submission to HUD, may address this 

policy priority by including it as an 

evaluative criterion in their affiliate 

selection process. Such applicants may 

receive up to 2 points by requiring 

affiliate applicants for the awarded 

SHOP funds to complete the questions 

in either Part A or B, as appropriate. In 

order to receive points, applicants that 

identify affiliates after application 

submission must include their 

evaluative criterion as an appendix, 

and, if awarded SHOP funds in FY2006, 

must demonstrate how the evaluative 

criteria that were included in your 

FY2006 application were implemented. 

You must also describe how the 

evaluative criteria in your FY2006 

SHOP program affected or will affect the 

selection and funding of affiliates for 

FY2007, to the extent this has been 

completed. The narrative for your 

evaluative criteria does not count 

against the page limits described in 

Section IV.B.1., Page Limits. 

Applicants applying for funds for 

projects located in local jurisdictions 

and counties/parishes are invited to 

answer the 20 questions under Part A. 

An applicant that scores at least five 

points in column 2 will receive 1 point 

in the NOFA evaluation. An applicant 

that scores 10 points or more in column 

2 will receive 2 points in the NOFA 

evaluation. The community(ies) must be 

identified on the form HUD–27300. 

Applicants applying for funds for 

projects located in unincorporated areas 

or areas otherwise not covered in Part A 

are invited to answer the 15 questions 

in Part B. Under Part B, an applicant 

that scores at least 4 points in Column 

2 will receive 1 point in the NOFA 

evaluation. An applicant that scores 8 

points or greater will receive a total of 

2 points in the evaluation. The 

community(ies) must be identified on 

the form HUD–27300. 

A limited number of questions on 

form HUD–27300 expressly request the 

applicant to provide brief 

documentation with its response. Other 

questions require that, for each 

affirmative statement made, the 

applicant supply a reference, Web site 

address, or brief statement indicating 

where the back-up information may be 

found, and a point of contact including 

a telephone number or email address. 

To receive points for this priority, 

applicants must provide this additional 

information, including separate contact 

information if the contacts are different 

for the individual questions. If the 

contact is the same, please note that is 

the case. 

f. Program Outreach (5 points). 

Describe materials or services that will 

be used to reach potential homebuyers, 

including persons least likely to apply. 

For example, what alternative formats 

will be used to reach persons with a 

variety of disabilities and what language 

accommodations will be made for 

persons with limited English 

proficiency. 

g. Performance and Monitoring (5 

points). Describe your plan for 

overseeing the performance of 

consortium members and affiliates, 

including a plan for monitoring each 

consortium member and affiliate for 

program compliance at least once 

during the term of the grant. Your plan 

should address when and how you will 

shift funds among consortium members 

and affiliates to ensure timely and 

effective use of SHOP funds within the 

schedule submitted for item b. above. 

h. Section 3 Procedures (2 points). 

Under section 3 of the Housing and 

Urban Development Act of 1968, to the 

greatest extent feasible, opportunities 

for job training and employment arising 

in connection with housing 

rehabilitation, housing construction, or 

other public construction projects must 

be given to low- and very low-income 

persons in the metropolitan area (or 

non-metropolitan county) in which the 

project is located. In addition, to the 

greatest extent feasible, contracts for 

work to be performed in connection 

with housing rehabilitation, housing 

construction, or other public 

construction projects are given to 

business concerns that provide 

economic opportunities for low- and 

very low-income persons in the 

metropolitan area (or non-metropolitan 

county) in which the project is located. 

The regulations implementing section 3 

are found at 24 CFR Part 135. Because 

SHOP funds may only be used for 

acquisition and infrastructure 

improvements, section 3 requirements 

apply only to SHOP projects for which 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11657 

the amount of SHOP funds for the 

infrastructure improvements (together 

with any other covered section 3 

housing and community development 

assistance for infrastructure) meets the 

threshold amount of $200,000. Based on 

the SHOP maximum average investment 

of $15,000 per unit, section 3 would 

generally only apply to a SHOP project 

with at least 14 units where the entire 

SHOP amount (if no other covered 

section 3 housing and community 

development assistance is provided to 

the grantee or affiliate for infrastructure) 

is $200,000 or more. 

Regardless of whether the Section 3 

threshold is met, all applicants are 

required to describe procedures they 

have in place for section 3 compliance 

in the event that they meet the section 

3 threshold in carrying out their 

proposed FY2007 SHOP activities. You 

must clearly explain your procedures 

for complying with these requirements 

(1) for projects you will undertake 

directly, and (2) for projects to be 

undertaken by affiliates. In the case of 

projects undertaken by affiliates, your 

procedures must state how you will 

inform affiliates of their responsibilities 

under section 3 and how you will 

monitor compliance. One point will be 

awarded for addressing job training and 

employment opportunities. One point 

will be awarded for addressing 

contracting opportunities. 

Rating Factor 4: Leveraging Resources 

(10 Points) 

This factor addresses your ability to 

secure other resources that can be 

combined with HUD’s program 

resources to fully fund your proposed 

program. When combined with the 

SHOP grant funds, homebuyer sweat 

equity, and volunteer labor, your 

leveraged resources must be sufficient to 

develop the number of units proposed 

in your application. HUD will consider 

only those leveraging contributions for 

which current firm commitments as 

described in this factor are submitted. A 

firm commitment means a written 

agreement under which the applicant, a 

partner, or an entity agrees to perform 

services or provide resources for an 

activity specified in your application. 

Firm commitments in the form of cash 

funding (e.g., grants or loans), in-kind 

contributions, donated land and 

construction materials, and donated 

services will count as leverage. 

Leveraging does not include the dollar 

value of sweat equity and volunteer 

labor for your proposed activities. 

Leveraging does not include financing 

provided to homebuyers. However, 

financing provided through the U.S. 

Department of Agriculture’s Section 502 

direct loans to homebuyers, for 

construction of their dwellings counts 

as leveraging for mutual self-help 

housing programs. Firm commitments 

must be substantiated by the 

documentation described below. 

Submission Requirements for Rating 

Factor 4 

Firm Commitments of Resources (10 

points). Provide firm commitments 

(letters, agreements, pledges, etc.) of 

leveraged resources or services from the 

source of the commitment. In order to 

be considered, leveraged resources or 

services must be committed in writing 

and include your organization’s name, 

the contributing organization’s name 

(including designation as a federal, 

state, local, or private source), the 

proposed type of commitment, and the 

dollar value of the commitment as it 

relates to your proposed FY2007 SHOPfunded activities. Each letter of 

commitment must be signed by an 

official of the organization legally able 

to make the commitment on behalf of 

the organization. See Other Submission 

Requirements, of the General Section 

regarding the procedures for submitting 

third-party documentation. Each letter 

of commitment must specifically 

support your FY2007 SHOP application 

or specific projects in your FY2007 

application. If your organization 

depends upon fundraising and 

donations from unknown sources/ 

providers, you must submit a separate 

letter committing a specific amount of 

dollars in fundraising to your proposed 

FY2007 SHOP program. Applicants 

must ensure that duplicate letters for 

fundraising amounts are not submitted 

by both the applicant and its affiliates. 

Also, if you have received funds from 

organizations and agencies from 

previous years that are not committed to 

another activity and you have the sole 

discretion to commit these funds to your 

FY2007 SHOP program, you must 

submit a separate letter committing 

these dollars to your FY2007 SHOP 

program. In all instances, the dollar 

amount must be stated in the letters. 

Letters of commitment may be 

contingent upon your receiving a grant 

award. Letters of commitment must be 

included as an appendix to your 

application, and do not count toward 

the page limitation noted in Section 

IV.B.1. Unsigned, undated, or outdated 

letters, letters only expressing support 

of your organization or its proposal, or 

those not specifically stating the dollar 

amount or linking the resources to your 

FY2007 SHOP application or specific 

projects in your FY2007 application do 

not count as firm commitments. 

To receive full credit for leveraging, 

an applicant’s leveraging resources must 

be clearly identified for its FY2007 

SHOP application and must total at least 

50 percent of the amount shown on 

forms HUD–424–CB needed to complete 

all properties, minus the proposed 

SHOP grant amount, homebuyer sweat 

equity, and volunteer labor. 

Rating Factor 5. Achieving Results and 

Program Evaluation (10 Points) 

This factor assesses an applicant’s 

past performance and emphasizes 

HUD’s determination to track whether 

applicants meet commitments made in 

their applications. 

a. Past Performance. For applicants 

that previously received SHOP grants, 

HUD will assess your organization’s 

past performance based upon 

performance reports that demonstrate 

your organization’s completion of 

eligible SHOP activities, the number of 

families provided housing, financial 

status information focusing on timely 

use of funds, and other program 

outcomes. HUD will consider whether 

you had funds deobligated for failure to 

meet your drawdown and construction 

schedules or funds were returned 

because of monitoring findings or other 

program deficiencies. HUD may also use 

monitoring reports, audit reports, logic 

models, and other information available 

to HUD in making its determination 

under this factor. For applicants that 

received SHOP grants in previous years, 

HUD will assess your success in 

meeting benchmarks in the most recent 

3 full years of participation in the 

program. If you are not a current SHOP 

grantee, HUD will assess your 

performance in undertaking similar 

activities and identifying and meeting 

outcomes during the past three years. 

You must supplement your narrative 

with internal or external performance 

reports or other information that will 

assist HUD in making its determination 

under this factor. Supplemental 

information and reports from applicants 

that have not received SHOP grants do 

not count against the page limitations. 

b. Logic Model form HUD–96010. 

HUD requires SHOP applicants to 

develop an effective, quantifiable, 

outcome-oriented evaluation plan for 

measuring performance and 

determining whether goals have been 

met using the Master Logic Model for 

SHOP, which can be found in the 

download instructions portion at 

www.grants.gov. In preparing your Logic 

Model, you must first open the form 

HUD–96010 and go to the instruction 

tab and follow the directions in the tab. 

‘‘Outcomes’’ are benefits accruing to the 

families and/or communities during or 


rwilkins on PROD1PC63 with NOTICES_2
11658 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

after participation in SHOP. The selfhelp housing units developed are 

outputs as described under this factor, 

not outcomes. Applicants must clearly 

identify the outcomes to be achieved 

and measured. Examples of outcomes 

for SHOP include increasing the 

homeownership rate in a neighborhood 

or among low-income families by a 

certain percentage, increasing financial 

stability (e.g., increasing assets of the 

low-income homebuyer households 

through home equity accumulation or 

reducing total housing costs compared 

to rents that SHOP participants 

previously paid) or increasing housing 

stability during and beyond the 

grantee’s period for reporting on 

property completions. See Reporting in 

Section VI.C. Outcomes must be 

quantifiable. 

In addition, applicants must establish 

interim benchmarks for which outputs 

lead to the ultimate achievement of 

outcomes. ‘‘Outputs’’ are the direct 

products of the applicant’s program 

activities. Examples of outputs for 

SHOP include the number of houses 

constructed, number of sweat equity 

hours, or number of homes 

rehabilitated. Outputs should produce 

outcomes for your program and outputs 

must be quantifiable. 

‘‘Interim benchmarks’’ are steps or 

stages in your activities that, if reached 

or completed successfully, will result in 

outputs for your program. Examples of 

interim benchmarks for SHOP include 

income-qualifying homebuyers, 

obtaining building permits, or securing 

construction materials and equipment. 

Program evaluation requires that you 

identify program outcomes, outputs, 

benchmarks, and performance 

indicators that will allow you to 

measure your performance. Performance 

indicators must be objectively 

quantifiable and measure actual 

achievements against anticipated 

achievements. Your evaluation plan 

must identify what you are going to 

measure, how you are going to measure 

it, and the steps you have in place to 

make adjustments to your work plan if 

performance targets are not met within 

established time frames. This factor 

reflects HUD’s goal to embrace high 

standards of ethics, management, and 

accountability. Successful applicants 

will be required to periodically report 

on their progress in achieving the 

proposed outcomes identified in the 

application. Applicants should refer to 

the General Section for more 

information on the Master Logic Model. 

Submission Requirements for Rating 

Factor 5 

a. Past Performance (7 points). For 

applicants that received SHOP grants in 

previous years, you must summarize 

your past performance, including any 

delays you encountered and the 

mitigating actions taken to overcome 

them to successfully complete your 

program. HUD will measure your past 

performance using tools such as 

monitoring reports, audit reports, 

quarterly and annual reports, 

disbursement data, prior years’ logic 

models demonstrating success in 

meeting outputs and outcomes, and 

other information currently in-house 

against what you stated you would do 

in your previous applications and your 

summary. New applicants must provide 

a summary of your performance in 

carrying out self-help housing, 

including any delays you encountered 

and the mitigating actions taken to 

overcome them to successfully complete 

your program. Your narrative summary 

must be supported by existing internal 

or external performance reports or other 

information that will assist HUD in 

measuring your performance for 

carrying out self-help housing and 

demonstrating outcomes beyond the 

provision of housing units. The 

supplemental reports and information 

must be included as an appendix and 

will not count against the page 

limitations. 

b. Program Evaluation Plan (3 Points). 

The FY2007 application provides an 

eLogicModelTM that allows the 

applicant to select from drop down 

menus the elements of their program to 

be captured in the Logic Model. 

Instructions for the eLogic ModelTM are 

found in Tab 1 of the form HUD–96011 

found in the instructions download to 

your electronic application. The Master 

Logic Model listing also identifies the 

unit of measure that HUD will collect 

for the output and outcome selected. 

Applicants must identify a unit of 

measure and establish a goal for each 

output and outcome. HUD expects 

applicants to identify more than one 

output and outcome. You must 

summarize your program evaluation 

plan that measures your own program 

performance. Your plan must measure 

the performance of individual 

consortium members and affiliates, 

including the standards and 

measurement methods, and the steps 

you have in place or how you plan to 

make adjustments if you begin to fall 

short of established benchmarks and 

timeframes. Applicants who identify 

two or more outputs and outcomes that 

reflect their proposed activities and 

work plan and prepare an evaluation 

plan that meets these criteria will 

receive a higher score. For FY2007, 

HUD is considering a new concept for 

the Logic Model. The new concept is a 

Return on Investment (ROI) statement. 

HUD will be publishing a separate 

notice on the ROI concept. 

B. Review and Selection Process 

1. Factors for Award Used to Evaluate 

Applications. HUD will evaluate all 

SHOP applications that successfully 

complete technical processing and meet 

threshold and submission requirements 

for Factors 1 through 5. The maximum 

number of points awarded for the rating 

factors is 100 plus the possibility of an 

additional 2 bonus points for RC/EZ/ 

EC–II. 

2. RC/EZ/EC–II Bonus Points. 

Applicants may receive up to 2 bonus 

points for eligible activities that the 

applicant proposes to locate in federally 

designated Empowerment Zones (EZs), 

renewal communities (RCs), or 

enterprise communities (ECs) 

designated by the United States 

Department of Agriculture (USDA) in 

Round II (EC–IIs) that are intended to 

serve the residents of these areas and 

that are certified to be consistent with 

the area’s strategic plan or RC Tax 

Incentive Utilization Plan for an urban 

or rural renewal community designated 

by HUD (RC) on the strategic plan for an 

enterprise community designed in 

round II by USDA (EC–II). For ease of 

reference in this notice, all of the 

federally designated areas are 

collectively referred to as ‘‘RC/EZ/EC–

IIs’’ and the residents of these federally 

designated areas as ‘‘RC/EZ/EC–II 

residents.’’ The RC/EZ/EC–II 

certification, a valid HUD–2990 form, 

must be completed for an applicant to 

be considered for RC/EZ/EC–II bonus 

points. A list of RC/EZ/EC–IIs can be 

obtained from HUD’s grants Web site at 

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

fundsavail.cfm. Applicants can 

determine if their program or project 

activities are located in one of these 

designated areas by using the locator on 

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

crlocator. Copies of the certification can 

be found in the electronic application. 

The certification must be completed and 

signed by the appropriate official in the 

RC/EZ/EC–II for an applicant to be 

considered for RC/EZ/EC–II bonus 

points. In addition to the RC/EZ/EC–II 

certification, applicants must provide 

the location of the EC/EZ/EC–II (name 

of town, city, state, or other locale) if not 

otherwise identified on the certification, 

and the number of units to be developed 

within the RC/EZ/EC–II in order to 

receive credit. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11659 

RC/EZ/EC–II bonus points will be 

awarded as follows: 2 points to an 

applicant with over 25 percent of its 

proposed units in RC/EZ/EC–II; 1 point 

for 10 to 25 percent of units in RC/EZ/ 

EC–IIs; and 0 points below 10 percent 

of units in RC/EZ/EC–II zones. 

3. Rating. Applications that meet all 

threshold requirements listed in Section 

III.C will be rated against the criteria in 

Factors 1 through 5 and assigned a 

score. Applications that do not meet all 

threshold factors will be rejected and 

not rated. 

4. Ranking and Selection Procedures. 

Applications that receive a total of 75 

points or more (without the addition of 

RC/EZ/EC–II bonus points) will be 

eligible for selection. After adding any 

bonus points for RC/EZ/EC–IIs HUD 

will place applications in ranked order. 

HUD will consider ranked order, funds 

availability, and past performance in the 

selection and funding of applications. 

5. Technical Deficiencies. After the 

application submission date and 

consistent with regulations in 24 CFR 

part 4, subpart B, HUD may not consider 

any unsolicited information you may 

want to provide. However, HUD may 

contact you to clarify an item in your 

application or to correct technical 

deficiencies. In order not to 

unreasonably exclude applications from 

being rated and ranked, HUD may 

contact applicants to ensure proper 

completion of the application and will 

do so on a uniform basis for all 

applicants. However, HUD may not seek 

clarification of items or responses that 

improve the substantive quality of your 

response to any rating factor. 

Examples of curable (correctible) 

technical deficiencies include 

inconsistencies in the funding request, a 

failure to submit certifications. In each 

case, HUD will notify you in writing by 

describing the clarification or technical 

deficiency. See the General Section for 

additional information. 

6. HUD’s Strategic Goals to Implement 

HUD’s Strategic Frameworks and 

Demonstrate Results. See the General 

Section for HUD’s Strategic Goals. 

7. Policy Priorities. Refer to the 

General Section for information 

regarding application criteria addressing 

HUD’s policy priorities. 

Note: From all applications that receive 

SHOP funds, HUD intends to add relevant 

data obtained from the ‘‘Removal of 

Regulatory Barriers’’ policy priority factor to 

the database on state and local regulatory 

reform actions maintained at the Regulatory 

Barrier Clearinghouse Web site at http:// 

www.huduser.org.rbc/ used by states, 

localities, and housing providers to identify 

regulatory barriers and learn of exemplary 

local efforts at regulatory reform. 

VI. Award Administration Information 

A. Award Notices 

1. HUD reserves the right to: 

a. fund less than the amount 

requested by any applicant based on the 

application’s rank, the applicant’s past 

performance, and the amount of funds 

requested relative to the total amount of 

available funds; and/or 

b. fund less than the full amount 

requested by any applicant to ensure a 

fair distribution of the funds and the 

development of housing on a national, 

geographically diverse basis as required 

by the statute. 

HUD will not fund any portion of an 

application that is ineligible for funding 

under program threshold requirements 

in Section III.C or which does not meet 

other threshold and pre-award 

requirements in Section III.C. The 

minimum grant award shall be the 

amount necessary to complete at least 

30 units at an average investment of not 

more than $15,000 per unit or a lesser 

amount if lower costs are reflected in 

the application. If any funds remain 

after all selections have been made, 

these funds may be available for 

subsequent competitions. 

2. Debriefing. For a period of at least 

120 days, beginning 30 days after the 

awards for assistance are publicly 

announced, HUD will provide to a 

requesting applicant a debriefing related 

to its application. A debriefing request 

must be made in writing or by e-mail by 

its authorized official whose signature 

appears on the SF–424, or his or her 

successor in the office and submitted to 

Ms. Lou Thompson, Office of Affordable 

Housing Programs, U.S. Department of 

Housing and Urban Development, 451 

Seventh Street, SW., Room 7164, 

Washington, DC 20410–7000. 

Information provided during a 

debriefing will include, at a minimum, 

the final score you received for each 

rating factor, final evaluation comments 

for each rating factor, and the final 

assessment indicating the basis upon 

which assistance was provided or 

denied. 

B. Administrative and National Policy 

Requirements 

1. Grantees are required to comply 

with the following administrative and 

financial requirements: A–122 Cost 

Principles for Non-Profit Organizations; 

A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations); and the regulations at 24 

CFR part 84 (Grants and Agreements 

with Institutions of Higher Education, 

Hospitals, and other Non-Profit 

Organizations). 

2. Copies of the OMB Circulars may 

be obtained from EOP Publications, 

New Executive Office Building, Room 

2200, Washington, DC 20503, telephone 

(202) 395–3080 (this is not a toll-free 

number) or (800) 877–8339 (toll-free 

TTY Federal Information Relay Service) 

or from the Web site at http:// 

www.whitehouse.gov/omb/circulars/ 

index.html. 

3. Refer to all award administration 

information requirements described in 

Section VI (‘‘Award Administration 

Information’’) of the General Section. 

C. Reporting. Grantees are required to 

submit quarterly and annual 

(consortium members/affiliates) reports 

providing data on the construction 

status, unit characteristics, and income 

and racial and ethnic composition of 

homeowners in SHOP-funded 

properties. For each reporting period, as 

part of the required quarterly report to 

HUD, grant recipients must include a 

completed Logic Model (form HUD–

96010), which updates the output and 

outcome achievements identified in 

your application with which HUD can 

evaluate the effectiveness of the SHOP 

funding. Applicants are also required to 

report annually their response to the 

management questions contained in the 

eLogic ModelTM for the SHOP program. 

VII. Agency Contact 

Further Information and Technical 

Assistance. Before the application due 

date, HUD staff may provide general 

guidance and technical assistance about 

this NOFA. However, staff is not 

permitted to assist in preparing your 

application. Also, following selection of 

applicants, but before awards are 

announced, staff may assist in clarifying 

or confirming information that is a 

prerequisite to the offer of an award. 

You may contact Ms. Lou Thompson, 

SHOP Program Manager, Office of 

Affordable Housing Programs, 

Department of Housing and Urban 

Development, 451 Seventh Street, SW., 

Room 7164, Washington, DC 20410–

7000, telephone (202) 708–2684 (this is 

not a toll-free number). This number can 

be accessed via TTY by calling the tollfree Federal Information Relay Service 

Operator at (800) 877–8339. For 

technical support for downloading an 

application or electronically submitting 

an application, please call Grants.gov 

help desk at 800–518–GRANTS (this is 

a toll-free number) or send an e-mail to 

support@grants.gov. 

VIII. Other Information 

A. Review Sections VIII.A., B., E., F., 

and G. (‘‘Other Information’’) of the 

General Section, and note that these 


rwilkins on PROD1PC63 with NOTICES_2
11660 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

subsections are incorporated by 

reference into this NOFA. 

B. Paperwork Reduction Act. The 

information collection requirements 

contained in this document were 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2506–0157. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 60 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, quarterly 

and annual reports, and final report. 

The information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11661 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.022</GPH>
11662 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Housing Opportunities for Persons With 

AIDS (HOPWA) 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Community Planning and 

Development (CPD), Office of HIV/AIDS 

Housing. 

B. Funding Opportunity Title: 

Housing Opportunities for Persons With 

AIDS (HOPWA). 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: FR–

5100–N–04; OMB Approval Number 

2506–0133. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: 14.241 

Housing Opportunities for Persons With 

AIDS Program. 

F. Dates: The application deadline 

date is May 31, 2007. Applications 

submitted through http:// 

www.grants.gov must be received and 

validated by grants.gov no later than 

11:59:59 Eastern time on the application 

deadline date. The validation process 

may take up to 72 hours. Refer to the 

General Section for application 

submission and timely receipt 

requirements. 

G. Additional Information 

1. Purpose of the Program: To provide 

states and localities with the resources 

and incentives to devise long-term 

comprehensive strategies for meeting 

the housing needs of low-income 

persons with Human Immunodeficiency 

Virus/Acquired Immunodeficiency 

Syndrome (HIV/AIDS). Grant recipients 

will measure client outcomes to assess 

how housing assistance results in 

creating or maintaining stable housing, 

reduces risks of homelessness, and 

improves access to health care and other 

needed support. States, units of general 

local government, and nonprofit 

organizations interested in applying for 

funding under this grant program 

should carefully review the General 

Section and detailed information listed 

in this NOFA. 

2. Available Funds. Approximately 

$28,463,000 in FY2007 funding is made 

available under the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007). 

Funds for the renewal of expiring 

HOPWA competitive grants that have 

successfully undertaken permanent 

supportive housing projects will be 

distributed under a separate, simplified 

process, described in a separate notice 

from this NOFA. Funds under this 

NOFA will be made available after those 

awards with the remaining funds. This 

notice makes available funding for two 

types of HOPWA competitive grants for 

new projects: (1) Long-term project 

awards for housing activities to be 

conducted by eligible states and units of 

general local government in areas that 

are not eligible for formula allocations 

or in the balance of the state areas 

outside of eligible metropolitan 

statistical areas by a governmental 

agency that is not eligible to receive 

formula grants; and (2) awards for 

Special Projects of National Significance 

(SPNS) projects that will undertake 

housing service delivery models to 

provide HOPWA clients with improved 

stable housing arrangements by a 

governmental agency or an eligible 

nonprofit organization. 

As initiated in FY2006, the 

Department will again advise existing 

grantees that provide permanent 

supportive housing of the procedure for 

qualifying for additional funds as a 

renewal of an expiring HOPWA grant. 

Such grantees will not be required to 

submit an application under this 

competition for a renewal grant. 

3. Eligible Applicants. States, units of 

general local government, and nonprofit 

organizations are eligible to apply. 

4. Match. None. 

5. Authorities. HOPWA program 

regulations at 24 CFR Part 574 and the 

AIDS Housing Opportunity Act (42 

U.S.C. 12901–12912), govern the 

program. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description 

1. Long-Term Projects in Non-formula 

Areas. HUD will award funding for 

short-term, transitional and/or 

permanent supportive housing 

activities. These projects should 

improve stable housing arrangements 

for eligible persons who reside in areas 

that do not qualify for Fiscal Year (FY) 

2007 HOPWA formula allocations. 

Applications should be submitted by 

state or the unit of general local 

government undertaking activities in the 

balance of state areas outside of eligible 

metropolitan statistical areas. 

2. Special Projects of National 

Significance (SPNS). SPNS projects will 

provide assistance that stabilizes 

housing for eligible persons through 

model and/or innovative service 

delivery models. Consistent with the 

selection considerations established at 

42 U.S.C. 12903(c)(3)(C), SPNS projects 

will demonstrate potential replicability 

in the larger HOPWA program. 

3. Definitions for all HOPWA grants. 

a. Chronically Homeless Person. An 

unaccompanied homeless individual 

with a disabling condition who has 

either been continuously homeless for a 

year or more OR has had at least 4 

episodes of homelessness in the past 3 

years. For this program, a disabling 

condition is defined as a diagnosable 

substance abuse disorder, serious 

mental illness, developmental 

disability, or chronic physical illness or 

disability, including AIDS or a disabling 

condition due to HIV, including the cooccurrence of two or more of these 

conditions. 

b. Lease or Occupancy Agreement. In 

establishing that an eligible person has 

obtained permanent supportive housing 

and a legal right to remain in that 

housing unit, the lease or occupancy 

agreement must be for a term of at least 

one year. The lease or occupancy 

agreement must also be automatically 

renewable upon expiration, except on 

reasonable and timely prior notice by 

either the tenant or the landlord. A 

short-term lease or lease in the name of 

the provider may be used to undertake 

transitional housing activities. 

c. Nonprofit Organization. Nonprofit 

organizations include those that: (1) Are 

state or locally chartered; (2) Are 

organized under state or local laws; (3) 

Have no part of earnings inuring to the 

benefit of any member, founder, 

contributor or individual; (4) Have a 

functioning accounting system that is 

operated in accordance with generally 

accepted accounting principles, or has 

designated an entity that will maintain 

such an accounting system; and (5) 

Have among its purposes significant 

activities related to providing services 

or housing to persons with acquired 

immunodeficiency syndrome or related 

diseases, as clarified to include 

infection with the human 

immunodeficiency virus (HIV). 

d. Permanent Supportive Housing. 

Housing in which the eligible person 

has a continuous legal right to remain in 

the unit and which provides the eligible 

person with ongoing supportive services 

through qualified providers. 

e. Transitional Housing. Housing that 

will help facilitate the movement of 

eligible person(s) to permanent housing 

within 24 months. 

B. Statutory and Regulatory 

Requirements 

For more information on the HOPWA 

program, including eligible uses of 

funds, see the HOPWA program 

regulations at 24 CFR Part 574 and the 

AIDS Housing Opportunity Act (42 

U.S.C. 12901–12912), which govern the 

program. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11663 

C. Availability of Other HOPWA 

Resources 

1. Formula Allocations and Renewal 

Funds. Applicants are advised to also 

consider seeking funds from the formula 

component of the HOPWA program and 

from other resources. Ninety percent of 

the HOPWA program is allocated by 

formula to eligible states and qualifying 

cities. 

In FY2007, HUD distributed 

$256,162,000 in HOPWA funds by 

formula to the qualifying cities for 83 

eligible metropolitan statistical areas 

(EMSAs) and to 39 eligible states for 

areas outside of EMSAs. In addition, 

expiring projects that provided 

permanent supportive housing under a 

competitive award in a prior year may 

qualify for renewal funds, as authorized 

by statute. In 2006, HUD provided 

$16,488,302 to 16 renewal projects that 

were eligible, consistent with CPD 

Notice 06–06, Standards for Fiscal Year 

2006 HOPWA Permanent Supportive 

Housing Renewal Grant Applications, 

issued on May 15, 2006 (the notice is 

available at http://www.hudclips.org/ 

sub_nonhud/cgi/pdfforms/06- 

06CPD.doc). 

2. National HOPWA Technical 

Assistance. To apply for funding to 

serve as a provider of HOPWA technical 

assistance, you must submit an 

application for funds under the 

Community Development Technical 

Assistance (CDTA) section of the 

SuperNOFA. The CDTA notice makes 

HOPWA funds available to 

organizations qualified to provide 

technical assistance support to HOPWA 

grantees and project sponsors. 

Organizations seeking help in managing 

their current HOPWA project, such as 

advice or other help needed in 

planning, operating, reporting to HUD 

and evaluating HOPWA programs, can 

request technical assistance by 

contacting their state or area CPD office. 

II. Award Information 

A. Total. The total available HOPWA 

competitive funding in FY2007 is 

approximately $28,463,000. After first 

awarding funds to renew existing 

HOPWA permanent housing projects in 

FY2007, HUD estimates that 

approximately $10 million will be 

available for new projects. 

B. Announcement of Awards. HUD 

anticipates that projects awarded under 

this notice will be announced by August 

31, 2007. HUD expects that selected 

projects will undertake program 

activities under a grant agreement for a 

3-year operating period. 

C. Minimum and Maximum Grant 

Award. In order to fairly distribute 

available funding, the conditions on 

grant size for award that you may 

receive is: 

1. For program activities (e.g., 

activities that directly benefit eligible 

persons): at least $500,000 and up to 

$1.3 million; 

2. For grant administrative costs of the 

grantee: 3 percent of the awarded grant 

amount (e.g., an additional $39,000 if 

the maximum grant is awarded); 

3. For grant administrative costs for 

project sponsors: 7 percent of the 

amounts received by the project sponsor 

under the grant (e.g., an additional 

$91,000 if the maximum grant is 

awarded). A grantee cannot also receive 

project sponsor administrative costs 

even when the grantee carries out the 

program activities directly; 

4. Total maximum grant amount for 

all categories of grant awards under this 

NOFA is $1.43 million. 

D. Average Grant Award. Based on the 

results of the 2006 HOPWA 

competition, the average grant award for 

the 10 grants selected was $1,099,589. 

III. Eligibility Information 

A. Eligible Applicants 

1. Eligibility for Funding to Nonprofit 

Organizations. If you are a nonprofit 

organization, you must also satisfy the 

nonprofit requirements established in 

the definition for eligible nonprofit 

organization found in 24 CFR 574.3 and 

in the definitions section of this 

Program NOFA. 

2. General Eligibility for Expiring 

Grant Projects. To be eligible for a new 

grant for an existing HOPWA project, a 

project that does not qualify for renewal 

as a permanent supportive housing 

project, or significantly changes an 

existing project, the project must meet 

all program requirements. Existing 

HOPWA projects that show poor 

performance or unresolved grants 

management issues up to the date of the 

public announcement of awards under 

this NOFA will not be funded. 

Unresolved problems may include: (1) 

HUD knowledge that planned activities 

remain significantly delayed in their 

implementation; (2) A significant 

number of planned housing units are 

vacant; (3) Required annual progress 

reports are not timely filed with HUD; 

(4) Unresolved actions pending under a 

HUD notice of default on your current 

grant or significant citizen complaints 

are unresolved or not responded to with 

justified reasons. 

3. General Eligibility for Applicants 

and Sponsors. States, units of general 

local government, and nonprofit 

organizations may apply under the 

SPNS grants category to propose new 

projects or for additional funding to 

existing projects that do not qualify as 

permanent supportive housing renewal 

grants. 

States and units of general local 

government may apply under the 

‘‘Long-term’’ category, if the project 

entails housing activities in areas that 

did not receive or are not designated to 

receive HOPWA formula allocations in 

FY2007 or the government agency is not 

eligible to receive formula funds will 

serve a balance of state area outside of 

any EMSA. Nonprofit organizations are 

not eligible to apply directly for Longterm grants, but may serve as a project 

sponsor for an eligible state or local 

government applicant. 

B. Cost Sharing or Matching 

There are no cost sharing or matching 

requirements for applications under this 

program NOFA. However, leveraging is 

encouraged and addressed in Rating 

Factor 4 Leveraging. 

C. Other 

1. Threshold Requirements for All 

Applications. Applicants must meet the 

threshold requirement identified in the 

General Section. HUD will also review 

your application to determine that you 

are eligible for funding, as follows: 

a. Eligible Applicant. 

(1) Your application is consistent with 

the requirements of Section III.A of this 

NOFA for eligibility based on applicant 

requirements, project sponsor 

requirements, and the lack of any 

unresolved management issues for 

applicants who currently administer 

HOPWA grants; and 

(2) Your application complies with 

the Dun and Bradstreet Data Universal 

Numbering System (DUNS). More 

information on the requirement of the 

DUNS can be found in the General 

Section. 

b. Eligible Project Sponsors. Your 

application is consistent with the 

requirements for eligibility of project 

sponsors, as follows: 

If the project sponsor is a nonprofit 

organization, it must also satisfy the 

nonprofit requirements established in 

the definition of an eligible nonprofit 

organization found in 24 CFR 574.3 and 

in the definition section of this NOFA. 

2. Program Requirements 

All grant recipients must also meet 

the following program requirements, 

including performance goals and 

operational benchmarks, and conduct 

project activities in a consistent and 

ongoing manner over the approved grant 

operating period. If a selected project 

does not meet the appropriate 


rwilkins on PROD1PC63 with NOTICES_2
11664 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

requirement, HUD reserves the right to 

cancel and/or withdraw the grant funds. 

a. General Provisions. The provisions 

outlined within the General Section 

apply to the HOPWA program unless 

otherwise stated within this NOFA. 

Specifically, you are encouraged to 

review Section III.C, Other 

Requirements and Procedures 

Applicable to All Programs. 

b. Environmental Requirements. All 

HOPWA assistance is subject to the 

National Environmental Policy Act and 

applicable related federal environmental 

authorities. While some eligible 

activities, such as tenant-based rental 

assistance, supportive services, 

operating costs, and administrative 

costs, are excluded from environmental 

review because of the lack of 

environmental impact, other activities 

require environmental review. All new 

facility-based projects must undergo an 

environmental review. In accordance 

with Section 856(h) of the AIDS 

Housing Opportunity Act and the 

HOPWA regulations at 24 CFR 574.510, 

environmental reviews for HOPWA 

activities are to be completed by 

responsible entities in accordance with 

24 CFR Part 58. Applicants or grantees 

that are not a responsible entity must 

request the unit of general local 

government to perform the 

environmental review. HOPWA grantees 

and project sponsors may not commit or 

expend any grant or non-federal funds 

on project activities (other than those 

listed in 24 CFR 58.22(f), 58.34 or 

58.35(b)) for which the responsible 

entity documents its findings of 

exemption or exclusion for the 

environmental review record (24 CFR 

58.34(b) or 24 CFR 58.35(d)) until HUD 

has approved a ‘‘Request for Release of 

Funds and Certification’’ (RROF), form 

HUD–7015.15, on compliance with the 

National Environmental Policy Act and 

implementing regulations at 24 CFR Part 

58 (Environmental Review Procedures 

for Entities Assuming HUD 

Environmental Responsibilities). The 

recipient, its project sponsors and their 

contractors may not acquire, 

rehabilitate, convert, lease, repair, 

dispose of, demolish, or construct 

property for a project, or commit or 

expend HUD or local funds for such 

eligible activities, until the responsible 

entity (as defined in 24 CFR 58.2) has 

completed the environmental review 

procedures required by 24 CFR part 58 

and the environmental certification and 

the RROF have been approved. HUD 

will not release grant funds if the 

recipient or any other party commits 

grant funds (i.e., incurs any costs or 

expenditures to be paid or reimbursed 

with such funds) before the recipient 

submits and HUD approves its RROF 

(where such submission is required). 

The recipient shall supply all available, 

relevant information necessary for the 

responsible entity to perform, for each 

property, any environmental review 

required. 

c. Required HOPWA Performance 

Goals. Grant recipients must conduct 

activities consistent with their planned 

annual housing assistance performance 

output goals, objectively measure actual 

achievements against anticipated 

achievements, and report on their actual 

performance housing outputs and client 

outcomes. Applicants are required to 

use the HOPWA Budget Form (form 

HUD–40110–B) found in the 

instructions to the published NOFA on 

Grants.gov/Apply in this NOFA for 

recording the funding for housing 

assistance activities that are associated 

with these performance outputs, 

including any funding request for 

HOPWA funds and/or commitment to 

use other funds for this purpose. This 

form is consistent with the new Annual 

Progress Report that grantees will be 

required to complete. In establishing 

and reporting on performance goals, 

applicants are required to use the Logic 

Model (Form HUD–96010) as described 

under paragraph (e). Applicants must 

establish a reasonable client outcome 

goal on achieving housing stability, 

reducing risks of homelessness and 

improving access to care to be 

quantified after each year of operation to 

demonstrate client outcomes. HUD 

expects that each HOPWA grantee will 

show that at least half of the 

beneficiaries achieve stable housing, 

have reduced risks of homeless or 

improved access to care in their 

program during the operating year, as 

shown by an assessment of the housing 

status for the household at the end of 

each operating year. The grantee will 

assist in establishing a baseline on 

annual performance to help measure 

how future efforts lead to the 

achievement of higher levels of housing 

stability. On a national basis, HUD has 

established the goal that more than 80 

percent of clients will be in stable 

housing situations by 2008. The 

following performance measures must 

be used in your project plan and your 

logic model under paragraph (e): 

(1) Required Output refers to the 

number of units of housing/households 

assisted during the year, as measured by 

the annual use of HOPWA funds. For 

HOPWA, the application must specify 

one-year goals for the number of 

households to be provided housing 

through the use of HOPWA activities 

for: (a) Short-term rent, mortgage, and 

utility assistance payments to prevent 

homelessness of the individual or 

family; (b) tenant-based rental 

assistance; and (c) units provided in 

housing facilities that are being 

developed, leased, or operated with 

HOPWA funds. You should also include 

the projected numbers of low-income 

eligible households who are expected to 

benefit from the other types of HOPWA 

assistance to be provided through your 

project during each operating year, such 

as the number receiving permanent 

housing placement support, or 

supportive services. 

(2) Required Outcomes refer to the 

number of eligible households who have 

been provided housing assistance (as 

noted above for outputs) and thereby 

maintain a stable living environment in 

housing that is safe, decent, and 

sanitary. The program will measure 

these results in annual assessments on 

the housing status of beneficiaries along 

with other outcome measures on the 

reduced risks of homelessness and 

improved access to HIV treatment and 

other health care and support. On a 

nationwide basis, the program is 

expected to demonstrate stable housing, 

reduced risks of homelessness and 

improved access to care results for 

beneficiaries through the use of annual 

resources with a national goal that this 

status be achieved by 80 percent of all 

HOPWA beneficiaries by 2008. 

d. Optional Program Performance 

Goals. In addition to required 

performance measures described in the 

paragraph above, you may include other 

measures or annual indicators in your 

project plan and in your logic model 

under paragraph (e). 

e. HUD Logic Model. You must use 

the Logic Model (Form HUD–96010) in 

this NOFA to illustrate the planning for 

the use of resources, project activities, 

required outputs and outcomes, and 

other grantee-identified goals, and for 

reporting on annual accomplishments. 

Applicants must make use of the 

required elements in paragraph (a) in 

this form. If you are awarded a grant 

under this notice, please note that the 

Logic Model form will also be used as 

part of your Annual Progress Report to 

document results obtained under your 

approved plans during each operating 

year. HUD intends to propose a Return 

on Investment Statement (ROI) for each 

of its competitive grant programs. HUD 

will publish a proposed ROI Statement 

for public comment prior to 

implementation. HUD intends to 

publish the first ROI Statements for 

public comment and input during 

FY2007. HUD expects grantees to 

respond to the Management Evaluation 

Questions, however in their final 

reports. Training on the logic model will 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11665 

be conducted via satellite broadcast and 

archived on HUD’s Web site and the 

satellite broadcast and webcast date will 

be published on HUD’s Web site. See 

Section VI.C, ‘‘Reporting’’ for additional 

information on Logic Model reporting 

requirements. 

f. HOPWA Facility Use Period 

Requirement. Any building or structure 

assisted with amounts under this part 

will be maintained as a facility to 

provide assistance for eligible persons: 

(1) For not less than 10 years in the case 

of assistance involving new 

construction, substantial rehabilitation 

or acquisition of a building or structure; 

and (2) for not less than 3 years in cases 

involving non-substantial rehabilitation 

or repair of a building structure. 

g. Execution of Grant Agreement and 

Obligation of Awards. HOPWA grants 

are obligated upon execution of the 

grant agreement by both parties (i.e., the 

recipient and HUD). Applicants selected 

to receive FY2007 funding must execute 

grant agreements as soon as practicable, 

but no later than 6 months after the 

notice of selection. 

h. Disbursement of Funds. Grant 

recipients must fully expend their grant 

funding no later than three years 

following the effective date or the 

operation start date in the grant 

agreement, unless HUD has approved a 

one-time extension for an additional 12 

months or less. A time limit on grant 

expenditures that is established in the 

National Defense Authorization Act for 

FY1991 requires the expenditure of all 

HOPWA funds awarded under this 

NOFA by September 30, 2013. After 

September 30, 2013, any unexpended 

funds shall be canceled and, thereafter, 

shall not be available for obligation or 

expenditure for any purpose. 

i. Site Control of Housing Facilities 

through Acquisition or Lease. If you 

propose to acquire a site or structure or 

lease a structure to serve as a housing 

facility in your project, you are required 

to gain site control within one year from 

the date of your notice of selection by 

HUD. 

j. Rehabilitation or New Construction. 

If you propose to use HOPWA funds for 

rehabilitation or new construction 

activities for housing projects, you must 

agree to begin the rehabilitation or 

construction within 18 months 

(including any time taken in the 

facility’s acquisition or lease under 

paragraph (i)), and all rehabilitation or 

construction work must be completed 

within the terms of your grant 

agreement with HUD. Such activities 

will trigger certain accessibility 

requirements of Section 504 of the 

Rehabilitation Act of 1973 and/or the 

Design and Construction requirements 

of the Fair Housing Act of 1988. 

k. Project Operations. If funds are 

used for operating costs of existing 

housing facilities, you must agree to 

begin to use these funds within 6 

months, consistent with the terms of 

your grant agreement with HUD. If 

funds are to be used for operating costs, 

in connection with the new 

construction or substantial 

rehabilitation of housing facilities, the 

amount of funds designated for 

operating costs must be limited to the 

amount to be used during the portion of 

the planned three-year period for your 

grant agreement for which the facility 

will be operational and assisting 

eligible. Delays in the project’s 

development activities, such as the 

planned completion of the construction 

or rehabilitation activities, could result 

in the loss of funds designated for 

operating costs, if such funds remain in 

excess after the authorized use period 

for this award. For example, if you 

expect to take two years to complete the 

rehabilitation of the facility, any 

operating costs could only be requested 

for use in the remaining one-year of the 

planned 3-year operating period for this 

award. 

l. Section 3 of the Housing and Urban 

Development Act of 1968. The applicant 

will comply with Section 3 of the 

Housing and Urban Development Act of 

1968, as amended (12 U.S.C. 1701(u), 

and regulations pursuant thereto (24 

CFR part 135), which require that to the 

greatest extent feasible opportunities for 

training and employment be given to 

lower-income residents of the project 

service area and that contracts for work 

in connection with the project be 

awarded in substantial part to persons 

residing in the service area of the 

project. 

3. Eligible Activities 

a. Proposed Project Activities. In your 

application, you must specify the 

activities and budget amounts for which 

HOPWA funds are being requested, 

consistent with the eligible activities 

found in the HOPWA regulations at 24 

CFR 574.300. Your activities must 

address housing needs of eligible 

members of the community and specify 

whether the project will be undertaking 

permanent, transitional, short-term and/ 

or emergency housing assistance. A 

copy of the regulations may be 

downloaded from www.hud.gov/offices/ 

cpd/aidshousing/lawsregs/index.cfm. 

You are encouraged to review the 

HOPWA regulations before seeking 

funding, and other program guidance, 

such as CPD Notice 06–07, HOPWA 

Short-term Rent, Mortgage and Utility 

Payments (STRMU) and Connections to 

Permanent Housing, issued August 3, 

2006. HOPWA documents can be found 

on the program webpage noted above. 

HUD will not approve proposals that 

depend on a prospective determination 

as to how program funds will be used. 

For example, a proposal to establish a 

local request-for-proposal process to 

select either activities, or to select 

project sponsors, that would have the 

effect of delaying the obligation of funds 

due to the unplanned use of HOPWA 

funds, will not be approved. 

b. Additional Guidance on Use of 

Program Funds. 

(1) Housing Assistance. HOPWA 

projects must demonstrate that housing 

assistance is the main focus of program 

activities. Please indicate if you propose 

to use HOPWA funds to provide 

permanent supportive housing (as 

defined in Section I.A.). If you are 

proposing emergency or transitional 

housing assistance, your plan must 

include linkages to permanent 

supportive housing. See 24 CFR 

574.300(b)(8) for descriptions of 

appropriate operating costs for a 

housing project. 

(2) Supportive Services. Many of the 

eligible persons who will be served by 

HOPWA may need other support in 

addition to housing. It is important that 

you design programs that enhance 

access to those existing mainstream 

resources through communitywide 

strategies to coordinate assistance to 

eligible persons. These mainstream 

programs include: The Ryan White 

CARE Act; Medicaid; the Children’s 

Health Insurance Program; Temporary 

Assistance for Needy Families; Food 

Stamps; Mental Health Block Grant; 

Substance Abuse Block Grant; 

Workforce Investment Act; the Welfareto-Work grant program; as well as other 

state, local and private sources. No more 

than 35 percent of the proposed budget 

for program activities undertaken by 

project recipients can be designated for 

supportive services costs. In addition, 

HUD will not award funds for the 

acquisition, lease, rehabilitation, or new 

construction of a supportive servicesonly facility. Additional restrictions and 

limitations that apply to supportive 

services such as limitations addressing 

only uncompensated health care costs, 

can be found at 24 CFR 574.300. HUD 

will not provide funds for medications 

or other health care costs, as these are 

reasonably available from other sources. 

Costs for staff engaged in delivering the 

supportive service is part of the 

supportive service activity cost, and 

should not be listed as operating costs 

or ‘‘other’’ costs in the application’s 

proposed HOPWA budget. 


rwilkins on PROD1PC63 with NOTICES_2
11666 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(3) Permanent Housing Placement 

Assistance. Permanent housing 

placement at 24 CFR 574.300(b)(7) may 

also be used in connection with the 

provision of housing support provided 

under these awards and is not 

considered a supportive service under 

limitations stated in paragraph (2). 

Permanent housing placement costs 

may involve costs associated with 

helping eligible persons establish a new 

residence where ongoing occupancy is 

expected to continue, including rental 

application fees, related credit checks, 

and reasonable security deposits 

necessary to move persons to permanent 

housing, provided such deposits do not 

exceed 2 months of rent. Leveraged 

resources may involve other forms of 

move-in support, such as essential 

housing supplies, smoke alarms, 

standard furnishings, minor repairs to 

the unit associated with move-in, and 

other incidental costs for occupancy of 

the housing unit. While these items are 

not eligible as permanent housing 

placement costs, grantees may make use 

of other leveraged funds for these costs. 

(4) Other HUD-Approved Activities. 

You may propose other activities not 

already authorized at 24 CFR 

574.300(b), subject to HUD’s approval. 

Your proposal should address the 

expected beneficial impact of this 

alternative activity in addressing 

housing needs of eligible persons by 

describing the project impact and the 

identified performance output and 

client outcome measures for this 

activity. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package 

Copies of the published NOFAs and 

application forms for HUD programs 

announced through NOFA are available 

at the Grants.gov Web site, http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information, 

customer support is available from 

Grants.gov by calling its Support Desk at 

(800) 518–4726 between 7 a.m. and 9 

p.m. eastern time or by sending an email to support@grants.gov. If you do 

not have Internet access and need to 

obtain a copy of the NOFA, you can 

contact HUD’s NOFA Information 

Center toll-free at (800) HUD–8929. 

Persons with hearing or speech 

impairments may access this number 

via the toll-free Federal Information 

Relay Service at (800) 877–8339. 

B. Content and Form of Application 

Submission 

By signing the SF–424, applicants are 

agreeing to the assurances found in the 

General Section. If conditionally 

selected for funding, the following 

certifications as noted must be provided 

prior to the signing of a grant agreement. 

Standard certifications and forms are 

listed in the General Section and the 

HOPWA budget and certification (form 

HUD–40110–B), is identified in this 

NOFA. 

1. Forms: Applicants are requested to 

submit the following information: 

a. SF–424, Application for Federal 

Assistance (Required) 

b. SF–424 Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov) 

(Optional). 

c. HUD–96010, Program Outcome 

Logic Model (Required). 

d. HUD–2991, Certification of 

Consistency with the Consolidated Plan 

(Required). 

e. HUD–2990, Certification of 

Consistency with the RC/EZ/EC–II 

Plan—if applicable to the service area of 

your project (Optional). 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) (Required). 

g. SF–LLL, Disclosure of Lobbying 

Activities, if applicable (Required). 

h. HUD–40110–B, HOPWA 

Application Budget Summary, 

including HOPWA Applicant 

Certifications (Required). 

i. HUD–27300, Questionnaire for 

HUD’s Removal of Regulatory Barriers 

(‘‘HUD Communities Initiative Form’’

on Grants.gov) (Optional). 

j. HUD–2993, Acknowledgement of 

Application Receipt, if applicable due to 

an approved waiver of the electronic 

submission requirement (Optional). 

k. HUD 2994–A, You Are Our Client! 

Grant Applicant Survey (Optional). 

l. HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) (for electronic applications). 

2. Additional HOPWA Guidance on 

Forms. 

a. HOPWA Application Budget 

Summary (form HUD–40110–B). Do not 

complete the standard budget form 

contained in the General Section. 

Applicants must use this programspecific budget form (HUD–40110–B, 

HOPWA Budget Application Summary) 

that demonstrates how funds will be 

used for eligible activities. The HOPWA 

HUD–40110–B will provide a summary 

of the total budget for your project, the 

annual HOPWA amounts to be used in 

each of the three years of operation and 

description budget by project sponsor of 

the HOPWA funds to be used by each 

sponsor. On this form, you must provide 

a short narrative which outlines each of 

your requested budget line items and 

how the funds will be used, including 

the amount of requested funding, by 

line item for you and your project 

sponsors. 

b. Certification of Consistency with 

the Consolidated Plan (HUD–2991). 

Except as stated below, you must obtain 

a Consolidated Plan certification signed 

by the applicable state or local 

government official for submitting the 

appropriate plan for the areas in which 

activities are targeted. This form must 

be submitted to HUD prior to the 

signing of a grant agreement. The 

authorizing official from the state or 

local government must sign this 

certification. If your project will be 

carried out on a national basis or will 

be located on an Indian reservation or 

in one of the U.S. Territories of Guam, 

the Virgin Islands, American Samoa, or 

the Northern Mariana Islands, you are 

not required to include a Consolidated 

Plan certification from these areas with 

your application. 

3. Application Content for Long-term 

and Special Projects of National 

Significance (SPNS) Project 

Applications. The review criteria for 

long-term, and SPNS applications can 

be found in Section V.A. of this NOFA. 

For your narrative responses, number 

the pages and include a header or a 

footer that provides the name of the 

applicant or the project. 

a. Executive Summary. On no more 

than two double-spaced pages, provide 

an Executive Summary of the proposed 

project. The summary should provide 

an overview of the main components of 

your planned HOPWA project, any 

special service delivery method or 

project purposes and the projected 

annual housing output for the first year 

of operation. In the executive summary, 

provide the name of the grantee and any 

project sponsors, along with contact 

names, phone numbers, and e-mail 

addresses. 

For projects involving sites, (e.g., a 

structure where HOPWA funds will be 

used for the housing activities, 

involving construction, acquisition, 

rehabilitation, leasing, operating costs, 

and/or project-based rental assistance) 

provide the address of the proposed site 

of this structure and describe what other 

resources will be used to complete the 

development of this housing facility. 

Please identify if the site is a 

Confidential Site or a Public Site. (HUD 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11667 

will not release the address of 

confidential sites). 

b. Proof of Nonprofit Status and AIDS 

Purpose. Excluding situations where 

nonprofit documentation was submitted 

to HUD under prior HOPWA awards 

and there has been no change in this 

status for the project sponsor(s), all 

conditionally selected applicants must 

provide a copy of the nonprofit 

documentation for each sponsor that is 

a nonprofit organization consistent with 

the standards under paragraph (1) below 

prior to the signing of a grant agreement. 

Conditionally selected applicants must 

also provide documentation consistent 

with paragraph (2) below prior to the 

signing of a grant agreement to 

demonstrate that each sponsor’s 

organizational documents include a 

purpose of significant activities related 

to providing housing or services to 

persons with HIV/AIDS. For submission 

of the documentation in paragraphs (1) 

and (2) on paper forms, you should 

follow the directions in the General 

Section, with the exception of the 

budget forms. 

(1) HUD will accept as evidence of 

your nonprofit status: 

(a) A copy of the Internal Revenue 

Service (IRS) ruling providing taxexempt status under Section 501(c)(3), 

(4), (6), (7), (9) or (19) of the IRS code; 

(b) A ruling from the Treasury 

Department of the Commonwealth of 

Puerto Rico granting income tax 

exemption under section 101 of the 

Income Tax Act of 1954, as amended (13 

LPRA 3101); 

(c) Documentation that the applicant 

is a certified United Way agency; 

(d) Copy of your most recent 

completed tax statement, Form IRS–990 

or Form 990–EZ; 

(e) All of these: 

(i) a certification by the appropriate 

official of the jurisdiction where the 

nonprofit was organized that your 

organization was organized as a 

nonprofit organization and is in good 

standing; 

(ii) A certification from a designated 

official of the organization that no part 

of the net earnings of the organization 

inures to the benefit of any member, 

founder, contributor, or individual; that 

the organization has a voluntary board; 

and that the organization practices 

nondiscrimination in the provision of 

assistance in accordance with 

applicable program requirements; and 

(iii) an opinion letter from an 

independent public accounting firm that 

the nonprofit entity has a functioning 

accounting system that provides for 

each of the following: 

(A) Accurate, current, and complete 

disclosure of the financial results of 

each federally funded project; 

(B) Records that identify adequately 

the source and application of funds for 

federally funded activities; 

(C) Effective control over and 

accountability for all funds, property 

and other assets; 

(D) Comparison of outlays with 

budget amounts; 

(E) Written procedures to minimize 

the time elapsing between the transfer of 

funds to the recipient from the U.S. 

Treasury and the use of funds for 

program purposes; 

(F) Written procedures for 

determining reasonableness, allocable, 

and allowable costs; and 

(G) Accounting records including cost 

accounting records that are supported 

by source documentation. 

(2) HUD will also accept, as evidence 

of your organization’s HIV/AIDS-related 

purpose, a copy of the organization’s 

articles of incorporation and bylaws, 

mission statement, program 

management plan, or other 

organizational policy document that 

evidences the organization’s activities or 

objectives related to providing services 

or housing to persons with HIV/AIDS. 

c. Capacity of Applicant and Project 

Sponsors and Relevant Organizational 

Experience Narrative. On no more than 

five double-spaced typed pages or 

similar chart or table for the Applicant, 

and no more than two double-spaced 

pages or similar chart or table per 

additional sponsor, demonstrate the 

extent to which you and any project 

sponsor(s) have the organizational 

resources necessary to successfully 

implement your proposed activities in a 

timely manner. 

d. Need/Extent of the Problem 

Narrative. On no more than five doublespaced typed pages or similar chart or 

table define your planned service area 

and demonstrate the need for funding 

eligible activities in the area to be 

served. 

e. Soundness of Approach: Model 

Qualities and Responsiveness/ 

Coordination Narrative. On no more 

than ten double-spaced, typed pages or 

a similar chart or table, address the 

method by which your plan meets your 

identified needs. Demonstrate how your 

project will provide its planned 

activities through HOPWA and other 

resources, and how it will serve as a 

model with exemplary qualities to 

address the ongoing housing and 

supportive service needs of eligible 

persons within a replicable operational 

framework. 

f. Documentation of Leveraged 

Resources. As described in paragraph 4 

of this section, to receive a leverage 

score for your project, provide a detailed 

chart of commitments that you have 

obtained and have on file that provides 

evidence of your ability to secure 

community resources for operating and 

sustaining your housing project. On no 

more than two double-spaced typed 

pages or similar chart or table, address 

the method by which your plan 

addresses sustainability of the effort. 

g. Achieving Results and Program 

Evaluation Narrative. To complement 

the use of the Logic Model form, in no 

more than three double-spaced, typed 

pages or a similar chart or table, provide 

a supplemental optional narrative that 

may detail or further demonstrate your 

commitment to ensuring that the goals 

that you set forth and your performance 

will be assessed in a clear and effective 

manner. Address how you will 

implement the HOPWA Program goals 

and identify the benefits or outcomes of 

your program, including details on your 

activities, benchmarks, and interim 

activities or performance indicators 

shown in the Logic Model. Provide 

comments as may be needed on details 

for an evaluation plan that will 

objectively measure actual 

achievements against anticipated 

achievements. 

4. Application Content on Leveraging 

for All Types of Applications 

To receive consideration for leveraged 

resources, all types of applications must 

include information on the 

commitments from other state, local, 

federal, or private entities to provide 

additional resources in operating and 

sustaining your planned activities to 

support project beneficiaries. Other 

HOPWA funds, such as formula 

allocations, may not be used for this 

purpose in determining leveraging. To 

receive a score for leveraging, any 

project must provide a list in a chart 

with information on the nature of the 

secured leveraged commitments that 

you have in hand at the time of your 

application submission to HUD. You 

may also describe a plan for how the 

project will continue to operate in 

future years, with a decreased reliance 

on these federal resources. 

As a change from prior year 

competitions, you should not submit an 

electronic copy or facsimile transmittal 

of these letters of commitment with 

your HOPWA application, but should 

use these letters or documents to report 

on the information requested below. 

The applicant must retain in its files all 

of the leveraging letters or documents, 

and a conditionally selected applicant 

may be required to provide HUD with 

a copy or other evidence of these letters 


rwilkins on PROD1PC63 with NOTICES_2
11668 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

or documents as part of the conditions 

for receiving HOPWA funds. 

In the application, provide 

information only for contributions for 

which you have a written commitment 

in hand at the time of application. A 

written commitment could include 

signed letters, memoranda of agreement, 

and other documented evidence of a 

firm commitment for resources to be 

available during the operating period of 

your project, if selected for award. This 

does not include resources that are in 

use prior to the new grant operating 

period. Leveraging items may include 

any written commitments that will be 

used towards your leveraging of the 

project, as well as any written 

commitments for buildings, equipment, 

materials, services and volunteer time. 

The value of commitments of land, 

buildings and equipment are one-time 

only and cannot be claimed by more 

than one selected project (e.g., the value 

of donated land, buildings or equipment 

claimed in 2006 and prior years for a 

project that was selected for funding 

cannot be claimed as leveraging by that 

project in subsequent competitions). 

The written commitments must be 

documented on letterhead stationery, 

signed by an authorized representative, 

dated and in your possession prior to 

the deadline for submitting your 

application. 

The Department will periodically 

monitor the use of your commitments 

by requiring the collection of 

information in annual progress reports 

to establish that the leveraged resources 

are being used, as committed, in 

undertaking the project. Failure to 

provide evidence of these commitments 

or the related use of these additional 

resources in operating your project 

could result in a notice of default and 

affect the project’s continued access to 

federal funds awarded under this 

NOFA. 

C. Submission Dates 

Application Deadline Date. Your 

completed application must be received 

and validated electronically by 

Grants.gov no later than 11:59:59 p.m. 

eastern time on the deadline date for 

HOPWA. The validation process may 

take up to 72 hours. Failure to have the 

application validated by Grants.gov 

prior to the deadline will result in a late 

application making the application 

ineligible for funding under this NOFA. 

Please follow the application 

submission and timely receipt 

requirements that are established in the 

General Section. 

All parts of an electronic application 

must be submitted via the Grants.gov 

portal with additional documentation as 

called for in this NOFA provided via 

electronic facsimile transmittal in 

accordance with the requirements stated 

in the General Section. For electronic 

applications, HUD will not accept parts 

of an application submitted through the 

mail or entire applications by facsimile. 

For applications receiving a waiver of 

the electronic application submission 

requirements, the entire application 

must be submitted in hard paper copy 

format with the required number of 

copies. 

D. Intergovernmental Review 

The HOPWA program is not subject to 

Executive Order (EO) 12372, 

Intergovernmental Review of Federal 

Programs. 

E. Funding Restrictions 

1. Limitations on Maximum Grant 

Amounts. Your request for funding must 

be consistent with the following 

limitations on minimum and maximum 

grant amounts: 

a. For program activities (e.g., 

activities that directly benefit eligible 

persons): At least $500,000 and a 

maximum of $1.3 million, subject to the 

limitations in this section; 

b. For grant administrative costs of the 

grantee: A maximum of no more than an 

additional $39,000, subject to the limit 

on administrative costs of 3 percent of 

the amount requested for project 

activities in your application for 

grantees. 

c. For grant administrative costs for 

project sponsors: A maximum of no 

more than an additional $91,000, 

subject to the limit on administrative 

costs of 7 percent of the amount 

requested for project activities to be 

conducted by project sponsors in your 

application. (Note: An applicant that 

will serve as a grantee, but carry out 

activities directly without a third-party 

project sponsor, cannot add amounts 

from this paragraph to its eligible 

amount under paragraph (b) above.) 

d. Total for maximum grant amount: 

$1.43 million, as subject to applicable 

limitations in this section and if funds 

are requested for a term of less than 

three years, HUD reserves the right to 

reduce these amounts in a proportionate 

manner. 

2. Limitation on Supportive Services. 

Your request for the supportive services 

line item in program activities must be 

consistent with the program limits of 

not more than 35 percent of the 

proposed budget for program activities 

undertaken by project recipients. 

3. Limitation on Prospective 

Determinations. HUD will not approve 

proposals that depend on a prospective 

determination as to how program funds 

will be used, except as needed in 

securing housing units for participants. 

More specifically, proposals to establish 

a local request-for-proposal process to 

select either activities or project 

sponsors, and other similar proposals 

that have the effect of delaying the 

obligation of funds due to the 

unplanned use of HOPWA funds, will 

not be approved. 

4. Limitation on Ineligible Activities. 

HUD will not provide additional funds 

under this notice for the purposes of 

conducting resource identification 

activities to establish, coordinate, and 

develop housing assistance resources, 

and/or technical assistance for 

community residence activities, because 

these types of activities are funded 

through the national HOPWA technical 

assistance funds being made available 

under the Community Development 

Technical Assistance (CDTA) NOFA or 

available for resource identification 

activities under formula allocations. 

HUD will not provide additional funds 

for data collection on project outcomes; 

because such activities in collecting 

performance data and reporting to HUD 

are required as a central grants 

management function, is already 

covered under administrative costs. In 

addition, eligible HOPWA costs cannot 

involve costs for personal items, such as 

grooming, clothing, pets, financial 

assistance, consumer credit payments, 

entertainment activities, personal 

vehicle maintenance and repairs, 

property taxes, condominium fees, and 

other non-housing-related costs. Eligible 

costs are also subject to additional 

HOPWA standards at 24 CFR Part 574. 

F. Other Submission Requirements 

1. Electronic Delivery. HUD requires 

applicants to electronically submit via 

www.grants.gov. See Sections IV.B. and 

F. of the General Section for instructions 

for submitting leveraging 

documentation, certifications, and other 

required forms. 

2. Waivers to the Electronic 

Submission Process: Applicants may 

request a waiver of the electronic 

submission process (see the General 

Section for more information). 

Applicants should submit waiver 

requests in writing, by e-mail, fax, or to 

the address listed below. Waiver 

requests must be submitted no later than 

15 days prior to the application 

deadline date to: David Vos, Director of 

HIV/AIDS Housing, Department of 

Housing and Urban Development, 451 

Seventh Street, SW, Suite 7212, 

Washington, DC 20410–7000. 

E-mail: David_Vos@hud.gov, facsimile 

(fax) 202–708–9313. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11669 

Applicants who are granted a waiver 

based on a HUD-approved justification 

must submit their applications in 

accordance with the requirements stated 

in the approval to the waiver request. 

Paper applications must be received by 

HUD at the proper location by the 

deadline date. 

V. Application Review Information 

A. Criteria 

1. Criteria for Project Applications 

a. Departmental Policy Priorities. As 

outlined in the General Section, HUD 

has identified policy priorities that 

project applicants are encouraged to 

address through their proposed project 

plans. HUD has identified five 

Departmental policy priorities as being 

applicable for new HOPWA projects. 

Applications for HOPWA funding will 

receive rating points for each applicable 

Departmental policy priority initiative 

addressed through the proposed 

program activities and performance 

goals and objectives. Applicants must 

demonstrate how these priorities will be 

addressed through the Soundness of 

Approach of the application as outlined 

under Rating Factor 3. Under the points 

available for Rating Factor 3, one or two 

Rating Points, as specified below, will 

be awarded for each of the following 

addressed priorities: 

(1) In accordance with the General 

Section, for applicants seeking HOPWA 

funds for capital development activities, 

including rehabilitation or new 

construction, or identifying leveraged 

commitments of other funds for these 

activities in assisting HOPWA 

beneficiaries, for one rating point under 

project soundness of approach, you are 

encouraged to institute visitability and 

universal design standards in these 

activities undertaken with HOPWA 

funds. Visitability standards allow a 

person with mobility impairments 

access into the home, but do not require 

that all features be made accessible; and 

such standards incorporate universal 

design in the construction or 

rehabilitation of housing undertaken 

with HOPWA funds. Universal design 

provides housing that is usable by all 

without the need for adaptation or 

specialized design. 

(2) For one rating point under project 

soundness of approach, you are 

encouraged to propose projects in which 

the grantee, or the project sponsor(s), 

fulfills the policy priority for being a 

nonprofit, grassroots community-based 

organization, including faith-based 

organizations, as defined in the General 

Section. 

(3) For one rating point under project 

soundness of approach, you are 

encouraged to propose applications in 

which the grantee, or project sponsor(s), 

commits to follow the Energy Star 

standard in any new construction, or 

rehabilitation activity, or in maintaining 

housing or community facilities to be 

undertaken in the proposed project with 

HOPWA or other funds. This would also 

apply to undertaking program activities 

that include developing energy star 

promotional and information materials, 

providing outreach to low- and 

moderate-income renters and buyers on 

the benefits and savings when using 

Energy Star products. The Energy Star 

standard is as defined in the General 

Section. 

(4) For up to two rating points under 

project soundness of approach, you are 

encouraged to propose an application in 

which the grantee, or project sponsor(s), 

if it is a state or local government 

agency, as defined in the General 

Section, completes the regulatory 

barriers policy questionnaire, 

‘‘Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers’’ (Form 

HUD–27300) and provides the required 

documentation, contact information 

and/or a Web site link where the 

information can be readily found. 

b. Program Policies—Target 

Population. Prior to the award of other 

projects, HUD reserves the right to select 

the two highest rated applications (but 

not any that are rated at less than 75 

points) that demonstrate that the 

planned HOPWA activities and 

activities supported by leveraged funds 

will serve the special population of 

HOPWA eligible persons who are 

chronically homeless persons with HIV/ 

AIDS. Persons who are infected with 

HIV are more likely to be able to follow 

complex treatment regimens if they 

have a reliable address where they can 

be reached by care providers, a safe 

place to keep medications, refrigeration 

for drugs that require it, and other 

necessities that many of us take for 

granted. HUD is encouraging 

applications that strive to create 

additional models for permanent 

housing for eligible persons living with 

HIV/AIDS that are experiencing chronic 

homelessness. Applicants must work 

collaboratively with the local 

Continuum of Care Plans to create these 

models for persons living with HIV/ 

AIDS and their families and 

demonstrate a plan for the integration of 

HOPWA activities with those systems 

such as the use of HMIS. HMIS 

participation is required for all 

recipients of award funding under this 

NOFA whose projects intentionally 

target HOPWA eligible persons who are 

homeless or chronically homeless. In a 

number of Continuum of Care 

communities, HOPWA projects are 

directly involved in providing outreach, 

assessment, housing and supportive 

services to HOPWA eligible persons 

who are homeless at the time they enter 

into program support. HMIS activities or 

the use of related information 

technology systems may already be 

operating to support the delivery of 

housing information services to these 

HOPWA clients. 

c. Economic opportunities for lowand very low-income persons—Section 

3. For up to two rating points under 

project soundness of approach, you are 

encouraged to propose an application in 

which the grantee or project sponsor(s) 

demonstrate in their application how 

they will incorporate Section 3 

principles into their project with goals 

for expanding opportunities in their 

service area for Section 3 residents and 

businesses. As defined in Section V of 

the General Section, the purpose of 

Section 3 is to ensure that employment 

and other economic opportunities 

generated by F ederal financial 

assistance for housing and community 

development programs, shall, to the 

greatest extent feasible, be directed 

toward low- and very-low income 

persons. 

d. Application Selection Process for 

Projects. 

Rating Factor 1: Capacity of the 

Applicant and Project Sponsors and 

Relevant Organizational Experience (20 

points) (Minimum for Funding 

Eligibility—14 Points) 

Address the following factor by using 

not more than five double-spaced, typed 

pages or a similar chart or table. For 

each project sponsor, you may add two 

additional pages. This factor addresses 

the extent to which you and any project 

sponsor have the organizational 

resources necessary to successfully 

implement your proposed activities in a 

timely manner. If you will be using 

project sponsor(s) in your project, you 

must identify each project sponsor in 

your application. HUD will award up to 

20 points based on your and any project 

sponsor’s ability to develop and operate 

your proposed program in relation to 

which entity is carrying out an activity. 

(1) With regard to both you and your 

project sponsor(s), you should 

demonstrate: 

(a) Past experience and knowledge in 

serving persons with HIV/AIDS and 

their families; 

(b) Past experience and knowledge in 

programs similar to those proposed in 

your application, including HOPWA 

formula funding; 

(c) Experience and knowledge in 

monitoring and evaluating program 


rwilkins on PROD1PC63 with NOTICES_2
11670 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

performance and disseminating 

information on project housing outputs 

and client outcomes; and 

(d) Past experience as measured by 

expenditures and measurable progress 

in achieving the purpose for which 

funds were provided. 

(2) In reviewing the elements of the 

paragraph above, HUD will consider: 

(a) The knowledge and experience of 

the proposed project director and staff, 

including the day-to-day program 

manager, consultants, and contractors in 

planning and managing the proposed 

activities. You and any project sponsor 

will be judged in terms of recent, 

relevant, and successful experience of 

staff in undertaking eligible program 

activities. 

(b) Your and/or the project sponsor’s 

experience in managing complex 

interdisciplinary programs, especially 

those involving housing and community 

development programs directly relevant 

to the work activities proposed and 

carrying out grant management 

responsibilities. 

(c) If you and/or the project sponsor 

received funding in previous years in 

the program area for which you seek 

funding, those past experiences will be 

evaluated in terms of the ability to attain 

demonstrated measurable progress in 

the implementation of your grant 

awards. Measurable progress is defined 

as: 

(i) Meeting applicable performance 

benchmarks in program development 

and operation; 

(ii) Meeting project goals and 

objectives, such as the HOPWA output 

for the number of homeless persons 

assisted in comparison to the number 

that was planned at the time of the 

application; 

(iii) Submitting timely performance 

reports and other results, such as client 

outcomes in maintaining stable housing, 

reducing risks of homelessness and 

improving access to care; and 

(iv) Expending prior funding as 

outlined in the existing HOPWA grant 

agreement with HUD, with no 

outstanding audit or monitoring issues. 

Applicants must receive a minimum 

of 14 points in Rating Factor 1 to be 

eligible for funding under this NOFA. 

An application that plans to use project 

sponsors but fails to provide 

information on their capacity could not 

receive the minimum score. 

Rating Factor 2: Need/Extent of the 

Problem (15 Points) 

Address the following factor using not 

more than five double-spaced typed 

pages or similar chart or table. Up to 15 

points will be awarded for this factor. 

a. AIDS Cases (5 points). You must 

define your planned service area. HUD 

will obtain AIDS surveillance 

information pertinent to that area from 

the Director of the Centers for Disease 

Control and Prevention. Up to five 

points will then be awarded based on 

the relative numbers of AIDS cases and 

per capita AIDS incidence within your 

service area, in metropolitan areas of 

over 500,000 population and in areas of 

a state outside of these metropolitan 

areas, in the state for proposals 

involving state-wide activities, and in 

the nation for proposals involving 

nationwide activities. 

b. Description of Unmet Housing 

Need (10 points). Up to ten points will 

be awarded based on demonstration of 

need for funding eligible housing 

activities in the area to be served. To 

receive the maximum points, 

demonstrate that substantial housing 

and related service needs of eligible 

persons and/or the target population, as 

outlined in Section V.A.1.b., are not 

being met in the project area and that 

reliable statistics and data sources (e.g., 

Census, health department statistics, 

research, scientific studies, and Needs 

Analysis of Consolidated Plan and/or 

Continuum of Care documentation) 

show this unmet need. To receive the 

maximum points, show that specific 

elements of your jurisdiction’s 

Consolidated Plan and Analysis of 

Impediments to Fair Housing Choice, 

Continuum of Care Homeless Assistance 

plans (if homeless persons are to be 

served), and comprehensive HIV/AIDS 

housing plans are applicable to your 

project, and identify the level of the 

problem and the urgency of the need. A 

Consolidated Plan certification alone is 

not sufficient to demonstrate need for 

the project as established under this 

criterion. 

(1) If you apply for a SPNS grant, you 

must describe a housing need that is not 

currently addressed by other projects or 

programs in the area, including 

reference to the area’s existing HOPWA 

programs. You must further describe 

how the planned activity will 

complement these in a manner that is 

consistent with the community’s plan 

for a comprehensive and coordinated 

approach to housing needs of persons 

living with HIV/AIDS that establishes 

stable housing for clients and helps 

foster greater self sufficiency and 

independence. Also, describe any 

unresolved or emerging issues and the 

need to provide new or alternative 

forms of assistance that, if provided, 

would enhance your area’s programs for 

housing and related care for persons 

living with HIV/AIDS and their families. 

You must also describe how your 

project will enhance the community’s 

Consolidated Plan strategies for 

providing affordable housing and access 

to related mainstream services to 

HOPWA-eligible persons; or 

(2) If you apply as a long-term project 

that will operate in a non-formula area 

or balance-of-state area, you must 

describe the housing need that is not 

currently addressed by other projects or 

programs in the area including any 

HOPWA competitive grants or other 

HIV/AIDS housing projects and how the 

planned activity will complement these 

in a manner that is consistent with the 

community’s plan for a comprehensive 

and coordinated approach to housing 

needs of persons living with HIV/AIDS. 

You must also describe any unresolved 

or emerging issues and/or the need to 

provide forms of assistance that 

enhances the community’s strategy for 

providing housing and related services 

to eligible persons. 

HUD will evaluate your presentation 

of statistics and data sources based on 

soundness, reliability, and the 

specificity of information to the target 

population and the area to be served. If 

you propose to serve a subpopulation of 

eligible persons on the basis that these 

persons have been traditionally and are 

currently underserved (e.g., HOPWA 

eligible persons who are chronically 

homeless), your application must 

demonstrate the need for this targeted 

effort through statistics and data sources 

that support the need of this population 

in your service area. Programs may 

serve a qualified subpopulation of 

persons with AIDS based on the 

presence of another disability or group 

of disabilities, only if doing so is 

necessary to provide this subpopulation 

with housing, benefits, aid, or services 

as effective as that provided to others. 

See 24 CFR 8.4(b)(1)(iv). 

Rating Factor 3: Soundness of 

Approach: Responsiveness, 

Coordination and Public Policy 

Priorities, and Model Qualities (45 

Points) 

Address this factor on not more than 

ten (10) double-spaced, typed pages or 

similar chart or table. Include the 

HOPWA Budget forms identified in this 

NOFA. This factor addresses the method 

by which your plan meets your 

identified needs. HUD will award up to 

45 points (15 for responsiveness, 5 for 

coordination, 7 for public policy 

priorities, and 18 for model qualities) 

based on the extent to which your plan 

evidences a sound approach for 

conducting the HOPWA activities in a 

manner that is responsive to the needs 

of eligible persons and that your plan 

for project coordination will offer model 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11671 

qualities in providing supportive 

housing opportunities for eligible 

persons with access to mainstream 

health and human welfare services, 

when compared to other applications 

and projects funded under previous 

HOPWA competitions. 

a. Responsiveness, Coordination, and 

Public Policy Priorities (27 points). HUD 

will award up to 27 points 

(Responsiveness—15 points and 

Coordination—5 points and Public 

Policy Priorities—7 points) based on 

how well your project plans respond to 

the unmet needs in housing and related 

supportive services for the eligible 

population, including target populations 

outlined under Section V.A.1.b. You 

should demonstrate the extent to which 

you have coordinated your activities 

and the activities of your project 

sponsors with other organizations that 

are not directly participating in your 

proposed work activities. This involves 

organizations with which you share 

common goals and objectives in 

assisting eligible persons. In order to 

ensure that resources are used to their 

maximum effect within the community, 

it is important that you demonstrate 

collaboration and leveraging of other 

resources from state, local, and private 

funding resources. 

(1) Responsiveness (15 points). To 

receive the highest rating in this 

element, your application must address: 

• The projected number of persons to 

be served through each activity for each 

year of your program; 

• The projected number of housing 

units, by type, to be provided through 

your project, by year, over a 3-year 

period; and 

• The specific organizations, either 

through an agreement with your 

organization or through funding from 

your project, that will provide housing, 

and agreements with organizations that 

will provide mainstream supportive 

services, or other activities. Include a 

description of the roles and 

responsibilities of your project sponsors 

and/or other organizations within your 

project plan and how these will be 

coordinated in conducting eligible 

activities. To receive the maximum 

points for your project plan, you must 

explain and describe the eligible 

housing activities you or your project 

sponsor intend to conduct, where these 

activities will take place (either on-site 

or at another location), and how those 

activities will benefit eligible persons. 

Please describe: 

(a) Housing Activities. You must 

demonstrate how the emergency, 

transitional, or permanent housing 

needs of eligible persons will be 

addressed through one or more of the 

HOPWA eligible activities and through 

any other resources and how such 

activities are coordinated with other 

available housing assistance. Your plan 

for housing assistance must include: 

(i) Access to permanent supportive 

housing for applicants. In proposing a 

housing project, you must describe how 

eligible persons will access permanent 

housing and/or use emergency, shortterm and transitional housing support 

through your project and through any 

specific commitments with other 

community housing providers. If your 

project involves some initial emergency 

or transitional assistance for clients, 

please describe your plans to facilitate 

the movement of eligible persons 

receiving this emergency or transitional 

housing support to permanent housing 

or independent living arrangements 

within 24 months. 

(ii) Permanent housing placement. If 

you use funds to help beneficiaries 

secure new housing units, please 

describe your plans to use funds and the 

related housing outputs for these 

permanent housing placement services 

(under that budget line item) such as 

costs for first month’s rent and security 

deposits; 

(iii) Description of Housing Site. You 

must describe any appropriate site 

features including use of universal 

design, accessibility, visitability, and 

access to other community amenities 

associated with your project. 

(iv) Development and Operations 

Plan. You must describe a development 

and/or operations plan for the 

emergency, transitional, or permanent 

housing assistance you are proposing to 

provide. For rental assistance programs, 

this will include your plan for providing 

rental assistance, proposed housing sites 

if project-based, and length of stay if 

less than ongoing permanent supportive 

housing. If you are proposing to use 

HOPWA funds for the acquisition, 

rehabilitation, or new construction of a 

housing facility, your plan must also 

document that you have secured other 

funding sources, including plans for 

coordinating the use of other resources 

that are committed to undertaking the 

development activities. Please identify 

the planned site or structure and 

describe any progress on securing the 

identified project site(s) or structure(s), 

to demonstrate that the development 

activities will be undertaken consistent 

with the related benchmarks for those 

activities. The project must be costeffective, including costs not deviating 

substantially from the norm in that 

locale for the type of structure or kind 

of activity. The highest rated projects 

involving development costs will 

demonstrate that HOPWA funds will 

not be used as the initial or sole funding 

source for capital development housing 

projects and significant progress has 

been made to identify and secure the 

proposed project site or structure. 

(v) Operational Procedures. Describe 

your outreach, intake, engagement and 

assessment procedures, as well as how 

eligible persons will receive housing 

support with access to medical care and 

other supportive services provided by 

other organizations. Describe the use of 

housing being funded from other 

sources, and how your project provides 

for ongoing assessments of the housing 

service benefits received by eligible 

persons. Include a description of how a 

client moves through the housing 

program from outreach, intake, client 

assessment, the delivery of housing 

services, the use of emergency, 

transitional, or permanent housing, and 

when appropriate, the outplacement to 

more self-sufficient independent 

housing. If persons who are homeless 

are to be assisted, including persons 

who are chronically homeless, describe 

the housing activities and necessary 

support to identify, prioritize and 

respond to their supportive housing 

needs in coordination with other area 

assistance for persons who are 

homeless. Also address the number of 

permanent housing beds for the 

chronically homeless that would 

become available for occupancy during 

each of your project operating years. 

(b) Supportive Service Activities. You 

must describe how you will address the 

supportive service needs of eligible 

persons with HOPWA assistance 

(subject to applicable limitations) and 

the use of any additional leveraged 

resources by describing the type of 

supportive services that will be offered 

directly by the program and/or how 

agreements and project plans will assure 

that services will be accessed and 

coordinated from other mainstream 

health and human welfare sources. 

Explain the connection of these services 

in helping eligible persons obtain and/ 

or maintain stable housing. Supportive 

service costs may represent no more 

than 35 percent of your proposed budget 

for program activities. In describing 

your supportive services delivery plan 

explain: 

(i) How agreements provide that 

eligible persons will have access to 

mainstream programs that offer health 

care and other supportive services; 

(ii) How project plans ensure that 

eligible persons will participate in 

decision-making in the project 

operations and management; and 

(iii) Your plan for delivering 

supportive services through a 

comprehensive plan that shows how 


rwilkins on PROD1PC63 with NOTICES_2
11672 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

agreements provide that eligible persons 

access medical care and other 

mainstream supportive services to 

address their needs. 

(c) Additional HOPWA Activities. You 

must describe your plan for utilizing 

other requested HOPWA funds 

(described at 24 CFR 574.300(b)). 

Explain how these activities will be 

integrated into your overall plan in the 

provision of housing and related 

supportive services to eligible persons. 

(d) Other Approvable Activities. As 

authorized by statute, HUD may 

approve other activities that are in 

addition to the activities at 24 CFR 

574.300(b). You may propose other 

activities in your application, which can 

be undertaken only if approved by HUD 

due to their relevance in addressing the 

housing needs of eligible persons. You 

must describe the reason for the need to 

request authorization for ‘‘other 

activities’’ and the benefits likely to 

occur if the activities are authorized. 

Also, address how the project would 

operate, or not, if such request were not 

approved. 

(2) Coordination (5 points). You 

should demonstrate the extent to which 

you have coordinated your planned 

application activities and the activities 

of your project sponsors with other 

organizations that are not directly 

participating in your proposed work 

activities. This involves organizations 

for which you share common goals and 

objectives. You may provide 

information on your primary decisionmaking group in providing leadership to 

your efforts as well as other 

organizations participating in planning 

activities, such as committees, 

workgroups, public meetings, forums 

etc. and the frequency of meetings. You 

will be rated on the extent to which you 

demonstrate you have: 

(a) Coordinated your proposed 

application activities with those of other 

groups or organizations within the 

community or region prior to 

submission, to best complement, 

support, and coordinate all housing and 

supportive service activities including 

specific reference to how the proposal is 

coordinated with existing HOPWA 

programs in that area (formula and 

competitive) and how the planned 

efforts complement the existing 

programs; 

(b) Developed your project through 

consultation with other stakeholders, 

such as organizations, groups, or 

consumers involved with area HIV/ 

AIDS housing and service planning, 

including planning under the Ryan 

White CARE Act and other federal 

planning. The highest rated applications 

will demonstrate that the project is 

closely and fully integrated with HUD’s 

planning processes, such as the 

jurisdiction’s Consolidated Planning 

process or the community’s Continuum 

of Care Homeless Assistance planning 

process (if homeless persons are to be 

served by proposed activities and 

related use of Homeless Management 

Information Systems (HMIS) to 

coordinate benefits for clients); 

(c) Coordinated with other HUDfunded programs outside of the 

Consolidated Planning process; for 

example, accessing additional housing 

resources through a local public housing 

authority; and 

(d) Coordinated with mainstream 

resources including private, other 

public, and mainstream services and 

housing programs. To achieve the 

maximum points, applicants must 

evidence explicit agency strategies to 

coordinate client assistance with 

mainstream health, social service, and 

employment programs for which 

eligible persons may benefit. 

(3) Public Policy Priorities (7 points). 

Applications for HOPWA funding will 

receive rating point(s) for each 

applicable Department policy priority 

initiative addressed through the 

proposed program activities and 

performance goals and objectives. 

Applicants must make a specific 

statement on their commitment to 

address each priority or to otherwise 

demonstrate how these priorities will be 

addressed: 

(a) In accordance with the General 

Section, for applicants seeking HOPWA 

funds or uses related leveraged funds for 

capital development activities, 

including rehabilitation or new 

construction, for one rating point under 

project soundness of approach, your 

application describes the use of 

universal design and visitability 

standards in development activities 

undertaken with HOPWA or leveraged 

funds and incorporate universal design 

in the construction or rehabilitation of 

housing undertaken with HOPWA 

funds. Visitability standards allow a 

person with mobility impairments 

access into the home, but do not require 

that all features be made accessible. 

Universal design provides housing that 

is usable by all without the need for 

adaptation or specialized design. 

(b) For one rating point under project 

soundness of approach, your 

application involves participation as the 

grantee, or as a project sponsor(s), by a 

nonprofit grassroots community-based 

organization, including faith-based 

organizations, as defined in the General 

Section. 

(c) For one rating point under project 

soundness of approach, the grantee, or 

project sponsor(s), commits to promote 

energy efficiency by adopting or 

following the Energy Star standard in 

any new construction or rehabilitation 

activity or in maintaining housing or 

community facilities to be undertaken 

in the proposed project with HOPWA or 

other funds. This would also apply to 

undertaking program activities that 

include developing Energy Star 

promotional and information materials, 

providing outreach to low- and 

moderate-income renters and buyers on 

the benefits and savings when using 

Energy Star products. The Energy Star 

standard is as defined in the General 

Section. 

(d) For two rating points under project 

soundness of approach, your 

application involves a state or local 

government agency as the grantee, or as 

a project sponsor(s), and that agency 

completes the regulatory barriers policy 

questionnaire, including providing the 

required documentation, as defined in 

the General Section. 

(4) Economic Opportunities for Lowand Very-Low Income Persons—Section 

3. For up to two rating points under 

project soundness of approach, your 

application demonstrates how you are 

incorporating Section 3 principles into 

your project with goals for expanding 

employment and other opportunities in 

your service area for Section 3 residents 

who are low and very-low income 

persons, and related business concerns, 

as defined in Section III.C.4 of the 

General Section, 

b. Model Qualities (18 points). HUD 

will award up to 18 points based on 

your service delivery plan and how well 

it will serve as a model for a housing 

project during the operating period. 

HUD expects the proposed project to 

show exemplary and/or innovative 

qualities that address the ongoing 

housing needs of eligible persons by 

establishing or maintaining stable 

housing arrangements by project 

activities that will be undertaken within 

a replicable operational framework. To 

receive the maximum points, you must 

offer a housing plan that describes the 

following: 

(1) Policy Priorities. If applicable to 

your application, describe how you will 

meet the Departmental policy priorities 

for assisting the special population of 

HOPWA-eligible persons who are 

chronically homeless persons with HIV/ 

AIDS. HUD is encouraging applications 

that strive to create additional models 

for permanent housing for persons 

living with HIV/AIDS that are 

experiencing chronic homelessness. 

Applicants addressing this population 

must work collaboratively with the local 

Continuum of Care plans to create this 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11673 

permanent housing for persons living 

with HIV/AIDS and their families. 

(2) Project Management and 

Oversight. Describe your method for 

managing and overseeing activities, 

including those of your organization, 

your project sponsor, and any other 

organization. Identify staff members 

who are responsible for management 

and oversight of the project and activity 

implementation and sustainability 

plans. 

(3) Evaluation Plan. In addition to 

required HOPWA outputs and outcomes 

your evaluation plan should identify 

what you are going to measure, how you 

are going to measure it, the steps you 

have in place to make adjustments to 

your work plan if performance targets 

are not met within established 

timeframes, and how you plan to share 

successes and lessons learned in 

undertaking your activities with other 

communities. 

(4) Model Features. Describe how the 

planned efforts for the type of proposed 

project, Long-term or SPNS, will 

represent model or exemplary qualities 

in service delivery, management, or 

other features in connection with other 

HOPWA-funded projects in your 

community including any local 

assessment of these features. For a Longterm project, the features must involve 

housing activities to be undertaken in a 

non-formula area. A SPNS project must 

involve a plan and commitments to 

establish or maintain stable housing 

arrangements by showing exemplary 

and/or innovative qualities. If you 

propose a new program, or an 

alternative method of meeting the needs 

of your eligible population, describe 

how the innovative qualities of your 

activities will result in knowledge 

gained or lessons learned for achieving 

greater housing opportunities and 

supportive services for persons living 

with HIV/AIDS. HUD will rate your 

application higher if you provide strong 

evidence that your methods will yield 

qualities that will benefit or expand 

knowledge in serving eligible persons, 

when compared to other applications 

and HOPWA projects. To learn about 

qualities of previously funded and 

ongoing HOPWA projects, you may 

review the HOPWA Executive 

Summaries for HOPWA grantees at 

http://www.hud.gov/offices/cpd/ 

aidshousing. 

(5) Model Descriptive Budget. HUD 

will review your budget under the 

HOPWA budget form (HUD–40110–B) 

in describing: 

(a) How each amount of requested 

funding for you and your project 

sponsors will be used and the related 

use of leveraged resources; 

(b) How each line item will relate to 

your description of planned eligible 

HOPWA activities; and 

(c) The clarity and completeness of 

your summary statement of the planned 

activities for your project by budget line 

item and the use of any leveraged funds 

or other resources by the grantee and 

sponsor(s). 

You must complete the HOPWA 

Project Budget Form as described above. 

Rating Factor 4: Leverage and 

Sustainability (10 Points) (Minimum for 

Funding Eligibility 1 Point) 

This factor addresses your ability to 

secure community resources that can be 

combined with HUD’s funds to achieve 

program purposes and to ensure 

sustainability of the housing efforts. 

HUD will award up to 10 points based 

on the extent to which resources from 

other state, local, federal, or private 

resources are listed with the required 

elements to demonstrate that these 

funds are committed at the time of 

application to support and sustain your 

project. To receive the highest 

leveraging points based on the amount 

of commitments, up to 8 points, you 

must provide information on the 

commitment of other resources that at 

least equal the amount of the HOPWA 

request for program activities (not 

including administrative costs) as part 

of your plan to operate this project over 

the next 3 year period. Applications 

must receive a minimum of 1 point in 

this Rating Factor to demonstrate the 

commitment of other resources to be 

eligible for funding under this NOFA 

with the standards described in Section 

IV (B)4 on Leveraging. Applicants will 

be awarded points based on the content 

of a list or chart for the commitments 

with the following information: the 

name and address of the organization(s) 

providing the commitment(s) (note if 

the organization will serve as a project 

sponsor); the type of commitment 

(applicant or third party cash resources, 

non-cash resources, volunteer time, 

contribution of a building, contribution 

of lease hold interest); the dollar value 

of the commitment; the date of the 

commitment letter or other document; 

the source of the funding, such as 

federal, state, local, private or in-kind 

contributions; and the organization’s 

authorized representative’s name, title, 

and contact information who has made 

this commitment. For up to two 

additional points, the application must 

address the project’s sustainability as 

shown in a plan for obtaining and 

coordinating identified resources to be 

more financially self-sustaining. The 

highest rated plan will show how the 

project will decrease dependency on 

federal funding at the end of the 

operating period and rely more on state, 

local, and private funding to continue 

support for beneficiaries. 

Factor 5: Achieving Results and 

Program Evaluation (Maximum 10 

points) 

Address this factor in your Logic 

Model (and optionally in a 

supplemental related narrative if 

performance elements are added to 

those available on this form) on not 

more than three additional doublespaced, typed pages or similar chart or 

table. Under this factor, HUD will award 

10 points based on how well your 

application demonstrates a commitment 

to ensuring that the goals that you set 

forth and your performance will be 

assessed in a clear and effective manner. 

HUD will analyze how well you have 

clearly implemented the required 

HOPWA program output and outcome 

goals and identified other stated benefits 

or outcomes of your program including 

your activities, benchmarks, and interim 

activities or performance indicators 

with timelines. HUD will award the 

highest points to applications that 

demonstrate an evaluation plan that will 

objectively measure actual 

achievements against anticipated 

achievements. 

The highest-rated applications will 

have a clear plan to address the HOPWA 

client outcome goals increase the 

amount of housing assistance provided 

to eligible persons, to establish or 

maintain housing stability, reduce the 

risks of homelessness for eligible 

persons, and improve access to health 

care and other support. The application 

may also optionally address other 

related indicators of relevant outcomes. 

The highest rated applications will 

also have a clear plan to use the 

HOPWA housing output measures—the 

projected number of households to be 

assisted in HOPWA-supported housing 

units by type (tenant-based rental 

assistance, STRMU payments and 

assistance in housing facilities) to be 

provided to eligible households through 

your project during each projectoperating year. The application may 

also optionally address other related 

outputs. Your application must include 

the Logic Model form (HUD–96010) to 

receive any points under this factor. 

B. Reviews and Selection Process 

1. HOPWA Project Applications 

a. Threshold Reviews. HUD will 

review your HOPWA application to 

ensure that it meets the threshold 

requirements found in the General 

Section and Section III.C of this NOFA 


rwilkins on PROD1PC63 with NOTICES_2
11674 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

pertaining to a request for a Long-term 

project or an SPNS project. 

b. HUD Reviews. HUD staff will 

conduct this review, including HUD 

staff from Community Planning and 

Development (CPD) at Headquarters and 

HUD’s state and area field offices. 

c. Procedures for the Rating and 

Selection of Applications. HUD will rate 

all HOPWA applications based on the 

factors listed above. The points awarded 

for the factors total 100. In addition, 

HUD will award two bonus points to 

each application that includes a valid 

form HUD–2990 certifying that the 

proposed activities/projects in the 

application are consistent with the 

strategic plan for an empowerment zone 

(EZ) designated by HUD or the United 

States Department of Agriculture 

(USDA), the tax incentive utilization 

plan for an urban or rural renewal 

community designated by HUD (RC), or 

the strategic plan for an enterprise 

community designated in Round II by 

USDA (EC–II) and that the proposed 

activities/projects will be located within 

the RC/EZ/EC–II identified above and 

are intended to serve the residents. A 

listing of the RC/EZ/EC–IIs is available 

on the Internet at http://www.hud.gov/ 

offices/cpd/economicdevelopment/ 

programs/rc/tour/roundnumber.cfm. 

This notice contains the certification 

form HUD–2990 that must be completed 

for the applicant to be considered for 

RC/EZ/EC–II bonus points. Whether 

your HOPWA application is 

conditionally selected will depend on 

your overall ranking compared to other 

applications within each of the two 

categories of assistance, long-term 

projects or SPNS projects, and the 

amount of funds that are available to be 

awarded by this competition. Funds 

made available from federal Fiscal Year 

2007 must first be used to fund the 

priority selection of expiring 

competitive projects that undertake 

permanent supportive housing activities 

(as a change from prior years, renewal 

applicants are not part of this NOFA 

process and will be conducted by HUD 

by a separate action). If any such funds 

remain after renewal actions are funded, 

then the funds will be used under this 

NOFA competition to fund additional 

projects. HUD will select applications in 

rank order in each category of assistance 

(Long-term and SPNS) to the extent that 

funds are available, except as outlined 

in this Program NOFA, where HUD 

reserves the right to select two projects 

addressing the housing needs of persons 

who are chronically homeless as the 

target population established under 

program policies. In allocating amounts 

to the categories of assistance, HUD 

reserves the right to ensure that 

sufficient funds are available for the 

selection of at least one application with 

the highest ranking under each category 

of assistance. HUD will not select an 

application that is rated below 75 

points, nor will an application be 

funded if it receives a Rating Factor 1—

Capacity score lower than 14 points or 

Rating Factor 4—Leveraging score lower 

than 1 point. 

In the event of a tie between 

applications in a category of assistance, 

HUD reserves the right to break the tie 

by selecting the proposal that was 

scored higher on a rating criterion in the 

following order: Rating Factor 3; Rating 

Factor 5; Rating Factor 1; Rating Factor 

2; and Rating Factor 4. 

C. Anticipated Announcement and 

Award Dates 

The anticipated announcement of the 

projects selected under this notice is no 

later than August 31, 2007. 

VI. Award Administration Information 

A. Award Notices 

1. Applicant Notification. HUD will 

notify the eligible applicants of their 

conditional selection or rejection for 

awards by e-mail or by a letter to be 

mailed to the applicant’s authorized 

official at the address or e-mail address 

provided in your application. For 

conditionally selected applicants, the 

CPD Division of HUD’s state or area 

office will provide a second letter with 

a copy of a proposed grant agreement 

along with instructions on any 

adjustments to the grant amount 

requested and other conditions 

identified during the review for 

conducting planned activities and on 

the close out of the current grant. 

2. Award Modifications. After 

reviewing each application, HUD 

reserves the right to take each of the 

following actions: 

a. HUD reserves the right to make 

award adjustments as outlined in 

Section VI.A.2, Adjustments to Funding, 

of the General Section. 

b. In the event that a conditionally 

selected applicant is unable to meet any 

conditions for funding within the 

specified time, HUD reserves the right 

not to make an award to that applicant. 

In the event that a conditionally 

selected applicant is continuing to 

operate under the prior grant, and has 

sufficient funds to continue current 

operations for at least six months 

following the date of notification of 

selection, HUD may take any of the 

following actions: (i) Follow procedures 

to terminate the prior grant and 

recapture remaining funds after this 

date, consistent with the terms of the 

applicable grant agreement and 24 CFR 

574.500(c); or (ii) adjust the amount of 

the new award by the amount of funds 

remaining after this date in the prior 

grant. 

c. In making an award to the final 

selected project (by order of ranking), 

HUD may offer less than the full amount 

requested by an applicant that had 

received sufficient points to be selected, 

but for which there are insufficient 

funds remaining to provide the full 

funding request. HUD may also use 

funds from an award reduced under 

item b, above, to restore amounts to a 

funding request that had been reduced 

in this competition due to the 

application’s lower rating status; 

d. If an applicant turns down an 

award, an award is not made, or if there 

are sufficient award adjustments to 

make additional awards feasible, HUD 

reserves the right to: (a) offer an award 

to the next highest rated application(s) 

in this competition in their ranked 

order; (b) add remaining or recaptured 

amounts to the funds that become 

available for a future competition; or (c) 

restore amounts to a funding request 

that had been reduced in this 

competition. 

3. Applicant Debriefing. Applicants 

requesting to be debriefed must send a 

written request to: Department of 

Housing and Urban Development; 

Attention: Office of HIV/AIDS Housing; 

451 Seventh Street, SW., Room 7212; 

Washington, DC 20401–7000. 

Telephone number is (202) 708–1934. 

Persons with hearing or speech 

challenges may access the above 

number via TTY (text telephone) by 

calling the Federal Information Relay 

Service at 800–877–8339 (this is a tollfree number). Additional information 

regarding debriefing can be found in the 

General Section. 

B. Administrative and National Policy 

Requirements 

1. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Toward 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Contract Projects. See the 

General Section for the information on 

how to meet this requirement. 

2. Procurement of Recovered 

Materials. See the General Section for 

the information on how to meet this 

requirement. 

C. Reporting 

1. Six-Month Report. For any new 

project (i.e., a conditionally selected 

applicant that has not previously 

received a HOPWA competitive grant), 

you must provide an initial report to the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11675 

field office and HUD Headquarters on 

the startup of the planned activities 

within six months of your selection. 

Your report must outline your 

accomplishments and identify any 

barriers or issues for which the 

Department may provide assistance on 

the start-up on your new award. 

2. Measuring Performance. You must 

report after each year of operation on 

the annual accomplishments of your 

projects under the HOPWA annual 

progress report (form HUD–40110–B), 

comparing your results to proposed 

plans, including reporting under the 

required HOPWA Performance Goals 

including reporting on annual housing 

outputs and client outcomes in 

achieving housing stability, reduced 

risks of homelessness, and improved 

access to health care and other needed 

support. For each reporting period, you 

must provide a completed Logic Model 

showing progress to date against 

projected outputs and outcomes 

contained in your approved grant 

agreement. In addition, on an annual 

basis, you must respond to the 

management questions in the Program 

Logic Model found as an appendix to 

this program Section. HUD will use 

these reports and information obtained 

from HUD financial systems, along with 

any remote or on-site monitoring, to 

measure your progress and 

achievements in evaluating your 

performance on your HOPWA grant. 

3. Beneficiary Information. HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. It has 

adopted the Office of Management and 

Budget’s (OMB) Standards for the 

collection of Racial and Ethnic Data. In 

view of these requirements, you should 

use one of the following: 

• HUD–27061, Racial and Ethnic Data 

Reporting Form (instructions for its use) 

found on www.HUDclips.org; 

• A comparable program form 

(HOPWA—Annual Progress Report 

(APR) form HUD–40110–C); or 

• A comparable electronic data 

system for this purpose. 

VII. Agency Contacts 

A. For Further Information and 

Technical Assistance (TA). For 

technical assistance in downloading an 

application package from Grants.gov/ 

Apply, contact the Grant.gov help desk 

at 800–518–Grants or send an e-mail to 

support@grants.gov. For programmatic 

information, you may contact the HUD 

field office serving your area. You can 

find the telephone number for the State 

or Area Office of Community Planning 

and Development on HUD’s Web site at: 

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

fundsavail.cfm. HUD staff can assist 

with program questions, but may not 

assist in preparing your application. 

Persons with hearing or speech 

impairments may access the above 

number via TTY (text telephone) by 

calling the toll-free Federal Information 

Relay Service at 800–877–8339. 

B. Seeking Technical Assistance (TA) 

in Developing a HOPWA Application. 

HOPWA TA providers may not provide 

technical assistance in the drafting of 

responses to HUD’s NOFA due to the 

unfair advantage such assistance gives 

to one organization over another. If HUD 

determines that HOPWA technical 

assistance has been used to draft a 

HOPWA application, HUD reserves that 

right to reject the application for 

funding. If, after your application has 

been selected for an award, HUD 

determines that HOPWA technical 

assistance was used to draft your 

application, the award will be 

withdrawn and you may be liable to 

return to HUD any funds already spent. 

C. Satellite Broadcast. HUD will hold 

information broadcasts via satellite for 

potential applicants to learn more about 

the program and preparation of the 

application. For more information about 

the date and time of the broadcast, you 

should consult the HUD Web site at 

www.hud.gov/grants. 

VIII. Other Information 

Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by OMB under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2506–0133. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 413 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

collecting, reviewing, and reporting the 

data for the application, semi-annual 

reports, and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
11676 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.023</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11677 

Assisted Living Conversion Program 

(ALCP) for Eligible Multifamily Housing 

Projects 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of the Assistant Secretary for 

Housing-Federal Housing 

Commissioner. 

B. Funding Opportunity Title: The 

Assisted Living Conversion Program for 

Eligible Multifamily Projects. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: The 

OMB Approval Number is: 2502–0542. 

The Federal Register number for this 

NOFA is FR–5100–N–28. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: The 

Assisted Living Conversion Program for 

Eligible Multifamily Housing Projects is 

14.314. 

F. Dates: Applications must be 

received and validated by Grants.gov no 

later than 11:59:59 p.m. Eastern Time on 

June 7, 2007. See the General Section for 

specific instructions regarding 

application submission. 

G. Optional, Additional Overview 

Content Information: The purpose of 

this program is to provide grants for the 

conversion of some or all of the 

dwelling units in an eligible project into 

assisted living facilities (ALFs) for frail 

elderly persons. Private nonprofit 

owners of eligible developments 

interested in applying for funding under 

this grant program should carefully 

review the General Section and the 

detailed information listed in this 

NOFA. Funding will only be provided 

for those items related to the 

conversion. 

The ALCP will fund those 

applications that may impact federal 

problem solving and policymaking and 

that are relevant to HUD’s policy 

priorities and annual goals and 

objectives. Refer to the General Section 

for discussion of these priorities and 

annual goals and objectives. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description. Assisted 

living facilities (ALFs) are designed to 

accommodate frail elderly persons and 

people with disabilities who need 

certain support services (e.g., assistance 

with eating, bathing, grooming, 

dressing, and home management 

activities). ALFs must provide support 

services such as personal care, 

transportation, meals, housekeeping, 

and laundry. Frail elderly person means 

an individual 62 years of age or older 

who is unable to perform at least three 

activities of daily living (ADLs) as 

defined by the regulations for HUD’s 

Section 202 Program (Supportive 

Housing for the Elderly) at 24 CFR 

891.205. Assisted living is defined in 

section 232(b)(6) of the National 

Housing Act (12 U.S.C. 1715w). 

The ALCP provides funding for the 

physical costs of converting some or all 

of the units of an eligible multifamily 

development into an ALF, including 

unit configuration and related common 

and services space and any necessary 

remodeling, consistent with HUD or the 

state’s statute/regulations (whichever is 

more stringent). Typical funding will 

cover basic physical conversion of 

existing project units, as well as related 

common and services space. There must 

be sufficient community space to 

accommodate a central kitchen or 

dining facility, lounges, recreation, and 

other multiple-areas available to all 

residents of the project, and/or office/ 

staff spaces in the ALF. When food is 

prepared at an off-site location, the 

preparation area of the facility must be 

of sufficient size to allow for the 

installation of a full kitchen, if 

necessary. You must provide supportive 

services for the residents either directly 

or through a third party. Your 

application must include a firm 

commitment for the supportive services 

to be offered within the ALF. You may 

charge assisted living residents for 

meals and/or service fees. Residents 

may contract with third party agencies 

directly for nursing, therapy, or other 

services not offered by the ALF. 

B. Authority. The Assisted Living 

Conversion Program is authorized by 

Section 202b of the Housing Act of 1959 

(12 U.S.C. 1701q–2) and the Revised 

Continuing Appropriations Resolution, 

2007 (Pub. L. 110–5, approved February 

15, 2007) which provides $24.8 for the 

conversion of eligible projects to 

assisted-living or related use and for 

emergency repairs, and the governmentwide rescissions pursuant to the 

Department of Defense Appropriations 

Act. 

II. Award Information 

A. Available Funds. This NOFA 

makes available approximately $30 

million including carryover funds. The 

funds will be used for the physical 

conversion of eligible multifamily 

assisted housing projects or portions of 

projects to ALFs. 

Under the ALCP, the 18 HUD 

Multifamily Hubs are grouped into four 

geographical areas so that the amount of 

fair-shared grant funds will be sufficient 

to enable reasonable competition, and 

insure projects of feasible size and 

quality. The four geographical areas and 

the lead Hub under the ALCP for each 

are: 

The lead Hub for the East Geographic 

Area is Buffalo (the other Hubs which 

feed into Buffalo for the ALCP are 

Boston, New York, Philadelphia and 

Baltimore). 

The lead Hub for the South 

Geographic Area is Fort Worth (the 

other Hubs which feed into Fort Worth 

for the ALCP are Greensboro, 

Jacksonville, and Atlanta). 

The lead Hub for the Central 

Geographic Area is Kansas City (the 

other Hubs which feed into Kansas City 

for the ALCP are Chicago, Columbus, 

Detroit, and Minneapolis). 

The lead Hub for the West Geographic 

Area is San Francisco (the other Hubs 

which feed into San Francisco for the 

ALCP are Seattle, Los Angeles, and 

Denver). 

The allocation formula used to fair 

share the $30 million for the ALCP 

reflects demographic characteristics of 

age and incidence of frailty that would 

be expected for program participants. 

The FY2007 formula consists of one 

data element from the 2000 decennial 

census: The number of non-institutional 

elderly population aged 75 years or 

older with a disability. A fair share 

factor for each state was developed by 

taking the sum of the persons aged 75 

or older with a disability within each 

state as a percentage of the sum of the 

same number of persons for the total 

United States. The resulting percentage 

for each state was then adjusted to 

reflect the relative difference in the cost 

of providing housing among the states. 

The total of the grant funds available 

was multiplied by the adjusted fair 

share percentage for each state, and the 

resulting funds for each state were 

totaled for each Hub. 

The ALCP grant funds fair share 

allocations, based on the formula above, 

for the four geographical areas are as 

shown on the following chart: 

B. FY 2007 Allocation 

FY 2007 ALLOCATION FOR THE ASSISTED LIVING CONVERSION PROGRAM (ALCP) OF ELIGIBLE ASSISTED MULTIFAMILY PROJECTS

Area Grant 

authority 

East ........................................... $7,530,990 

South ........................................ 9,504,338 

Central ...................................... 7,043,100 

West .......................................... 5,921,572 

Total ................................... 30,000,000 


rwilkins on PROD1PC63 with NOTICES_2
11678 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

The ALCP Grant Agreement, when 

fully executed, obligates the HUD funds. 

This Agreement establishes the legal 

relationship between HUD and the 

ALCP award recipient. The period of 

performance will be based on the scope 

of work but shall not exceed 18 months. 

III. Eligibility Information 

A. Eligible Applicants. Only private 

nonprofit owners of eligible multifamily 

assisted housing developments 

specified in section 683(2)(B), (C), (D), 

(E), (F), and (G) of the Housing and 

Community Development Act of 1992 

(Pub. L. 102–550, approved October 28, 

1992) may apply for an ALCP grant. 

Note: If your eligibility status changes 

during the course of the grant term, making 

you ineligible to receive the grant (e.g., 

prepayment of mortgage, sale/TPA of 

property, opting out of a Section 8 Housing 

Assistance Payment (HAP) contract, or the 

transfer of the grant to a single asset entity), 

HUD retains the right to terminate the grant 

and recover funds made available through 

this NOFA. 

1. Ineligible Applicants. Ineligible 

applicants are: 

a. Owners of developments designed 

specifically for people with disabilities. 

b. Owners of Section 232 

developments. 

c. Property management companies 

and agents of property management 

companies. 

d. Limited dividend partnerships. 

e. Nonprofit Public Agencies. 

f. Owners of hospitals or other healthrelated facility which are considered to 

be eleemosynary institutions. 

g. Owner of an existing insured or 

privately owned Assisted Living 

Facility. 

h. Owners of commercial structures. 

2. Eligible Developments. Eligible 

projects must be owned by a private, 

nonprofit entity and designated 

primarily for occupancy by elderly 

persons. Projects must have been in 

occupancy for at least five years from 

the date the form HUD–92485, 

Permission to Occupy Project Mortgage, 

was approved by HUD and have 

completed final closing. Eligible 

projects may only receive one grant 

award. Additionally, eligible projects 

must meet one of the following criteria: 

a. Section 202 direct loan projects 

with or without Section 8 rental 

assistance, 

b. Section 202 capital advance 

projects receiving rental assistance 

under their Project Rental Assistance 

Contract (PRAC), 

c. Section 515 rural housing projects 

receiving Section 8 rental assistance, 

d. Other projects receiving Section 8 

project-based rental assistance, 

e. Projects subsidized with Section 

221(d)(3) below-market interest 

mortgage, 

f. Projects assisted under Section 236 

of the National Housing Act. 

B. Cost Sharing or Matching. No 

matching required. 

C. Eligibility Requirements 

1. Eligible conversion activities are: 

a. Retrofitting to meet Section 504 

accessibility requirements, minimum 

property standards for accessibility and/ 

or building codes and health and safety 

standards for ALFs in that jurisdiction. 

Examples are items such as addition of: 

(1) Upgrading to accessible units for 

the ALF with moveable cabinetry, 

accessible appliances, sinks, bathroom 

and kitchen fixtures, closets, hardware 

and grab bars, widening of doors, etc.; 

(2) An elevator or upgrades thereto; 

(3) Lighting upgrades; 

(4) Major physical or mechanical 

systems of projects necessary to meet 

local code or assisted living 

requirements; 

(5) Sprinkler systems; 

(6) Upgrades to safety and emergency 

alert systems; 

(7) Addition of hallway railings; and 

(8) Medication storage and 

workstations. 

b. Retrofitting to add, modify and/or 

outfit common space, office or related 

space for ALF staff including a service 

coordinator and file security, and/or a 

central kitchen/dining facility to 

support the ALF function (e.g., outfit 

lounge/common space/dining furniture, 

kitchen equipment for cooking/serving 

and dishware). 

c. Retrofitting to upgrade a regular 

unit to an accessible unit for a person/ 

family with disabilities who is being 

displaced from an accessible unit in the 

portion of the project that is being 

converted to the ALF, where another 

accessible unit is not available. 

d. Temporary relocation. 

e. Consultant, architectural, and legal 

fees. 

f. Vacancy payments limited to 30 

days after conversion to an ALF. 

g. Any excess Residual Receipts (over 

$500/unit) and Reserve for Replacement 

funds (over $1000/unit) in Project 

Accounts that are not approved for 

another use at the time of application to 

HUD under this NOFA are considered 

available funds and must be applied 

toward the cost of conversion activities. 

Before making this determination, 

however, HUD staff will consider the 

extent of repair/replacement needs 

indicated in the most recent Real Estate 

Assessment Center (REAC) physical 

inspection and not yet approved and 

any ongoing commitments such as nongrant-based service coordinator or other 

funding, where existing, deduct the 

estimated costs of such items from the 

reserve for replacement and residual 

receipts balances to determine the 

extent of available residual receipts and 

reserve for replacement funds for the 

ALCP. 

2. Threshold Requirements. In 

addition to the threshold criteria 

outlined in the General Section, 

applicants must meet the following 

requirements to receive funding for this 

program. 

a. Be an eligible applicant. 

b. DUNS Requirement. All ALCP 

applicants must have a DUN and 

Bradstreet Universal Data Numbering 

Systems (DUNS) number. The DUNS 

number must be included in the data 

entry field labeled ‘‘organizational 

DUNS’’ on the form SF–424. 

Instructions for obtaining a DUNS 

number can be found at either 

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

duns.cfm or http://www.grants.gov/ 

applicants/request_duns_number.jsp. 

c. You cannot request more funds 

than allocated for your geographical 

area. (See the allocation chart above in 

Section II.B.) 

d. You must provide commitment and 

funding support letters from the 

appropriate funding organizations and 

the appropriate licensing agency(ies). 

HUD will reject your application if the 

commitment and support letter(s) from 

the appropriate funding organizations 

and the appropriate licensing 

agency(ies): 

(1) Are not submitted by the 

application submission date as part of 

your application for financial assistance; 

(2) Indicate that the ALF units, 

facilities, meals and supportive services 

to be provided are not designed to meet 

the special needs of the residents who 

will reside in the ALF as defined in this 

NOFA, 

(3) Do not show commitment for 

funding the meals and supportive 

services proposed; or 

(4) Indicate that the project as 

proposed will not meet the licensing 

requirements of the appropriate state/ 

local agency(ies). 

e. You must comply with all 

applicable statutory requirements 

specified in Section 202b and statutory 

requirements under Section 232(b)(6). 

f. Minimum Size Limits for an ALF. 

An ALF must be economically feasible. 

Consistent with HUD Handbook 4600.1, 

CHG–1, the minimum size for an ALF 

is five units. 

g. You must submit the required 

number of copies of your completed 

ALCP application by the deadline date, 

if you requested and received a waiver 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11679 

of the electronic submission 

requirement. The notification granting 

your waiver request will specify 

requirements for paper application 

submission, including the required 

number of copies and where to submit 

the application. 

h. If you submit a substantially 

deficient application, that is, an 

application missing six or more 

exhibits, the application will be 

considered non-responsive to the 

NOFA, thus leaving your application 

ineligible for review. Refer to Section 

IV.B, Content and Form of Application 

Submission for further information. 

3. Program Requirements 

a. You must have a residual receipts 

account separate from the Reserve for 

Replacement account, or agree to 

establish this account as a condition for 

getting an award(s). 

b. You must be in compliance with 

your Loan Agreement, Capital Advance 

Agreement, Regulatory Agreement, 

Housing Assistance Payment contract, 

Project Rental Assistance Contract, Rent 

Supplement or Loan Management SetAside (LMSA) contract, or any other 

HUD grant or contract document. 

c. If selected, you must file a form 

HUD–2530 for all construction 

contractors, architects, consultants, and 

service provider organizations under 

direct contract with you that will be 

engaged under this NOFA within 30 

days of execution of the grant award. 

d. Your project must meet HUD’s 

Uniform Physical Conditions Standards 

at 24 CFR part 5, subpart G. Meeting 

these standards, based on the most 

recent REAC physical inspection report 

and responses thereto, means that the 

project, must have a ‘‘satisfactory’’

rating as evidenced by a score of 60 or 

better or a HUD-approved and on 

schedule repair plan for developments 

scoring less than 60. Additionally, the 

project must have no uncorrected and 

outstanding Exigent Health and Safety 

violations. Finally, the project must not 

have a management review with a rating 

of ‘‘minimally satisfactory’’ or 

‘‘unsatisfactory’’ with open and 

unresolved findings. 

e. You must submit, with your 

application, an agreement to pursue 

appropriate ALF licensing in a timely 

manner. 

f. Meals and Supportive Services. You 

must develop and submit a Supportive 

Services Plan (SSP) for the services and 

coordination of the supportive services, 

which will be offered in the ALF to the 

appropriate state or local 

organization(s), which are expected to 

fund those supportive services. (See 

Section IV.B. below for information, 

which must be in the SSP.) You must 

submit one copy of your SSP to each 

appropriate state or local service 

funding organizations well in advance 

of the application deadline, for 

appropriate review. The state or local 

funding organization(s) must return the 

SSP to you with appropriate comments 

and an indication of the funding 

commitment, which you will then 

include with the application you submit 

to HUD. 

g. Licensing Requirements. You must 

ALSO submit the SSP to the appropriate 

organization(s), which license(s) ALFs 

in your jurisdiction. The licensing 

agency(ies) must approve your plan, and 

must also certify that the ALF and the 

proposed supportive services identified 

in your SSP, are consistent with local 

statute and regulations and well 

designed to serve the needs of the frail 

elderly and people with disabilities who 

will reside in the ALF portion of your 

project. 

h. Your ALF must be licensed and 

regulated by the state (or if there is no 

state law providing such licensing and 

regulation, by the municipality or other 

subdivision in which the facility is 

located). Each assisted living unit must 

include its own kitchen, bathroom, 

bedroom, living/dining area (1 bedroom 

unit) or kitchen, bathroom, bedroom/ 

living/dining area (efficiency unit) and 

must meet the state and/or local 

licensing, building, zoning, and other 

requirements for an ALF. 

i. Your ALF must be available to 

qualified elderly persons and persons 

with disabilities, consistent with the 

rules and payment plans of the state, 

who need and want the supportive 

services in order to remain independent 

and avoid premature 

institutionalization. 

j. Your ALF’s residents must be 

tenants or residents of the multifamily 

project and must comply with the 

requirements applicable to the project. 

Thus, you cannot charge additional rent 

over what is charged to residents in the 

non-ALF portion of the project. All 

admissions to the ALF must be through 

the applicable project admissions office. 

However, persons accepted into the ALF 

also must sign an ALF admissions 

agreement, which shall be an addendum 

to the applicable project lease. 

k. At a minimum, your ALF must 

provide room, board, and continuous 

protective oversight (CPO). CPO 

involves a range of activities and 

services that may include such things as 

awareness by management and staff of 

the occupant’s condition and location as 

well as an ability to intervene in a crisis 

for ALF occupants on a 24-hour basis. 

The two occupant groups in an ALF are: 

(1) Independent Occupants. 

Awareness by management and staff of 

the occupant’s condition and 

whereabouts as well as the availability 

of assistance for the occupants as 

needed. 

(2) Dependent occupants. Supervision 

of nutrition, assistance with medication 

and continuous responsibility for the 

occupants’ welfare. 

l. Anyone moving into an ALF unit 

must agree to accept as a condition of 

occupancy the board and services 

required for the purpose of complying 

with state and local law and regulation. 

m. Your ALF must provide three 

meals per day. 

(1) Residents whose apartments have 

kitchens must take at least the number 

of meals a day provided by the facility, 

per their mandatory meals requirement, 

or as required by state or local rules, if 

more stringent. If the facility does not 

have a mandatory meals plan, then state 

and local rules govern. 

(2) Residents in projects which were 

originally constructed without kitchens 

in their units must take such meals as 

required by their mandatory meals 

agreement, if applicable, or by the 

state’s mandated requirements if more 

stringent (e.g., two meals, two snacks 

daily). 

In either case, ALF management must 

coordinate meal requirements with the 

needs of residents who are out part of 

the day (e.g., in day care). The meal 

program may not be operated at a profit 

by the project owner. 

n. Priority admissions for ALF units 

are as follows: 

(1) Current residents desiring an ALF 

unit and meeting the program 

requirements (no resident can be 

required to accept an ALF unit). 

(2) Qualified individuals or families 

needing ALF services who are already 

on the project’s waiting list; 

(3) Qualified individuals or families 

in the community needing ALF services 

wanting to be added to the project’s 

waiting list. 

(4) Qualified disabled non-elderly 

persons needing assisted living services 

are eligible to occupy these units on the 

same basis as elderly persons, except for 

section 202 project rental assistance 

contracts (PRAC) projects. 

o. The management of the project 

must set up a separate waiting list for 

ALF units. ALF units must be for 

eligible residents who meet the 

admissions/discharge requirements as 

established for assisted living by state 

and local licensing, or HUD frailty 

requirements under 24 CFR 891.205 if 

more stringent. 

p. Upon receipt of a grant under this 

program, all project owners 


rwilkins on PROD1PC63 with NOTICES_2
11680 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

participating in the ALCP must provide 

a Declaration of Restrictive Covenants 

(DRC), which will be recorded with the 

land, to retain the low income character 

of the housing, and to maintain the 

project (including the ALF), as a 

moderate-, low-, or very low-income 

facility (as appropriate) for at least 20 

years beyond the current 40- to 50-year 

term of the mortgage loan or capital 

advance. 

q. The ALCP requires service 

coordination for linking the ALF to 

available services in the community for 

low-income persons. All projects 

funded under this NOFA must have 

sufficient service coordination in place, 

or request additional funds, if 

appropriate, to ensure that services 

meeting licensing requirements are 

available to ALF residents on an 

ongoing basis. Service coordination 

must be described in the application 

(see Section IV.B. of this NOFA). If you 

need to enhance an existing service 

coordination program or add one where 

it does not exist, you may apply for 

funding through the Service Coordinator 

NOFA, published elsewhere in the 

SuperNOFA. If a funds request for 

service coordination for the ALF and/or 

the whole project is included as part of 

this application, the Form SF–424 under 

Exhibit 11, must indicate the dollars 

requested. Do NOT attach the whole 

service coordinator application. You 

may also show evidence that funding for 

the enhanced service coordination is 

provided by other sources by indicating 

such funding on the form SF–424. If you 

are funded under this NOFA and 

requested new or enhanced service 

coordination you will be funded first 

under the service coordinator NOFA. 

(1) The ALF must be staffed either 

directly or through coordination with 

local agencies, depending on state 

regulations or local requirements. These 

may also serve non-ALF residents of the 

project on a time available and 

appropriate fee basis. 

(2) If you are a Section 202 PRAC 

project owner, you are NOT eligible to 

request funding under the service 

coordinator NOFA. Section 202 PRAC 

owners can pay for the service 

coordinator out of PRAC funds. 

(3) The ALF may cater to the special 

needs of residents depending on their 

condition or diagnosis, such as 

Alzheimer’s disease. If it does so, the 

design/environment of such facilities 

must accommodate those needs, e.g., 

dementia special care unit. However, 

the ALF cannot provide a service it is 

not licensed by the state or locality to 

provide. 

(4) Owners of Section 202/PRAC 

projects are reminded that they may 

include a PRAC payment of up to $15/ 

unit/month not to exceed 15 percent of 

the total program cost, consistent with 

24 CFR 891.225(b)(2) to cover part of the 

cost of meals and/or supportive services 

for frail elderly residents, including 

residents of the ALF. 

(5) Training for ALF staff is an eligible 

project cost under existing operating 

procedures. For further information on 

ALFs, please refer to Handbook 4600.1, 

CHG–1, ‘‘Mortgage Insurance for 

Residential Care Facilities,’’ Chapter 13. 

This Handbook and recent ALF program 

Notices are accessible through 

HUDCLIPS on HUD’s Web site at 

http://www.hudclips.org/cgi/index.cgi. 

These notices are in the Handbooks and 

Notices—Housing Notices database. 

Enter only the number without the letter 

prefix (e.g., 99–16) in the ‘‘Document 

number’’ to retrieve the program notice. 

For further guidance on service 

coordinators, please refer to Handbook 

4381.5 REV–2, CHANGE–2, Chapter 8, 

‘‘The Management Agent’s Handbook,’’

which is also available through the 

HUDCLIPS database. 

r. Your ALF’s operation must be part 

of the project owner’s management 

organization. Some or all of its functions 

may be contracted out. The ALF must 

predicate its budget on a two-tiered 

structure under which board and 

supportive service income and expenses 

must be maintained separately and 

independently from the regular income 

and expenses of the applicable project. 

The two components of ALF costs are: 

(1) Charges/payment for board, (not 

including rent for the unit) which may 

be on a sliding scale or any other 

equitable fee system; and 

(2) Charges/payment for necessary 

supportive services, which may include 

a combination of resident fees, Medicaid 

and/or other third party payments. 

s. Prohibition Against Lobbying 

Activities. The Byrd Amendment 

prohibits ALCP recipients of federal 

contracts, grants, or loans from using 

appropriated funds for lobbying 

activities. (Refer to Section III.C. of the 

General Section for further instructions 

regarding this requirement.) 

t. Economic Opportunities for Low 

and Very Low-Income Persons (Section 

3). You must comply with Section 3 of 

the Housing and Urban Development 

Act of 1968, 12 U.S.C. 1701u (Economic 

Opportunities for Low and Very LowIncome Persons), and implementing 

regulations at 24 CFR part 135. You 

must ensure that training, employment, 

and other economic opportunities shall, 

to the greatest extent feasible, be 

directed toward low- and very lowincome persons, particularly those who 

are recipients of government assistance 

for housing and to business concerns 

which provide economic opportunities 

to low- and very low-income persons 

and including people with disabilities. 

4. Additional Non-discrimination and 

Other Requirements. Comply with the 

requirements of the Fair Housing Act, 

Executive Order 11063, Title VI of the 

Civil Rights Act, the Age Discrimination 

Act of 1975, the affirmative fair housing 

marketing requirements of 24 CFR part 

200, subpart M, and the implementing 

regulations at 24 CFR part 108, which 

requires that the project be marketed to 

those least likely to apply, including 

those who are not generally served by 

the agency administering the program, 

and other applicable federal, state, and 

local laws prohibiting discrimination 

and promoting equal opportunity, 

including affirmatively furthering fair 

housing, and other certifications listed 

in the application. (Refer to Section 

III.C. of the General Section for 

additional requirements and 

information.) 

a. Comply with section 232 of the 

National Housing Act, as applicable; the 

Uniform Federal Accessibility 

Standards (24 CFR 40.7); section 504 of 

the Rehabilitation Act of 1973 and 

HUD’s implementing regulations at 24 

CFR part 8; and the Americans with 

Disabilities Act of 1990 for all portions 

of the development physically affected 

by this proposal. 

b. Comply with the Davis-Bacon 

requirements and the Contract Work 

Hours and Safety Standards Act as 

applied to this program. While it has 

been determined that Davis-Bacon does 

not apply statutorily to the ALCP, the 

Department has administratively 

determined that Davis-Bacon standards 

and overtime rates in accordance with 

the Contract Work Hours and Safety 

Standards Act will be adhered to in any 

ALCP conversion grant in which the 

total cost of the physical conversion to 

an ALF (and including any additional 

renovation work undertaken at the same 

time) is $500,000 or more (this includes 

ALCP grant funds, owner funds, or any 

third party funds loaned or granted in 

support of the conversion or other 

renovation for the project associated 

with this grant), AND in which the ALF 

portion of the project is 12 units or 

more. 

c. Ensuring the Participation of Small 

Business, Small Disadvantaged 

Businesses, and Woman-Owned 

Businesses. HUD is committed to 

ensuring that small businesses, small 

disadvantage businesses, and womanowned businesses participate fully in 

HUD’s direct contracting and in 

contracting opportunities generated by 

HUD’s financial assistance. (Refer to the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11681 

General Section for further instructions 

regarding this requirement.) 

d. Executive Order 13166, Improving 

Access to Persons with Limited English 

Proficiency (LEP). ALCP applicants 

must seek to improve access to persons 

with limited English proficiency by 

providing materials and information in 

languages other than English. Make 

applications and other materials 

available in languages other than 

English that are common in the 

community, if speakers of these 

languages are found in significant 

numbers and come into frequent contact 

with the program. For further guidance 

on serving persons with Limited English 

Proficiency (LEP) in HUD assisted 

programs, see HUD’s LEP guidance, 

‘‘Notice of Guidance to Federal 

Assistance Recipients Regarding Title VI 

Prohibition Against National Origin 

Discrimination Affecting Limited 

English Proficient Persons,’’ 72 FR 2732 

(January 22, 2007) or see the following 

web site, http://www.lep.gov/recip.html. 

e. Executive Order 13279, Equal 

Protection of the Laws for Faith-Based 

and Community Organizations. HUD 

has undertaken a review of all policies 

and regulations that have implications 

for faith-based and community 

organizations, and has established a 

policy priority to provide full and equal 

access to grassroots faith-based and 

other community-based organizations. 

(Refer to the General Section for specific 

instructions regarding this requirement.) 

f. Accessible Technology. The 

Rehabilitation Act Amendments of 1998 

apply to all electronic information 

technology (EIT) used by an ALCP 

recipient for transmitting, receiving, 

using, or storing information to carry 

out the responsibilities of the ALCP 

awards. (Refer to Section III.C. of the 

General Section for specific instructions 

regarding this requirement.) 

g. Participation in HUD-Sponsored 

Program Evaluation. As a condition of 

the receipt of ALCP funds, successful 

applicants are required to cooperate 

with all HUD staff or contractors 

performing HUD-funded research and 

evaluation studies. 

h. Comply with Executive Order 

13202, Preservation of Open 

Competition and Government Neutrality 

toward Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects. (Refer to 

the General Section for additional 

information on this requirement). 

i. OMB Circulars and Governmentwide Regulations Applicable to 

Financial Assistance. ALCP applicants 

are subject to the Administrative 

Requirements of OMB Circular A–133, 

Audits of States, Local Governments 

and Non-Profit Organizations; OMB 

Circular A–122, Cost Principles for NonProfit Institutions; the administrative 

requirements of 24 CFR Part 84; and the 

procurement requirements of 24 CFR 

84.44. (Refer to the General Section for 

additional information on this 

requirement). 

j. Environmental Requirements. Your 

ALCP application is subject to the 

National Environmental Policy Act of 

1969 and applicable related federal 

environmental authorities. (See 24 CFR 

part 50, as applicable.) An 

environmental review will be completed 

by HUD before awarding any grant 

under this program. ALCP projects are 

‘critical actions’ for purposes of 24 CFR 

part 55 and must comply with 

requirements applicable to ‘critical 

actions,’ including floodplain 

management review requirements, if 

proposed to be carried out in the 500- 

year floodplain. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package. All information for requesting 

an application is included in this NOFA 

and Section IV.A. of the General 

Section. The application for the ALCP is 

available on the Internet from the 

grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information, you 

can receive customer support from 

Grants.gov by calling the help line at 

(800) 518–Grants or by sending an email to support@grants.gov. If you do 

not have access, you may obtain an 

ALCP application by calling the NOFA 

Information Center at (voice) 800–HUD–

8929 (800–483–8929). Persons with a 

hearing or speech impairment access 

this number via TTY by calling the 

Federal Information Relay Service at 

800–877–8339. Please be sure to provide 

your name, address (including zip 

code), and telephone number (including 

area code). 

1. Multiple Applications. Owners may 

not submit multiple applications for the 

same elderly housing development. 

HUD will only accept one ALCP 

application per project. 

2. For Technical Assistance. Before 

the ALCP application deadline date, 

HUD staff will be available to provide 

you with general guidance and technical 

assistance. However, HUD staff is not 

permitted to assist in preparing your 

application. For technical support for 

downloading the ALCP application or 

submitting the application, call the toll 

free Grants.gov Customer Support line 

at 1–800–518-Grants or send an e-mail 

message to support@grants.gov. 

3. Satellite Broadcast. HUD will 

provide a satellite broadcast for 

potential applicants. For more 

information about the date and time of 

the broadcast, you should contact your 

local HUD Office or go to HUD’s Web 

site at: www.hud.gov/webcasts/ 

index.cfm. 

B. Content and Form of Application 

Submission. There are eleven required 

exhibits under the ALCP, including 

prescribed forms and certifications. In 

cases where your articles of 

incorporation and by-laws have NOT 

changed since the project was originally 

approved by HUD, your signature on the 

SF–424 signifies that you are selfcertifying to that effect—that the 

documents on file with HUD are 

current—is sufficient. Exhibits for 

which self-certification of currency is 

possible are Exhibits 2(a) and (b). 

In addition to the relief of paperwork 

burden, you will not have to submit 

certain information and exhibits you 

have previously prepared. See 

individual item descriptions below to 

identify such items. An example of such 

an item may be the FY2007 Annual 

Financial Statement. Your application 

must include all of the information, 

materials, forms, and exhibits listed 

below (Please see the General Section 

for instructions on how to submit third 

party and other documents such as 

Articles of Incorporation; by-laws; 

copies of original plans; evidence of 

financial commitment; letter(s) from 

zoning officials; etc.): 

1. Application Summary for the 

Assisted Living Conversion Program, 

Form HUD–92045. 

2. Evidence that you are a private 

nonprofit organization or nonprofit 

consumer cooperative and have the 

legal ability to operate an ALF program, 

per the following: 

a. Articles of Incorporation, 

constitution, or other organizational 

documents, or self-certification of these 

documents if there has been no change 

in the Articles since they were 

originally filed with HUD and 

b. By-laws, or self-certification of bylaws, if there has been no change in the 

by-laws since they were originally filed 

with HUD. 

3. A description of your community 

support: 

a. A description of your links to the 

community at large and to the minority 

and elderly communities in particular; 

and 

b. A description of your efforts to 

involve elderly persons, including 

minority elderly persons and persons 

with disabilities in: 

(1) The development of the 

application; 


rwilkins on PROD1PC63 with NOTICES_2
11682 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(2) The development of the ALF 

operating philosophy; 

(3) Review of the application prior to 

submission to HUD; and 

(4) Your intent whether or not to 

involve eligible ALF residents in the 

operation of the project. 

c. A description of your involvement 

in your community’s Consolidated 

Planning and Analysis of Impediments 

to Fair Housing (AI) processes 

including: 

(1) An identification of the lead/ 

facilitating agency(ies) that organizes 

and/or administers the process; 

(2) A listing of the Consolidated Plan/ 

AI issue areas in which you participate; 

and 

(3) The level of your participation in 

the process, including active 

involvement with any neighborhoodbased organizations, associations, or any 

committees that support programs and 

activities that enhance projects or the 

lives of residents of the projects, such as 

the one proposed in your application. 

If you are not currently active, 

describe the specific steps you will take 

to become active in the Consolidated 

Planning and AI processes. (Consult the 

local HUD office for the identification of 

the Consolidated Plan community 

process for the appropriate area.) 

d. A description of how the assisted 

living facility will implement practical 

solutions that will result in assisting 

residents in achieving independent 

living and improved living 

environment. 

e. A description of how you have 

supported state and local efforts to 

streamline processes and procedures in 

the removal of regulatory barriers to 

affordable housing. To obtain up to 2 

points for this policy priority you must 

complete the Form HUD–27300, 

Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers, 

complete Part A or Part B (not both), 

provide the required documentation, 

where requested, and include a point of 

contact. See Rating Factor 3 in Section 

V.A. of this NOFA for more details. 

4. Evidence of your project being 

occupied for at least five years prior to 

the date of application to HUD. 

5. A market analysis of the need for 

the proposed ALF units, including 

information from both the project and 

the housing market, containing: 

a. Evidence of need for the ALF by 

current project residents: 

(1) A description of the demographic 

characteristics of the elderly residents 

currently living in the project, including 

the current number of residents, 

distribution of residents by age, race, 

and sex, an estimate of the number of 

residents with frailties/limitations in 

activities of daily living, and an estimate 

of the number of residents in need of 

assisted living services. 

(2) A description of the services 

currently available to the residents and/ 

or provided on or off-site and what 

services are lacking; 

b. Evidence of the need for ALF units 

by very low-income elderly and 

disabled households in the market area; 

a description of the trend in elderly and 

disabled population and household 

change; data on the demographic 

characteristics of the very low-income 

elderly in need of assisted living 

services (age, race, sex, household size, 

and tenure) and extent of residents with 

frailty/limitations in existing federally 

assisted housing for the elderly (HUD 

and Rural Housing Service); and an 

estimate of the very low-income elderly 

and disabled in need of assisted living 

taking into consideration any available 

state or local data. 

c. A description of the extent, types, 

and availability and cost of alternate 

care and services locally, such as home 

health care; adult day care; 

housekeeping services; meals programs; 

visiting nurses; on-call transportation 

services; health care; and providers of 

supportive services who address the 

needs of the local low income 

population. 

d. A description of how information 

in the community’s Analysis of 

Impediments to Fair Housing Choice 

was used in documenting the need for 

the ALF (covering items in c. above). 

6. A description of the physical 

construction aspects of the ALF 

conversion, including the following: 

a. How you propose to carry out the 

physical conversion (including a 

timetable and relocation planning). 

Completion of the Logic Model will 

assist in completing your response to 

this Exhibit. 

b. A short narrative stating the 

number of units, special design features, 

community and office space/storage, 

dining and kitchen facility and staff 

space, and the physical relationship to 

the rest of the project. Also, you must 

describe how this design will facilitate 

the delivery of services in an 

economical fashion in the most 

integrated setting appropriate to the 

needs of the participating residents with 

disabilities and accommodate the 

changing needs of the residents over at 

least the next 10 years. 

c. A description on how the project 

will promote energy efficiency, 

including any plans to incorporate 

energy efficiency features in the design 

and operation of the ALF through the 

use of Energy Star labeled products and 

appliances. Applicants that meet this 

policy priority will receive two points 

under Rating Factor 3 in Section V.A. of 

this NOFA. Refer to the General Section 

for further information on this 

requirement or for further information 

about Energy Star see http:// 

www.energystar.gov. 

d. A copy of the original plans for all 

units and other areas of the 

development, which will be included in 

the conversion. 

e. A description of the conversion 

must clearly address how the units will 

conform to the accessibility 

requirements described in the Uniform 

Federal Accessibility Standards (UFAS). 

(For example, all door openings must 

have a minimum clear opening of 32 

inches; and, all bathrooms and kitchens 

must be accessible to and functional for 

persons in wheelchairs.) 

f. Architectural sketches of the 

conversion to a scale of 1⁄4 inch to one 

foot that indicate the following: 

(1) All doors being widened; 

(2) Typical kitchen and bathroom 

reconfiguration: show all wheelchair 

clearances, wall reinforcing, grab bars, 

and elevations of counters and work 

surfaces; 

(3) Bedroom/living/dining area 

modification, if needed; 

(4) Any reconfigured common space; 

(5) Added/reconfigured office and 

storage space; 

(6) Monitoring stations, and 

(7) The kitchen and dining facility. 

All architectural modifications must 

meet section 504 and ADA requirements 

as appropriate. 

g. A budget showing estimated costs 

for materials, supplies, fixtures, and 

labor for each of the items listed in 

Section IV.B.6.f, items (1) through (7), 

above. 

h. Include firm financial commitment 

letters with specific dollar amounts 

from appropriate organization(s) for 

conversion needs (within the scope of 

the ALF conversion NOFA) which will 

be supported by non-HUD funding. 

i. A description of any relocation of 

current tenants including a statement 

that: 

(1) Indicates the estimated cost of 

temporary relocation payments and 

other related services; 

(2) Identifies the staff organization 

that will carry out the relocation 

activities; and 

(3) Identifies all tenants that will have 

to be temporarily moved to another unit 

within the development OR from the 

development during the period that the 

physical conversion of the project is 

under way. 

(4) Temporary relocation should not 

extend beyond one year before the 

person is returned to his or her previous 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11683 

unit or location. The grantee must 

contact any residential tenant who has 

been temporarily relocated for a period 

beyond one year and offer all permanent 

relocation assistance. This assistance 

would be in addition to any assistance 

the person has already received for 

temporary relocation, and may be 

reduced by the amount of any 

temporary relocation assistance. 

Note: If any of the relocation costs will be 

funded from sources other than the ALCP 

grant, you must provide evidence of a firm 

financial commitment of these funds. When 

evaluating applications, HUD will consider 

the total cost of proposals (i.e., cost of 

conversion, temporary relocation, service 

coordinator, and other project costs). 

j. Address how training, employment, 

and economic opportunities will be 

directed to low- and very low-income 

persons that receive government 

assistance for housing and to business 

concerns which provide economic 

opportunities to low- and very-lowincome persons and people with 

disabilities. 

7. A description of any retrofit or 

renovation that will be done at the 

project (with third party funds) that is 

separate and distinct from the ALF 

conversion. With such description, 

include as part of your application 

submission firm commitment letters 

from third party organizations in 

specific dollar amounts that will cover 

the cost of any work outside the scope 

of this NOFA. 

8. A letter from the local zoning 

official indicating evidence of 

permissive zoning. Also, showing that 

the modifications to include the ALF 

into the project as proposed are 

permissible under applicable zoning 

ordinances or regulations. 

9. A supportive services plan (SSP), a 

copy of which must be submitted to the 

appropriate state and/or local agency as 

instructed in Section III.C. above. For 

those applicants needing to contact state 

Medicaid offices, a list is provided on 

the Internet at www.cms.hhs.gov/ 

medicaid. The SSP must include: 

a. A description of the supportive 

services needed for the frail elderly the 

ALF is expected to serve. This must 

include at least (1) meals and such other 

supportive services required locally or 

by the state, and (2) such optional 

services or care to be offered on an ‘‘as 

needed’’ basis. 

Examples of both mandatory and 

optional services (which will vary from 

state to state) are: two meals and two 

snacks or three meals daily; 24-hour 

protective oversight; personal care; 

housekeeping services; personal 

counseling, and transportation. 

b. A description of how you will 

provide the supportive services to those 

who are frail and have disabilities (i.e., 

on or off-site or combination of on or 

off-site), including an explanation of 

how the service coordination role will 

facilitate the adequate provision of such 

services to ALF residents, and how the 

services will meet the identified needs 

of the residents. Also indicate how you 

intend to fund the service coordinator 

role. 

c. A description of how the operation 

of your ALF will work. Address: (1) 

general operating procedures; (2) ALF 

philosophy and how it will promote the 

autonomy and independence of the frail 

elderly and persons with disabilities; (3) 

what will the service coordination 

function do and the extent to which this 

function already exists, or will be 

augmented or new; (4) ALF staff training 

plans; and (5) the degree to which and 

how the ALF will relate to the day-today operations of the rest of the project. 

d. The monthly individual rate for 

board and supportive services for the 

ALF listing the total fee and 

components of the total fee for the items 

required by state or local licensing, and 

list the appropriate rate for any optional 

services you plan to offer to the ALF 

residents. Provide an estimate of the 

total annual costs of the required board 

and supportive services you expect to 

provide and an estimate of the amount 

of optional services you expect to 

provide. 

e. List who will pay for the board and 

supportive services and the amount. For 

example, include such items as: 

(1) Meals by sponsors—$20 

(2) Housekeeping services by the City 

government—$30 

(3) Personal care by State Department 

of Health—$60 

(4) Service paid for by state program—

$40 

(5) Fees paid by tenants—$83 

The amounts and commitments from 

both tenants and/or providers must 

equal the estimated amounts necessary 

to cover the monthly rates for the 

number of people expected to be served. 

If you include tenant fees in the 

proposal, list and show any proposed 

scaling mechanism. All amounts 

committed/collected must equal the 

annualized cost of the monthly rates 

calculated by the expected percentage of 

units filled. 

f. A support/commitment letter from 

EACH listed proposed funding source 

per paragraph e. above, for the planned 

meals and supportive services listed in 

the application. The letter must cover 

the total planned annual commitment 

(and multiyear amount total, if 

different), length of time for the 

commitment, and the amounts payable 

for each service covered by the 

provider/paying organization. There 

must be a letter from EACH 

participating organization listed in 

paragraph e, above. 

g. A support letter from EACH 

governmental agency that provides 

licensing for ALFs in that jurisdiction. 

h. A description of your relevant 

experience in arranging for and/or 

delivering supportive services to frail 

residents. The description should 

include any supportive services 

facilities owned/operated; your past or 

current involvement in any projectbased programs that demonstrates your 

management capabilities. The 

description should include data on the 

facilities and specific meals and/or 

supportive services provided on a 

regular basis, the racial/ethnic 

composition of the populations served, 

if available, and information and 

testimonials from residents or 

community leaders on the quality of the 

services. 

10. A description of your project’s 

resources: 

a. A copy of the most recent project 

Reserve and Replacement account 

statement, and a Reserve for 

Replacement analysis showing plans for 

its use over the next five years, and any 

approvals received from the HUD field 

office to date. 

b. A copy of the most recent Residual 

Receipts Account statement. Indicate 

any approvals for the use of such 

receipts from the field office for over 

$500/unit. 

c. Annual Financial Statement (AFS). 

If your FY2007 AFS was due to REAC 

more than 120 days BEFORE the 

deadline date for this application, in the 

interest of reducing work burden, only 

include the date that it was sent to 

REAC. If the AFS was due to REAC 120 

days or less from the deadline date of 

this application, you MUST include a 

paper copy of your AFS in the 

application. See Section IV.F.5. of this 

NOFA for information on addresses to 

submit paper applications. 

11. Forms and Certifications. The 

electronic version of the NOFA contains 

all forms required for submitting the 

ALCP application. The following 

exhibits, forms, certifications, and 

assurances are required. 

a. Form HUD–92045, Multifamily 

Housing Assisted Living Conversion 

Program Application Summary Sheet. 

b. Form SF–424, Application for 

Federal Assistance, and compliance 

with Executive Order 12372 (a 

certification that you have submitted a 

copy of your application, if required, to 

the state agency (Single Point of 


rwilkins on PROD1PC63 with NOTICES_2
11684 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Contact) for state review in accordance 

with Executive Order 12372 (refer to the 

General Section for instructions in 

submitting this form). 

c. SF–424 Supplement, Survey for 

Ensuring Equal Opportunity for 

Applicants (‘‘Faith Based EEO survey 

(SF–424SUPP)’’ on Grants.gov); 

d. Form HUD–424–CB, Grant 

Applications Detailed Budget (HUD 

Detailed Budget Form’’ on Grants.gov); 

e. Form HUD–424–CBW, Grant 

Application Detailed Budget worksheet; 

f. Form HUD–2880, Applicant/ 

Recipient Disclosure/Update Report 

(‘‘HUD Applicant Recipient Disclosure 

Report’’ on Grants.gov), including Social 

Security and Employment Identification 

numbers. A disclosure of assistance 

from other government sources received 

in connection with the project. 

g. Form HUD–2991, Certification of 

Consistency with the Consolidated Plan 

for the jurisdiction in which the 

proposed ALF will be located. The 

certification must be made by the unit 

of general local government if it is 

required to have, or has, a complete 

Plan. Otherwise, the certification may 

be made by the state, or by the unit of 

general local government if the project 

will be located within the jurisdiction of 

the unit of general local government 

authorized to use an abbreviated 

strategy, and if it is willing to prepare 

such a Plan. 

All certifications must be made by the 

public official responsible for 

submitting the plan to HUD. The 

certifications must be submitted by the 

application submission deadline date 

set forth herein. The Plan regulations 

are published in 24 CFR part 91. 

h. Form HUD 2994–A, You Are Our 

Client Grant Application Survey, 

optional. 

i. Standard Form–LLL, Disclosure of 

Lobbying Activities, if applicable. 

j. Form HUD–96010, Program 

Outcome Logic Model. 

k. Form HUD–27300, America’s 

Affordable Communities Initiative/ 

Removal of Regulatory Barriers (and 

supporting documentation) (‘‘HUD 

Communities Initiative Form’’ on 

Grants.gov). 

l. Certification of Consistency with 

RC/EZ/EC–II Strategic Plan (HUD–

2990), if applicable. 

m. HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). This form must be used as 

the cover page to transmit third party 

documents and other information as 

described in the General Section as part 

of your electronic application submittal 

(if applicable). 

C. Submission Date and Time 

Application Submission Date. Unless 

you received a waiver to the electronic 

application submission requirements, 

your completed ALCP application must 

be submitted via http://www.grants.gov/ 

applicants/applyfor_grants.jsp and must 

be received and validated by Grants.gov 

no later than 11:59:59 eastern time on 

the application deadline date (June 7, 

2007). (Refer to Section IV. of the 

General Section for further instructions 

on the delivery and receipt of 

applications. 

D. Intergovernmental Review 

1. Executive Order 12372. ALCP 

applicants are subject to the Executive 

Order 12372 process. Refer to Section 

IV.D. of the General Section for 

instructions on the intergovernmental 

review process.) 

2. You must submit a Supportive 

Services Plan (SSP) for the services and 

coordination of the supportive services 

that will be offered in the assisted living 

facility (ALF) to the appropriate state or 

local organization(s), which are 

expected to fund those supportive 

services. You must submit one copy of 

your SSP to each appropriate state or 

local service funding organizations well 

in advance of the application deadline, 

for appropriate review. The state or 

local funding organization(s) must 

return the SSP to you with appropriate 

comments and an indication of the 

funding commitment, which you will 

then include with the application you 

submit to HUD. 

You must ALSO submit the SSP to the 

appropriate organization(s) that license 

ALFs in your jurisdiction. The licensing 

agency(ies) must approve your plan, and 

must also certify that the ALF and the 

proposed supportive services identified 

in your SSP, are consistent with local 

statute and regulations and well 

designed to serve the needs of the frail 

elderly and people with disabilities who 

will reside in the ALF portion of your 

project. 

E. Funding Restrictions 

1. This program does NOT cover the 

cost of meals and supportive services. 

These items must be paid for through 

other sources (e.g., a mix of resident fees 

and/or third party providers). Evidence 

of third party commitment(s) must be 

included as part of the application. The 

assisted living supportive services 

program must promote independence 

and provide personal care assistance 

based on individual needs in a homelike environment. In accordance with 

Section 504 of the Rehabilitation Act of 

1973 and HUD’s regulations at 24 CFR 

8.4(d), the project must deliver services 

in the most integrated setting 

appropriate to the needs of qualified 

individuals with disabilities. 

2. This program does NOT allow 

permanent displacement of any resident 

living in the project at the time the 

application was submitted to HUD. 

(HUD will only provide temporary 

relocation costs for current tenants if 

they must vacate their unit while 

conversion work is underway (normal 

temporary relocation costs include 

increases in rent, reconnection of 

telephones, moving costs, and 

appropriate out-of-pocket expenses). 

3. Applicants will not be awarded 

multiple grant funds for the same 

elderly housing development. 

4. Ineligible Activities. You may not 

use funds available through this NOFA 

to: 

a. Add additional dwelling units to 

the existing project 

b. Pay the costs of any of the 

necessary direct supportive services 

needed to operate the ALF; 

c. Purchase or lease additional land; 

d. Rehabilitate (see definition at 24 

CFR 891.105) the project for needs 

unrelated directly to the conversion of 

units and common space for assisted 

living. 

e. Use the ALCP to reduce the number 

of accessible units in the project that are 

not part of the ALF 

f. Permanently displace any resident 

out of the project (permanent relocation 

is prohibited under this program) 

g. Increase the management fee. 

h. Cover the cost of activities not 

directly related to the conversion of the 

units and common space. (i.e., if an 

applicant is applying to convert 24 units 

on 2 floors of a 5-story elderly housing 

development and the inspection by the 

Fire Marshal reveals that sprinklers 

must be installed in the entire building, 

ALCP funds will be used only to install 

sprinklers for the 24 units on the 2 

floors requested in the application. The 

cost to install sprinklers in the 

remaining units must be paid for out of 

other resources. 

F. Other Submission Requirements 

Application Submission and Receipt 

Procedures. Refer to Section IV.F. of the 

General Section for additional 

information on application submission 

requirements. 

1. Electronic Delivery 

a. The Grants.gov Web site offers a 

simple, unified application process. 

There are several registration steps 

applicants need to complete. Further 

information is contained in the General 

Section published on January 18, 2007 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11685 

(72 FR 2396). ALCP applicants should 

also read HUD’s Federal Register Notice 

on Early Registration published in the 

Federal Register on October 31, 2006 

(71 FR 64070). 

b. Electronic signature. ALCP 

applications submitted through 

Grants.gov constitute submission as an 

electronically signed application. 

2. Instructions on how to submit 

electronically are outlined in HUD’s 

‘‘Desktop User’s Guide’’ located on 

HUD’s Grants Web site at: http:// 

www.hud.gov/grants/index.cfm. 

3. Waiver of Electronic Submission 

Requirement. Applicants interested in 

applying for funding under this NOFA 

must submit their applications 

electronically or request a waiver of the 

electronic submission process. Waiver 

requests must be submitted by mail or 

by fax. For this program NOFA, e-mail 

requests will not be considered. Waiver 

requests submitted by mail or fax 

should be submitted on the applicant’s 

letterhead and signed by an official with 

the legal authority to request a waiver 

from the Department. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be sent to Brian D. 

Montgomery, Assistant Secretary for 

Housing-Federal Housing 

Commissioner, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 9100, Washington, 

DC 20410–8000. Waiver requests 

submitted by fax must be sent to (202) 

708–3104. If you are granted a waiver to 

the electronic submission process, your 

application must be received by HUD no 

later than 11:59:59 PM eastern time on 

the application deadline date. See the 

General Section for additional 

information. 

4. Proof of Timely Submission. ALCP 

applicants must submit their 

applications via grants.gov (http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp) in time for receipt 

and validation by 11:59:59 p.m. eastern 

time on the application deadline date of 

June 7, 2007. Validation can take up to 

72 hours so applicants should submit 

with ample time for the process to be 

completed. Applicants are also advised 

to submit with sufficient time to correct 

any deficiencies that would prevent the 

acceptance of your application by 

Grants.gov. (Refer to the General Section 

for specific procedures regarding proof 

of timely submission of applications.) 

5. Hubs and Field Offices addresses. 

If you are granted a waiver to the 

electronic application submission 

requirement, your waiver approval will 

provide the information on the number 

of copies of the application you are 

required to submit and where to submit 

the application. If you send your 

application to the wrong Hub Office, it 

will be rejected. Therefore, upon 

receiving your waiver approval, if you 

are uncertain as to which lead HUD 

Multifamily Hub to submit your 

application, you are encouraged to 

contact the local HUD Office that is 

closest to your project’s location to 

ascertain the lead HUD Multifamily Hub 

to ensure that you submit your 

application to the correct local lead 

HUD Multifamily Hub Office. Paper 

applications must be received in the 

appropriate lead HUD Multifamily Hub 

by the application deadline date. 

V. Application Review Information 

A. Criteria. HUD will rate ALCP 

applications that successfully complete 

technical processing using the Rating 

Factors set forth below and in 

accordance with the application 

submission requirements identified in 

Section IV.B. above. The maximum 

number of points an application may 

receive under this program is 100 plus 

2 bonus points as described in the 

General Section and Section V.A. below. 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (20 Points) 

This factor addresses your capacity to 

carry out the conversion in a timely, 

cost-conscious and effective manner. It 

also addresses your experience at 

providing the proposed supportive 

services you intend to make available at 

the ALF for elderly residents, especially 

in such areas as meals, 24-hour staffing, 

and on-site health care. Submit 

information responding to this factor in 

accordance with Application 

Submission Requirements in Sections 

IV.B.6.a. and b. and 9.a. through c and 

h. of this NOFA. 

In rating this factor, HUD will 

consider the extent to which your 

application demonstrates your ability to 

carry out a successful conversion of the 

project and to implement the plan to 

deliver the supportive services on a 

long-term basis, considering the 

following: 

a. (9 points). The time frame planned 

for carrying out the physical conversion 

of the development to the ALF. 

Examples are: Timeframe for 

completion of the project in 9 months or 

less (9 points); completion in 13 months 

(5 points); completion in 13–18 months 

(3 points); completion in more than 18 

months (0 points). 

b. (10 points). Describe your past 

experience in providing or arranging for 

supportive services either on or off site 

for those who are frail. Examples are: 

Meals delivered to apartment of resident 

or in a congregate setting (2 points), 

arranging for or providing personal care 

(3 points), providing 24-hour staffing (1 

point), providing or making available 

on-site preventive health care (2 points) 

and other support services (2 points). 

c. (1 point). The Department will 

provide 1 point to those applicants who 

currently or propose to partner, fund, or 

subcontract with grassroots 

organizations. HUD will consider an 

organization a ‘‘grassroots organization’’

if the organization is headquartered in 

the local community and has a social 

services budget of $300,000 or less; or 

has six or fewer full-time equivalent 

employees. (Refer to the General Section 

for further information on policy 

priority points for activities related to 

grassroots organizations.) 

2. Rating Factor 2: Need/Extent of the 

Problem (20 Points) 

This factor addresses the extent to 

which the conversion is needed by the 

categories of elderly persons and 

persons with disabilities that the ALF is 

intended to serve. The application must 

include evidence of current needs 

among project residents and needs of 

potential residents in the housing 

market area for such persons including 

economic and demographic information 

on very low-income, frail, elderly, and 

persons with disabilities and 

information on current assisted living 

resources in the market area. 

The factor also addresses your 

inability to fund the repairs or 

conversion activities from existing 

financial resources. In making this 

determination, HUD will consider the 

project’s financial information. Submit 

information responding to this factor in 

accordance with Application 

Submission Requirements in Sections 

IV.B.3.c., 5. a. through d., and 10. a. 

through c. of this NOFA. In evaluating 

this factor, HUD will consider: 

a. (7 points). The need for assisted 

living among the elderly and disabled 

residents of the project taking into 

consideration those currently in need 

and the depth of future needs given 

aging in place. 

b. (3 points). The need for assisted 

living among very low-income elderly 

persons and persons with disabilities in 

the housing market area. 

c. (9 points). Insufficient funding for 

any needed conversion work, as 

evidenced by the project’s financial 

statements and specifically the lack of 

excess Reserve for Replacement dollars 

and residual receipts. If the available 

Reserve for Replacement and residual 

receipts are less than 10 percent of the 

total funds needed = 9 points; if the 

available Reserve for Replacement and 


rwilkins on PROD1PC63 with NOTICES_2
11686 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

residual receipts are 10–50 percent of 

need = 5 points; and, if the available 

Reserve for Replacement and residual 

receipts are 51 percent or more of the 

total funds needed = 0 points). 

d. (1 point). The Department will 

provide one point to those applications 

which establish a connection between 

the proposed ALF and the community’s 

Analysis of Impediments to Fair 

Housing Choice (AI) or other planning 

document that analyzes fair housing 

issues and is prepared by a local 

planning or similar organization. 

3. Rating Factor 3: Soundness of 

Approach (40 Points) 

This factor addresses the quality and 

effectiveness of your proposal in 

addressing the proposed conversion, 

effectiveness of service coordination 

and management planning and the 

meals and supportive services which 

the ALF intends to provide, whether the 

jurisdiction in which the ALF is located 

has taken successful efforts to remove 

regulatory barriers to affordable 

housing, whether you will incorporate 

energy efficiency in the design and 

operation of the assisted living facility, 

provide training, employment, and 

economic opportunities to low- and 

very low-income persons, and the extent 

to which you have evidenced general 

support for conversion by participating 

in your community’s Consolidated 

Planning Process, involving the 

residents in the planning process. 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Sections 

IV.B.3.a. through c. and e., IV. B.5.e., 

IV.B.6.b. through e., IV. B.9.a. through 

e., g., and h. of this NOFA. In evaluating 

this factor, HUD will consider the 

following: 

a. (10 points). The extent to which the 

proposed ALF design will meet the 

special physical needs of frail elderly 

persons or persons with disabilities 

(ALF design: meets needs = 10 points; 

ALF design partially meets needs = 5 

points; and ALF design does not meet 

needs = 0 points). 

b. (10 points). The extent to which the 

ALF’s proposed management and 

operational plan ensures that the 

provision of both meals and supportive 

services planned will be accomplished 

upon completion of the conversion and 

receipt of license for the operation of the 

facility. (Consider ALF design/ 

management plan: meets needs of 

management operations = 10 points; 

ALF design/management plan partially 

meets needs of management operations 

= 5 points; and ALF design/management 

plan does not meet needs of 

management operations = 0 points.) 

c. (7 points). The extent to which the 

proposed supportive services meet the 

anticipated needs of the frail elderly and 

disabled residents (does meet = 7 

points; partially meets needs = 4 points; 

and, does not meet needs = 0 points); 

and 

d. (7 points). The extent to which the 

service coordination function is 

addressed and explained as augmented 

or new, and addresses the ongoing 

procurement of needed services for the 

residents of the ALF (does meet = 7 

points, partially meets = 4 points, does 

not meet = 0 points). 

e. (2 points). The steps you have in 

support of State and local efforts in 

streamlining processes and procedures 

that eliminate redundant requirements, 

statutes, regulations and codes which 

impede the availability of affordable 

housing. To receive points for removal 

of regulatory barriers, applicants must 

complete Part A or B (not both), include 

some form of documentation, where 

requested, and include a point of 

contact in their response using the 

completed Questionnaire HUD Form 

27300. (Refer to the General Section for 

further information.) 

f. (2 points). Describe how you plan 

to incorporate energy efficiency 

activities in the design or the operation 

of the assisted living facility through the 

use of Energy Star labeled products and 

appliances. (Refer to the General Section 

for further information.) 

g. (2 points). To the greatest extent 

feasible, describe how you propose to 

provide opportunities to train and 

employ low- and very low-income 

persons in the project area; and how you 

plan to award contracts to business 

concerns which provide economic 

opportunities to low- and very lowincome persons and people with 

disabilities in the project area. 

4. Rating Factor 4: Leveraging Resources 

(10 Points) 

This factor addresses your ability to 

secure other community resources that 

can be combined with HUD’s grant 

funds to achieve program purposes. For 

the ALCP to succeed, you must generate 

local funding for the necessary 

supportive services to operate the ALF. 

HUD also encourages local funding for 

some of the necessary conversion work, 

or other work needed in the project (e.g., 

general modernization) which is NOT 

specifically linked to the ALF). 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Section 

IV.B.6.h. and i., B.7., and B.9.e. through 

g. of this NOFA. 

a. (5 points). The extent to which 

there are commitments for the funding 

needed for the meals and the supportive 

services planned for the ALF and that 

the total cost of the estimated budget of 

the ALF is covered. Consider 90 percent 

or more commitment of the total budget 

with no more than 10 percent for meals 

and services = 5 points; 80–89.9 percent 

with no more than 20 percent for meals 

and services = 4 points; 65–79.9 percent 

with no more than 35 percent for meals 

and services = 3 points; 40–64.9 percent 

with no more than 60 percent for meals 

and services = 2 points; less than 40 

percent commitment of the total budget 

with no more than 60 percent support 

for meals and services = 0 points. 

b. (3 points). The extent of local 

organizations’ support, which is firmly 

committed to providing at least 50 

percent of the total cost of ALF 

conversion (consider 50% or more = 3 

points, 20–49.9 percent = 2 points, and 

under 20 percent = 0 points). 

c. (2 points). The extent of local 

organizational support which is firmly 

committed to providing funds for 

additional repair or retrofit necessary for 

the project NOT specifically directed to 

activities eligible under this NOFA 

(funds firmly committed = 2 points, 

funds not committed = 0 points). 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (10 Points) 

This factor reflects HUD’s goal to 

embrace high standards of ethics, 

management and accountability. This 

factor emphasizes HUD’s commitment 

to ensure that promises you make in the 

application are kept; and to ensure 

performance goals with outcomes are 

established and are met (refer to Section 

V.B. of the General Section for more 

detail). Outcomes may include the 

extent to which your project will 

implement practical solutions that will 

result in assisting residents in achieving 

independent living and an improved 

living environment, as well as the extent 

to which the project will be viable 

absent HUD funds but rely more on 

state, local, and private funds. Submit 

information responding to this factor in 

accordance with Application 

Submission Requirements in Section 

IV.B.3.d., 6.a. through g., and 9.a. 

through e. of this NOFA. Applicants 

must complete Form HUD–96010, 

Program Outcome Logic Model in 

responding to this Rating Factor. 

a. (4 points). Describe the extent to 

which your conversion time frame 

reflects the length of time it will take to 

convert the units describing how 

residents will benefit from the 

conversion of the units; and how the 

converted units will result in ALF 

residents being able to age in place; 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11687 

b. (2 points). Describe the extent to 

which your assisted living facility will 

implement practical solutions that will 

result in assisting residents in achieving 

independent living and improved living 

environment. 

c. (2 points). Demonstrate how the 

project will be viable absent HUD funds 

while relying more on state, local, and 

private funds. 

d. (2 points). Describe the extent to 

which the ALFs operating philosophy 

promotes the autonomy and 

independence of the frail elderly 

persons it is intended to serve (is fully 

addressed = 2 points, ‘‘no’’ or not 

addressed = 0 points). 

6. Bonus Points (2 bonus points). The 

project to be converted is located in an 

RC/EZ/EC-II area, as described in the 

General Section. 

B. Reviews and Selection Process 

1. The ALCP will fund those 

applications that may impact federal 

problem solving and policymaking and 

that are relevant to HUD’s policy 

priorities and annual goals and 

objectives. (Refer to the General Section 

for discussion of these priorities and 

annual goals and objectives). 

2. Review for Curable Deficiencies. 

You should ensure that your application 

is complete before submitting it to HUD 

electronically via grants.gov. If you 

received a waiver of the electronic 

submission requirement, you must 

submit an original and four copies to the 

appropriate lead HUD Multifamily Hub 

Office. Submitting fewer than the 

original and four copies of the 

application is not a curable deficiency 

and will cause your application to be 

considered non-responsive to the NOFA 

and returned to you. 

HUD will screen all applications 

received by the deadline for curable 

deficiencies. With respect to correction 

of deficient applications, HUD may not, 

after the application deadline date and 

consistent with HUD’s regulations in 24 

CFR part 4, subpart B, consider any 

unsolicited information an applicant 

may want to provide. HUD may contact 

an applicant to clarify an item in the 

application or to correct curable 

deficiencies. Please note, however, that 

HUD may not seek clarification of items 

or responses that improve the 

substantive quality of a response to any 

rating factors. In order not to 

unreasonably exclude applications from 

being rated and ranked, HUD may 

contact applicants to ensure proper 

completion of the application and will 

do so on a uniform basis for all 

applicants. A curable deficiency is a 

missing Exhibit or portion of an Exhibit 

that will not affect the rating of the 

application. In each case, under this 

NOFA, the appropriate lead HUD 

Multifamily Hub office will notify you 

in writing by describing the clarification 

or curable deficiency. You must submit 

clarifications or responses to curable 

deficiencies in accordance with the 

information provided by the Hub office 

within 14 calendar days of the date of 

HUD notification. (If the due date falls 

on a Saturday, Sunday, or federal 

holiday, your correction must be 

received by HUD on the next day that 

is not a Saturday, Sunday, or federal 

holiday.) If the deficiency is not 

corrected within this time period, HUD 

will reject the application as 

incomplete, and it will not be 

considered for funding. The following is 

a list of the deficiencies that will be 

considered curable in ALCP 

applications: 

Exhibits/Forms 

• *Application Summary 

• *Articles of Incorporation, or 

certification of Articles of Incorporation 

• *By-laws, or certification of by-laws 

• Evidence of occupancy for at least 

five years 

• Original project plans 

• Relocation Plan 

• Evidence of Permissive Zoning 

• Form SF–424 Supplement, Survey 

for Ensuring Equal Opportunity for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

• Form HUD–424–CB, Grant 

Applications Detailed Budget ‘‘HUD 

Detailed Budget Form’’ on Grants.gov); 

• Form HUD–424–CBW, Grant 

Application Detailed Budget worksheet 

• Form HUD–2880, Applicant/ 

Recipient Disclosure/Update Report 

(‘‘HUD Applicant Recipient Disclosure 

Report’’ on Grants.gov); 

• Form HUD–2991, Certification of 

Consistency with the Consolidated Plan 

• Form HUD–2994–A, You Are Our 

Client Grant Applicant Survey, optional; 

• Standard Form–LLL, Disclosure of 

Lobbying Activities, if applicable 

• HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘Facsimile Transmittal Form on 

Grants.gov) (For use with electronic 

applications as the cover sheet to 

provide third party documentation.) 

The appropriate Hub office will notify 

you in writing if your application is 

missing any of the exhibits listed above 

and you will be given 14 days from the 

date of the HUD notification to submit 

the information required to cure the 

noted deficiencies. The exhibits 

identified by an asterisk (*) must be 

dated on or before the application 

deadline date. If not so dated the 

application will be rejected. 

After the completeness review, HUD 

staff will review your application to 

determine whether the application 

meets the threshold requirements. 

3. Threshold Review. Only those 

ALCP applications that meet all 

threshold requirements will be eligible 

to receive an award. Applications that 

do not pass threshold will be rejected. 

(See Section III.C 2. above for threshold 

requirements). 

4. Appeal Process. Upon rejection of 

an ALCP application, HUD must send a 

letter to the Owner outlining all reasons 

for rejection. The Owner has 14 

calendar days from the date of the letter 

to appeal the rejection. If the Owner 

submits an appeal, which causes the 

rejection to be overturned, the 

application will be rated, ranked, and 

submitted to the selection panel for 

consideration. If the Owner does not 

appeal or does appeal but the rejection 

is not overturned, the application will 

remain rejected. 

5. Review Panels. The Office of 

Housing’s Multifamily Hubs will 

establish panels to review all eligible 

applications that have passed threshold. 

6. Rating of Applications. HUD staff 

teams will review and rate ALCP 

applications in accordance with the 

Ranking and Selection procedures 

outlined below. All applications will be 

either rated or technically rejected at the 

end of technical review. If your 

application meets all program eligibility 

requirements after completion of 

technical review, it will be rated 

according to the rating selection factors 

in Section V.A. above of this NOFA. 

HUD reserves the right to reduce the 

amount requested in the application if 

any proposed components are ineligible 

or if the cost of items is not deemed 

reasonable. HUD will NOT reject an 

ALCP application based on technical 

review without notifying you of that 

rejection with all the reasons for the 

rejection, and providing you an 

opportunity to appeal. You will have 14 

calendar days from the date of HUD’s 

written notice to appeal a technical 

rejection to the Multifamily Hub where 

the applications were sent originally. 

HUD staff will make a determination on 

an appeal before finalizing selection 

recommendations. 

7. Ranking and Selection Procedures. 

Applications submitted in response to 

this NOFA that are eligible, pass 

threshold and have a total score of 75 

points (or more) are eligible for ranking 

and selection. 

a. Hub staff teams will be established 

for ALCP review in each geographical 

area to do the application ratings. After 

the team’s ratings are finalized, the team 


rwilkins on PROD1PC63 with NOTICES_2
11688 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

will place all rated applications within 

that geographical area in rank order. 

b. From within rank order, Hub staff 

teams in each of the four geographical 

areas will select the highest ranked 

applications from within that 

geographical area in rank order, without 

regard to which Hub the application 

was submitted which can be funded 

from within the dollars available. 

c. After making the initial selections, 

however, HUD may use any residual 

funds in each geographical area to select 

the next rank-ordered application by 

reducing the dollars requested by no 

more than 10 percent and reducing the 

number of units proposed, but in no 

case reducing the number of units below 

the financial threshold feasibility of five 

ALF units. 

d. Funds remaining after these 

processes are completed will be 

returned to HUD Headquarters. HUD 

Headquarters will use these funds to 

restore units to any project reduced as 

a result of using the residual grant funds 

in a geographical area. Finally, HUD 

will use these funds for selecting one or 

more additional applications based on 

the field staff rating and rankings, 

beginning with the highest rated 

application nationwide. Only one 

application will be selected per 

geographical area from the national 

residual amount. If there are no 

approvable applications in other 

geographical areas, the process will 

begin again with the selection of the 

next highest rated application 

nationwide. This process will continue 

until all approvable applications are 

selected using the available remaining 

funds. If there is a tie score between two 

or more applications, and there are 

insufficient residual funds to cover all 

tied applications, HUD Headquarters 

staff will choose the winning 

application(s) by lottery and/or 

reduction of grant requests consistent 

with the instructions above. 

VI. Award Administration Information 

A. Award Notices 

1. The Grant Agreement, and the 

Form HUD–1044, signed by both the 

Recipient and Grant Officer, shall serve 

as the authorizing award documents. 

Unsuccessful applicants will be 

notified, by mail, within 30 days of the 

announcement of the awards. 

2. Adjustments to Funding. HUD will 

not fund any portion of your application 

that is not eligible for funding under 

specific program statutory or regulatory 

requirements; does not meet the 

requirements of this notice; or may be 

duplicative of other funded programs or 

activities. Only the eligible portion of 

your application will be funded. 

3. Applicant Debriefing. All requests 

for debriefing must be made in writing 

and submitted to the lead HUD 

Multifamily Hub in which you applied 

for assistance. Materials provided to you 

during your debriefing will include the 

final scores you received for each rating 

factor, final evaluator comments for 

each rating factor, and the final 

assessment indicating the basis upon 

which assistance was provided or 

denied. Information regarding this 

procedure may be found in the General 

Section. 

B. Administrative and National Policy 

Requirements. See Section III.C. of this 

NOFA and the General Section. 

C. Reporting 

Recipients of funding under this 

program NOFA shall submit a progress 

report every six months after the 

effective date of the Grant Agreement. 

Every six months owners must report 

their progress in attaining the goals and 

objectives they proposed in their ALCP 

Logic Model that was included in their 

application. Each semi-annual report 

must identify any deviations (positive or 

negative) from outputs and outcomes 

proposed and approved by HUD, by 

providing the information in the 

reporting TAB of the approved Logic 

Model. For FY 2007, HUD is 

considering a new concept for the Logic 

Model. The new concept is a Return on 

Investment statement. HUD will be 

publishing a separate notice on the ROI 

concept. 

VII. Agency Contacts 

A. For Further Information and 

Technical Assistance. You should 

contact the HUD Multifamily Hub in 

your geographical area. For a list of 

HUD Multifamily Hub Offices, see 

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

offices/adm/grants/fundsavail.cfm. 

You also may contact Faye Norman, 

Housing Project Manager at (202) 708–

3000, extension 2482 or Aretha 

Williams, Director, Grant Policy and 

Management Division, Room 6138 at 

(202) 708–3000, extension 2480 for 

questions regarding the ALF grant 

award process. These are not toll-free 

numbers. Ms. Norman can be reached 

by e-mail at Faye_ L._ Norman@hud.gov 

and Ms. Williams at 

Aretha_M._Williams@hud.gov. If you 

have a hearing or speech impairment, 

you may access the telephone number 

via TTY by calling the Federal 

Information Relay Service at 800–877–

8339. 

VIII. Other Information 

A. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (4 U.S.C. 3501–

3520) and assigned OMB control 

number 2502–0542. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 2,550 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

data for the application, semi-annual 

reports, and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

B. Appendix. Appendix 1 provides a 

list of HUD Multifamily Hub Offices. 

Appendix 1 may be found at HUD’s 

Web site at http://www.hud.gov/offices/ 

adm/grants/fundsavail.cfm. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11689 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.024</GPH>
11690 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Service Coordinators In Multifamily 

Housing; Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of the Assistant Secretary for 

Housing-Federal Housing 

Commissioner. 

B. Funding Opportunity Title: Service 

Coordinators In Multifamily Housing. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: The 

Federal Register number is FR–5100–

N–03. The OMB approval number is 

2502–0447. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: 14.191, 

Multifamily Housing Service 

Coordinators. 

F. Dates: The application deadline 

date is June 8, 2007. (All applications 

must be received and validated by 

www.grants.gov no later than 11:59:59 

p.m. Eastern Time on the application 

deadline date. See submission details in 

the General Section.) 

G. Optional, Additional Overview 

Information 

1. Available Funds. Approximately 

$51.6 million in fiscal year 2007 funds 

are available for the Service Coordinator 

program. Of these funds, approximately 

$3.5 million are available in this NOFA 

for funding new Service Coordinator 

programs. 

2. Purpose of the program. The 

Service Coordinator program allows 

multifamily housing owners to assist 

elderly individuals and nonelderly 

people with disabilities living in HUDassisted housing and in the surrounding 

area to obtain needed supportive 

services from the community, to enable 

them to continue living as 

independently as possible in their 

homes. 

3. Eligible Applicants. Only owners of 

eligible multifamily assisted 

developments may apply. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. The Service Coordinator Program. 

The Service Coordinator Program 

provides funding for the employment 

and support of Service Coordinators in 

insured and assisted housing 

developments that were designed for the 

elderly or nonelderly persons with 

disabilities and continue to operate as 

such. Service Coordinators help 

residents obtain supportive services 

from the community that are needed to 

enable independent living and aging in 

place. 

A Service Coordinator is a social 

service staff person hired or contracted 

by the development’s owner or 

management company. The Service 

Coordinator is responsible for assuring 

that elderly residents, especially those 

who are frail or at risk, and those nonelderly residents with disabilities are 

linked to the supportive services they 

need to continue living independently 

in their current homes. All services 

should meet the specific desires and 

needs of the residents themselves. The 

Service Coordinator may not require any 

elderly individual or person with a 

disability to accept any specific 

supportive service(s). 

You may want to review the 

Management Agent Handbook 4381.5 

REVISION–2, CHANGE–2, Chapter 8 for 

further guidance on service 

coordinators. This Handbook is 

accessible through HUDCLIPS on HUD’s 

Web site at http://www.hudclips.org. 

The Handbook is in the Handbooks and 

Notices—Housing Notices database. 

Enter the Handbook number in the 

‘‘Document Number’’ field to retrieve 

the Handbook. 

B. Authority. Section 808 of the 

Cranston-Gonzalez National Affordable 

Housing Act (Pub. L. 101–625, approved 

November 28, 1990), as amended by 

sections 671, 674, 676, and 677 of the 

Housing and Community Development 

Act of 1992 (Pub. L. 102–550, approved 

October 28, 1992), and section 851 of 

the American Homeownership and 

Economic Opportunity Act of 2000 

(Pub. L. 106–569, approved December 

27, 2000). 

C. Definition of Terms Used in This 

Program NOFA 

1. ‘‘Activities of daily living (ADLs)’’

means eating, dressing, bathing, 

grooming, and household management 

activities, as further described below: 

a. Eating—May need assistance with 

cooking, preparing, or serving food, but 

must be able to feed self; 

b. Bathing—May need assistance in 

getting in and out of the shower or tub, 

but must be able to wash self; 

c. Grooming—May need assistance in 

washing hair, but must be able to take 

care of personal appearance; 

d. Dressing—Must be able to dress 

self, but may need occasional assistance; 

and 

e. Home management activities—May 

need assistance in doing housework, 

grocery shopping, laundry, or getting to 

and from activities such as going to the 

doctor and shopping, but must be 

mobile. The mobility requirement does 

not exclude persons in wheelchairs or 

those requiring mobility devices. 

2. ‘‘At-risk elderly person’’ is an 

individual 62 years of age or older who 

is unable to perform one or two ADLs, 

as defined in the above paragraph. 

3. ‘‘Frail elderly person’’ means an 

individual 62 years of age or older who 

is unable to perform at least three ADLs 

as defined in the above paragraph. 

4. ‘‘People with disabilities’’ means 

those individuals who: 

a. Have a disability as defined in 

Section 223 of the Social Security Act; 

b. Have a physical, mental, or 

emotional impairment expected to be of 

long, continued, and indefinite duration 

that substantially impedes the 

individual’s ability to live 

independently; or 

c. Have a developmental disability as 

defined in Section 102 of the 

Developmental Disabilities Assistance 

and Bill of Rights Act of 2000, (42 

U.S.C. Section 15002). 

5. ‘‘Reasonable costs’’ mean that costs 

are consistent with salaries and 

administrative costs of similar programs 

in your Field office’s jurisdiction. 

D. Basic Qualifications of Service 

Coordinators and Aides 

1. Service Coordinator qualifications 

include the following: 

a. A Bachelor of Social Work or 

degree in Gerontology, Psychology or 

Counseling is preferable; a college 

degree is fully acceptable. You may also 

consider individuals who do not have a 

college degree, but who have 

appropriate work experience. 

b. Knowledge of the aging process, 

elder services, disability services, 

eligibility for and procedures of federal 

and applicable state entitlement 

programs, legal liability issues relating 

to providing Service Coordination, drug 

and alcohol use and abuse by the 

elderly, and mental health issues. 

c. Two to three years experience in 

social service delivery with senior 

citizens and/or people with disabilities. 

Some supervisory or management 

experience may be desirable if the 

Service Coordinator will work with 

aides. 

d. Demonstrated working knowledge 

of supportive services and other 

resources for senior citizens and/or nonelderly people with disabilities 

available in the local area. 

e. Demonstrated ability to advocate, 

organize, problem-solve, and provide 

results for the elderly and people with 

disabilities. 

2. Aides working with a Service 

Coordinator should have appropriate 

education or experience in working 

with the elderly and/or people with 

disabilities. An example of an aide 

position could be an internship or workstudy program with local colleges and 

universities to assist in carrying out 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11691 

some of the Service Coordinator’s 

functions. 

II. Award Information 

A. Available Funding. The Revised 

Continuing Appropriations Resolution, 

2007 (Pub. L. 110–5, approved February 

15, 2007) provides approximately $51.6 

million to fund Service Coordinators 

and the continuation of existing 

Congregate Housing Services Program 

(CHSP) grants. Approximately $3.5 

million of the available $51.6 million 

will be used to fund new Service 

Coordinator programs. The remaining 

amount of $48.1 million will be used to 

fund one-year extensions to expiring 

Service Coordinator and CHSP grants. 

B. Maximum Grant Award. There is 

no maximum grant amount. The grant 

amount you request will be based on the 

Service Coordinator’s salary and the 

number of hours worked each week by 

that Service Coordinator (and/or aide). 

You should base your determination of 

the appropriate number of weekly work 

hours on the number of people in the 

development who are frail or at-risk 

elderly or non-elderly people with 

disabilities. Under normal 

circumstances, a full-time Service 

Coordinator should be able to serve 

about 50–60 frail or at-risk elderly or 

non-elderly people with disabilities on 

a continuing basis. Your proposed 

salary must also be supported by 

evidence of comparable salaries in your 

area. Gather data from programs near 

you to compare your estimates with the 

salaries and administrative costs of 

currently operating programs. HUD 

Field staff can provide you with 

contacts at local program sites. 

C. HUD provides funding in the form 

of three-year grants. HUD may renew 

grants subject to the availability of funds 

and the grantee’s acceptable 

performance and compliance with 

program requirements. HUD will 

determine performance based on the 

information given in the grantee’s semiannual performance reports, financial 

status reports, and Logic Model forms. 

III. Eligibility Information 

A. Eligible Applicants 

1. You must meet all of the applicable 

threshold requirements of Section III.C 

of the General Section. 

2. You must be an owner of a 

development assisted under one of the 

following programs: 

a. Section 202 Direct Loan; 

b. Project-based Section 8 (including 

Section 8 Moderate Rehabilitation), or 

c. Section 221(d)(3) below-market 

interest rate, and 236 developments that 

are insured or assisted. 

3. Additionally, developments listed 

in paragraph III.A.2, above, are eligible 

only if they meet the following criteria: 

a. Have frail or at-risk elderly 

residents and/or non-elderly residents 

with disabilities who together total at 

least 25 percent of the building’s 

residents. (For example, in a 52-unit 

development, at least 13 residents must 

be frail, at-risk, or non-elderly people 

with disabilities.) 

b. Were designed for the elderly or 

persons with disabilities and continue 

to operate as such. This includes any 

building within a mixed-use 

development that was designed for 

occupancy by elderly persons or 

persons with disabilities at its inception 

and continues to operate as such, or 

consistent with title VI, subtitle D of the 

Housing and Community Development 

Act of 1992 (Pub. L. 102–550). If not so 

designed, a development in which the 

owner gives preferences in tenant 

selection (with HUD approval) to 

eligible elderly persons or nonelderly 

persons with disabilities, for all units in 

that development. 

c. If FHA insured or financed with a 

Section 202 Direct Loan, are current in 

mortgage payments or are current under 

a workout agreement. 

d. Meet HUD’s Uniform Physical 

Conditions Standards (codified in 24 

CFR part 5, subpart G), based on the 

most recent physical inspection report 

and responses thereto, as evidenced by 

a score of 60 or better on the last 

physical inspection or by an approved 

plan for developments scoring less than 

60. 

e. Are in compliance with their 

regulatory agreement, Housing 

Assistance Payment (HAP) Contract, 

and any other outstanding HUD grant or 

contract document. 

f. Have no available project funds (i.e., 

Section 8 operating funds, residual 

receipts, or excess income) that could 

pay for a Service Coordinator program. 

(‘‘Available funds’’ are those that 

require HUD approval for their use and 

are not needed to meet critical project 

needs.) Field office staff will make this 

determination based on financial 

records maintained by the Department 

and information provided by the 

applicant in the grant application. 

g. You may use funds to continue a 

Service Coordinator program that has 

previously been funded through other 

sources. To be deemed eligible, you 

must provide evidence that these 

resources have already ended or will 

discontinue within six months 

following the application deadline date 

and that no other funding mechanism is 

available to continue the program. (This 

applies only to funding sources other 

than the subsidy awards and grants 

provided by the Department through 

program Notices beginning in FY 1992. 

HUD currently provides one-year 

extensions to these subsidy awards and 

grants through a separate funding 

action.) 

4. If your eligibility status changes 

during the course of the grant term, 

making you ineligible to receive a grant 

(e.g., due to prepayment of mortgage, 

sale of property, or opting out of a 

Section 8 HAP contract), HUD has the 

right to terminate your grant. 

5. Ineligible Applicants and 

Developments 

a. Property management companies, 

area agencies on aging, and other like 

organizations are not eligible applicants 

for Service Coordinator funds. 

b. Developments not designed for the 

elderly, nonelderly people with 

disabilities, or those no longer operating 

as such; 

c. Section 221(d)(4) and Section 515 

developments without project-based 

Section 8 assistance; 

d. Section 202 and 811 developments 

with a Project Rental Assistance 

Contract (PRAC). Owners of Section 202 

PRAC developments may obtain 

funding by requesting an increase in 

their PRAC payment consistent with 

Handbook 4381.5 REVISION–2, 

CHANGE–2, Chapter 8; 

e. Conventional public housing, as 

such term is defined in section 3(b) of 

the United States Housing Act of 1937), 

and units assisted by project-based 

Housing Choice Vouchers, as set forth in 

24 CFR Part 983. 

f. Renewals of existing Section 8 

Service Coordinator subsidy awards or 

grants. HUD currently provides one-year 

extensions to these subsidy awards and 

grants through a separate funding 

action. 

B. Cost Sharing or Matching 

Requirement. None required. 

C. Other 

1. Eligible Activities. The functions of 

a Service Coordinator position are 

considered the program’s eligible 

activities. The major functions of the 

Service Coordinator include the 

following: 

a. Refer and link the residents of the 

development to supportive services 

provided by the general community. 

Such services may include case 

management, personal assistance, 

homemaker, meals-on-wheels, 

transportation, counseling, occasional 

visiting nurse, preventive health 

screening/wellness, and legal advocacy. 


rwilkins on PROD1PC63 with NOTICES_2
11692 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

b. Educate residents on service 

availability, application procedures, 

client rights, etc. 

c. Establish linkages with agencies 

and service providers in the community. 

Shop around to determine/develop the 

best ‘‘deals’’ in service pricing, to assure 

individualized, flexible, and creative 

services for the involved resident. 

Provide advocacy as appropriate. 

d. Provide case management when 

such service is not available through the 

general community. This might include 

evaluation of health, psychological and 

social needs, development of an 

individually tailored case plan for 

services, and periodic reassessment of 

the resident’s situation and needs. 

Service Coordinators can also set up a 

Professional Assessment Committee 

(PAC) to assist in performing initial 

resident assessments. (See the guidance 

in the Congregate Housing Services 

Program (CHSP) regulations at 24 CFR 

700.135 (or 7 CFR 1944.258 for Rural 

Housing developments)). 

e. Monitor the ongoing provision of 

services from community agencies and 

keep the case management and provider 

agency current with the progress of the 

individual. Manage the provision of 

supportive services where appropriate. 

f. Help the residents build informal 

support networks with other residents, 

family and friends. 

g. Work and consult with tenant 

organizations and resident management 

corporations. Provide training to the 

development’s residents in the 

obligations of tenancy or coordinate 

such training. 

h. Create a directory of providers for 

use by both development staff and 

residents. 

i. Educate other staff of the 

management team on issues related to 

aging in place and Service Coordination, 

to help them to better work with and 

assist the residents. 

j. Provide service coordination to lowincome elderly individuals or 

nonelderly people with disabilities 

living in the vicinity of an eligible 

development. Community residents 

should come to your housing 

development to meet with and receive 

service from the Service Coordinator, 

but you must make reasonable 

accommodations for those individuals 

unable to travel to the housing site. 

2. Eligible Program Costs 

a. Service Coordinator Program grant 

funds may be used to pay for the salary, 

fringe benefits, and related support costs 

of employing a service coordinator. 

Support costs may include quality 

assurance, training, travel, creation of 

office space, purchase of office 

furniture, equipment, and supplies, 

computer hardware, software, and 

Internet service, and indirect 

administrative costs. 

b. You may use grant funds to pay for 

Quality Assurance (QA) in an amount 

that does not exceed ten percent of the 

Service Coordinator’s salary. Eligible 

QA activities are those that evaluate 

your program to assure that the position 

and program are effectively 

implemented. A qualified, objective 

third party must perform the program 

evaluation work and must have work 

experience and education in social or 

health care services. Your QA activities 

must identify short- and long-term 

program outcomes and performance 

indicators that will help you measure 

your performance. On-site housing 

management staff cannot perform QA 

and you may not augment current 

salaries of in-house staff for this 

purpose. 

c. You may propose reasonable costs 

associated with setting up a confidential 

office space for the Service Coordinator. 

Such expenses must be one-time only 

start-up costs. Such costs may involve 

acquisition, leasing, rehabilitation, or 

conversion of space. The office space 

must be accessible to people with 

disabilities and meet the Uniform 

Federal Accessibility Standards (UFAS) 

requirements of accessibility. HUD field 

office staff must approve both the 

proposed costs and activity and must 

perform an environmental assessment 

on such proposed work prior to grant 

award. 

d. Only ALCP applicants may use 

funds to augment a current Service 

Coordinator program, by increasing the 

hours of a currently employed Service 

Coordinator, or hiring an additional 

Service Coordinator or aide on a part- or 

full-time basis. The additional hours 

and/or staff must work only with ALCP 

residents. 

3. Threshold Requirements 

a. At the time of submission, grant 

applications must contain the materials 

in Section IV.B.2.a and c of this NOFA 

in order to be considered for funding. If 

any of these items are missing, HUD 

will immediately reject your 

application. 

b. In cases where field office staff 

request information in response to 

technical deficiencies in applications, 

applicants must submit the response by 

the designated deadline date. If 

requested responses are not received by 

this date, HUD will reject the 

application. 

c. DUNS Number Requirement. Refer 

to the General Section for information 

regarding the DUNS requirement. You 

will need to obtain a DUNS number to 

receive an award from HUD. 

4. Program Requirements. In 

managing your Service Coordinator 

grant, you must meet the requirements 

of this Section. These requirements 

apply to all activities, programs, and 

functions used to plan, budget, and 

evaluate the work funded under your 

program. 

a. You must make sufficient separate 

and private office space available for the 

Service Coordinator and/or aides to 

meet with residents, without adversely 

affecting normal activities. 

b. The Service Coordinator must 

maintain resident files in a secured 

location. Files must be accessible ONLY 

to the Service Coordinator, unless 

residents provide signed consent 

otherwise. These policies must be 

consistent with maintaining 

confidentiality of information related to 

any individual per the Privacy Act of 

1974. 

c. Grantees must ensure that the 

Service Coordinator receives 

appropriate supervision, training, and 

ongoing continuing education, 

consistent with statutory and HUD 

administrative requirements. This 

includes 36 hours of training in agerelated and disability issues during the 

first year of employment, if the Service 

Coordinator has not received recent 

training in these areas, and 12 hours of 

continuing education each year 

thereafter. 

d. Grantees are responsible for any 

budget shortfalls during the three-year 

grant term. 

e. As a condition of receiving a grant, 

Section 202 developments without a 

dedicated residual receipts account 

must amend their regulatory agreement 

and open such an account, separate 

from their Reserve for Replacement 

account. 

f. Subgrants and Subcontracts. You 

may directly hire a Service Coordinator 

or you may contract with a qualified 

third party to provide this service. 

g. Environmental Requirements. It is 

anticipated that most activities under 

this program are categorically excluded 

from the National Environmental Policy 

Act (NEPA) and related environmental 

authorities under 24 CFR 50.19(b)(3), 

(4), (12), or (13). If grant funds will be 

used to cover the cost of any activities 

which are not exempt from 

environmental review requirements—

such as acquisition, leasing, 

construction, or building rehabilitation, 

HUD must perform an environmental 

review to the extent required by 24 CFR 

part 50, prior to grant award. HUD Field 

office staff will determine the need for 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11693 

an environmental assessment, based on 

the proposed program activities. 

IV. Application and Submission 

Information 

A. Obtaining Grant Application 

Packages. Applicants may download the 

Instructions to the application found on 

the grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. The instructions 

contain the General Section and 

Program Section of the published NOFA 

as well as forms that you must complete 

and attach as a zip file to your 

application submission. If you have 

difficulty accessing the information, you 

may call the Grants.gov Support desk 

toll free at 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

The Support Desk staff will assist you 

in accessing the information. Persons 

with hearing or speech impairments 

may access this number via TTY by 

calling the Federal Information Relay 

Service at (800) 877–8339. 

B. Content and Form of Application 

Submission. Your application must 

contain the items listed in paragraphs 1 

and 2, below. These items include the 

standard forms listed in Section 

IV.B.2.b(4) of the General Section that 

are applicable to this funding Notice 

(collectively referred to as the ‘‘standard 

forms’’). The standard forms and other 

required forms are part of the electronic 

application found at http:// 

www.grants.gov/apply_for_grants.jsp. 

The items are as follows: 

1. Standard Forms 

a. Application for Federal Assistance 

(SF–424) 

b. Faith Based EEO Survey (SF–424 

SUPP). 

c. If engaged in lobbying, the 

Disclosure of Lobbying Activities Form 

(SF–LLL) 

d. Applicant/Recipient Disclosure/ 

Update Report (HUD–2880) 

e. Logic Model, (HUD–96010). The 

Logic Model for the Service Coordinator 

NOFA is contained in the application 

instructions download. Applicants may 

select the items from the download 

menu in each column that reflect their 

anticipated activity outputs and 

outcomes and select the activities and 

outcomes that reflect your program into 

the appropriate column in the Logic 

Model form. You must enter the 

appropriate outcomes in the outcome 

column related to the output list 

provided. The Master Logic Model 

listing also identifies the unit of 

measure that HUD is interested in 

collecting for the outputs and outcomes 

selected. In making the selections, you 

must identify the appropriate predicted 

number of units of measure to be 

accomplished for each out put and 

outcome. Use the space next to the 

output and outcome to identify the 

anticipated units of measure. You may 

select multiple outputs and outcomes. 

f. Acknowledgment of Application 

Receipt (HUD–2993), for applicants 

submitting paper applications only. 

g. You Are Our Client Grant 

Applicant Survey (HUD 2994–A), 

optional. 

h. Facsimile Transmittal (HUD–

96011). This form must be used as part 

of the electronic application to transmit 

third party documents and other 

information as described in the General 

Section. 

2. Other Application Items. All 

applications for funding under the 

Service Coordinator Program must 

include the following documents and 

information: 

a. Service Coordinator First-Time 

Funding Request, form HUD–91186. 

b. Evidence of comparable salaries in 

your local area. 

c. Narrative Statements Describing 

Your Program. 

(1) Explain your method of estimating 

how many residents of your 

development are frail or at-risk elderly 

or non-elderly people with disabilities. 

Please document that individuals 

meeting these criteria make up at least 

25 percent of your resident population. 

(Do not include elderly individuals or 

people with disabilities who do not live 

in the eligible developments included in 

your application.) 

(2) Explain how you will provide onsite private office space for the Service 

Coordinator, to allow for confidential 

meetings with residents. If construction 

is planned, also include a plan and a 

cost-estimate. 

(3) Describe your quality assurance 

program evaluation activities and 

itemized list of estimated expenses for 

this activity if included in your request 

for funding. Indicate the type of 

professional or entity that will perform 

the work if known at this time or the 

criteria you will use to select the 

provider. 

(4) Describe your plan to address 

community resident needs, if applicable 

to your program. 

(5) If you are applying for an ALCP 

grant in conjunction with your Service 

Coordinator application, describe how 

the new or additional Service 

Coordinator hours will support your 

proposed assisted living program. 

Indicate if you want your Service 

Coordinator application entered into the 

lottery if your ALCP application is not 

selected to receive an award. In this 

instance, your SC application will be 

eligible only if the concerned housing 

development currently has no SC 

program. 

d. Evidence that no project funds are 

available to fund a Service Coordinator 

program. You must include a copy of 

your development’s most recent bank 

statement (or the equivalent thereof), 

showing the project’s current residual 

receipts or excess income balance (if 

any). It is incumbent upon the applicant 

to demonstrate that no such project 

funds are available. 

e. If applicable, provide evidence that 

prior funding sources for your 

development’s Service Coordinator 

program are no longer available or will 

expire within six months following the 

application deadline date. 

f. Agents may prepare applications 

and sign application documents if they 

provide authorization from the owner 

corporation as part of the application. In 

such cases, the owner corporation must 

be indicated on all forms and 

documents as the funding recipient. 

(1) If an agent is preparing an 

electronic application for an owner, the 

owner must authorize the agent as the 

Authorized Organization Representative 

(AOR) in the Grants.gov Registration 

process. HUD will recognize this 

authority if the DUNS number included 

in the application belongs to the owner 

corporation and the name of the agent 

is listed as the AOR. Refer to Section 

IV.B. of the General Section for more 

detailed registration information. 

(2) If you are applying in paper copy 

format, you must provide a letter from 

the owner authorizing the submission 

by the agent on their behalf. 

3. Single and Joint Applications 

a. Single Applications. 

(1) You may submit one application 

that contains one or more developments 

that your corporation owns. Submitting 

one application for each project you 

own will increase your chances of 

selection in the lottery. You may also 

submit one application that contains 

multiple projects you own, to reduce 

preparation time and resources. Each 

application must propose a stand-alone 

program at separate developments. The 

developments must all be located in the 

same field office jurisdiction. 

(2) If you wish to apply on behalf of 

developments located in different field 

office jurisdictions, you must submit a 

separate application to each field office. 

b. Joint Applications. You may join 

with one or more other eligible owners 

to share a Service Coordinator and 

submit a joint application. Small 

developments often join together to hire 

and share a part or full-time Service 

Coordinator and submit a joint 


rwilkins on PROD1PC63 with NOTICES_2
11694 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

application. If more than one owner is 

proposing to share a Service 

Coordinator, one agency must designate 

itself the ‘‘lead’’. When the legal 

signatory for the owner corporation 

signs the application, the owner agrees 

to administer grant funds for all the 

housing developments listed in the 

application. 

4. Application Submission 

Requirements for ALCP Applicants 

a. If you are an ALCP applicant and 

you request new or additional Service 

Coordinator funds specifically for your 

proposed Assisted Living Program, you 

must submit an application containing 

all required documents listed in Section 

IV.B of this NOFA. You may include a 

copy of all standard forms submitted as 

part of your ALCP application. 

b. If you currently do not have a 

Service Coordinator working at the 

development proposed in your ALCP 

application and your ALCP application 

is selected to receive an award, HUD 

will fund a Service Coordinator to serve 

either ALCP residents only or all 

residents of the development dependent 

upon your request. If your development 

currently has a Service Coordinator, you 

may request additional hours for the 

Service Coordinator to serve the 

Assisted Living residents only. If you 

request additional hours, you must 

specify the number of additional hours 

per week and provide an explanation 

based on the anticipated needs of the 

Assisted Living residents. If you request 

Service Coordinator funding to serve all 

residents of your development, indicate 

whether or not your request should be 

entered into the national lottery if your 

ALCP application is not selected to 

receive an award. Provide this 

information in your related narrative, 

pursuant to paragraph IV.B.2.c(5) of this 

NOFA. 

C. Submission Dates and Times. The 

application deadline date is June 8, 

2007. (All applications must be received 

and validated by www.grants.gov no 

later than 11:59:59 p.m. eastern time on 

the application deadline date. See 

submission details in the General 

Section.) 

D. Intergovernmental Review. Not 

applicable to this program. 

E. Funding Restrictions 

1. Alternative Funding for Service 

Coordinators. If your development has 

available Section 8 operating funds, 

residual receipts, or excess income (i.e. 

‘‘project funds’’), not needed for critical 

project expenses, you must use these 

project funds prior to receiving grant 

monies. Owners may submit requests to 

use Section 8 operating funds, residual 

receipts, or excess income pursuant to 

instructions in Housing’s Management 

Agent Handbook 4381.5, REVISION–2, 

CHANGE–2, Chapter 8 and Housing 

Notice H 02–14. HUD field staff may 

approve use of these project funds at 

any time, consistent with current policy. 

You should discuss the use of project 

funds with your field office staff prior 

to submitting a grant application. 

2. Ineligible Activities and Program 

Costs 

a. You may not use funds available 

through this NOFA to replace currently 

available funding from other sources for 

a Service Coordinator or for some other 

staff person who performs service 

coordinator functions. 

b. Owners with existing service 

coordinator subsidy awards or grants 

may not apply for renewal or extension 

of those programs under this NOFA. 

HUD will provide extension funds 

through a separate funding process. 

c. Non-ALCP applicants may not use 

funds to augment a current Service 

Coordinator program, by increasing the 

hours of a currently employed Service 

Coordinator, or hiring an additional 

Service Coordinator or aide on a part-or 

full-time basis. HUD will award grants 

only to eligible projects that do not 

currently have (or are served by) an SC 

program, regardless of the funding 

source used to operate that program. 

d. Grant recipients may not use grant 

funds to pay for supervision performed 

by property management staff. 

(Management fees already pay for such 

supervision.) 

e. Cost overruns associated with 

creating private office space and usual 

audit and legal fees are not eligible uses 

of grant funds. 

f. The cost of application preparation 

is not eligible for reimbursement. 

g. Grant funds cannot be used to 

increase a project’s management fee. 

h. Grant funds may not cover the cost 

of Service Coordinator-related training 

courses for members of a development’s 

management staff who do not directly 

provide Service Coordination. Owners 

must use their management fees to pay 

this expense. 

i. Owners/managers cannot use 

Reserve for Replacement funds to pay 

costs associated with a Service 

Coordinator program. 

j. CHSP grantees may not use these 

funds to meet statutory program match 

requirements and may not use these 

funds to replace current CHSP program 

funds to continue the employment of a 

service coordinator. 

k. Grantees cannot use grant funds to 

pay PAC members for their services. 

l. The grant amount allowed for QA 

may not exceed ten percent of the 

Service Coordinator’s salary. 

3. Prohibited Service Coordinator 

Functions. Service Coordinators may 

not perform the following activities: a. 

Act as a recreational or activities 

director; 

b. Provide supportive services 

directly; 

c. Act as a Neighborhood Networks 

program director or coordinator; and 

d. Perform property management 

work, regardless of the funding source 

used to pay for these activities. 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedures. Carefully review 

the procedures presented in Section 

IV.B and F of the General Section. All 

applicants submitting Service 

Coordinator applications must submit 

applications electronically. 

2. Waiver of Electronic Submission 

Requirement. Applicants that are unable 

to submit their application 

electronically must seek a waiver of the 

electronic grant submission 

requirement. Requests for waivers must 

be submitted to HUD no later than 15 

days before the application deadline 

date. Waiver requests must be submitted 

by mail or by fax. For this program 

NOFA, e-mail requests will not be 

considered. Waiver requests submitted 

by mail or fax should be submitted on 

the applicant’s letterhead and signed by 

an official with the legal authority to 

request a waiver from the Department. 

The request must be addressed to the 

Assistant Secretary for Housing at the 

following address: Brian D. 

Montgomery, Assistant Secretary for 

Housing—Federal Housing 

Commissioner, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 9100, Washington, 

DC 20410–8000. Waiver requests 

submitted by fax must be sent to (202) 

708–3104. If a waiver is granted, you 

will receive notification that provides 

specific instructions on how and where 

to submit the paper application. You 

must submit the required number of 

copies of your application (an original 

and two copies) by no later than the 

local HUD office’s close of business on 

the application deadline date. 

3. Application Copies. Applicants 

submitting electronic applications must 

submit just one application to http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. Applicants who 

receive a waiver for electronic 

submission will receive submission 

instructions in the waiver approval 

notification as to where the application 

should be submitted and the number of 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11695 

copies to be provided. If you do not 

follow the instructions provided in your 

waiver approval, your application will 

be rejected. Therefore, if you are 

uncertain to which local office to submit 

your application, you should contact the 

local HUD office representative listed in 

the notification as a local contact for 

clarification. Paper applications 

received without a waiver will not be 

considered. 

4. Field Office Addresses. For a list of 

field office addresses, see HUD’s Web 

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

localoffices.cfm. 

V. Application Review Information 

A. Criteria 

1. HUD will not award Service 

Coordinator Program grant funds 

through a rating and ranking process. 

Instead, the Department will hold one 

national lottery for all applications 

determined to be eligible by Multifamily 

Hub and Multifamily Program Center 

staffs. 

2. Threshold Eligibility Review. HUD 

Multifamily field office staff will review 

applications for completeness and 

compliance with the eligibility criteria 

set forth in Section III of this NOFA. 

Field office staff will deem an 

application eligible if the electronic 

application was received and validated 

by www.grants.gov no later than 

11:59:59 PM on June 8, 2007. Paper 

applications are eligible if received by 

the field office on or before the deadline 

date. Paper applications not received by 

the deadline date will not be 

considered. To be eligible for the lottery, 

in addition to meeting the timely 

submission requirements, an applicant 

must meet all eligibility criteria; 

propose reasonable costs for eligible 

activities, and, if technical corrections 

are requested during the review process, 

provide the technical correction(s) by 

the timeframe stated in the request. 

B. Review and Selection Process 

1. Funding Priorities 

a. Prior to the lottery, HUD will fund 

Service Coordinator applications 

submitted by FY2007 ALCP applicants, 

whose ALCP applications are selected 

for funding under that program’s NOFA. 

HUD estimates that approximately 

$500,000 will be used to fund ALCP 

Service Coordinator applications. Any 

funds not used by the ALCP program to 

fund service coordinators will be added 

to the funds available for the National 

Lottery. 

b. After setting aside funds for ALCP 

applicants, and prior to the lottery, HUD 

will next fund all applications 

submitted by owners who are applying 

for grant funds to continue a currently 

operating program previously funded 

through project funds. As stated in 

paragraph III.A.3.f of this NOFA, such 

applications are eligible only if project 

funds are no longer available to 

continue the program. 

2. Selection Process 

a. HUD will use remaining funds to 

make grant awards through the use of a 

national lottery. A computer program 

performs the lottery by randomly 

selecting eligible applications. 

b. HUD will fully fund as many 

applications as possible with the given 

amount of funds available. After all 

fully fundable applications have been 

selected by lottery, HUD may make an 

offer to partially fund the next 

application on the lottery’s list, in order 

to use the entire amount of funds 

allocated. If the applicant selected for 

partial funding turns down the offer, 

HUD will make an offer to partially fund 

the next application on the lottery list. 

HUD will continue this process until an 

applicant accepts the partial funding 

offer. 

3. Reduction in Requested Grant 

Amount. HUD may make an award in an 

amount less than requested, if: 

a. HUD determines that some 

elements of your proposed program are 

ineligible for funding; 

b. There are insufficient funds 

available to make an offer to fully fund 

the application; 

c. HUD determines that reduced grant 

amount would prevent duplicative 

federal funding. 

4. Corrections to Deficient 

Applications. Section V.B. of the 

General Section provides the procedures 

for corrections to deficient applications. 

VI. Award Administration Information 

A. Award Notices. HUD field staff 

will send, by postal or overnight mail, 

selection letters and grant agreements to 

the award recipient organization. The 

grant agreement is the obligating 

document and funds are obligated once 

the HUD grant officer signs the 

agreement. Field staff will send nonselection letters during this same period 

of time. If your application is rejected, 

field staff may notify you by letter any 

time during the application review 

process. 

B. Administrative and National Policy 

Requirements. None. 

C. Reporting. All award recipients 

must submit the following reports each 

year of their period of performance: 

1. Two Semi-Annual Financial Status 

Reports (SF–269–A), for each half-year 

period of the federal fiscal year; 

2. Two Semi-Annual Service 

Coordinator Performance Reports, 

(HUD–92456), for each half-year period 

of the federal fiscal year; 

3. Two completed Logic Model forms, 

HUD–96010, submitted as an 

attachment to each Semi-Annual 

Performance Report. The Logic Model 

must present performance information 

corresponding to each six-month 

reporting period, annually, and results 

for the entire grant term. The reports 

should reflect achievements related to 

program outputs and outcomes as 

specified in your approved Logic Model 

incorporated into your grant agreement. 

The objectives of the Service 

Coordinator program are to enhance a 

resident’s quality of life and ability to 

live independently and to age in place. 

The data that HUD collects on the 

performance report and Logic Model 

measure, in a quantitative form, the 

grantee’s success in meeting these 

intended program outcomes. HUD is 

also considering a new concept for the 

Logic Model, the Return on Investment 

(ROI) Statement. HUD will be 

publishing a separate notice on the ROI 

concept. 

4. Periodic reimbursement requests 

(i.e., Payment Voucher, form HUD–

50080–SCMF), providing program 

expenses for the associated time period, 

and submitted in accordance with the 

due dates stated in the grant agreement. 

Grantees must request grant payments 

directly following the end of each 

agreed-upon time period and the funds 

must reimburse those program costs 

already incurred. 

5. If your grant includes Quality 

Assurance activities, you must provide 

a copy of at least one annual report that 

your QA provider submits to you each 

year. You must submit this copy along 

with the semi-annual reports that are 

due on October 30 of each year. The QA 

provider’s report that you submit to 

HUD must include the following 

information: who performed the QA 

work, when the review(s) was 

conducted, and the results of the 

evaluation. The results should include 

such information as how many residents 

were served, the types of services they 

receive, the training sessions attended 

by the Service Coordinator, and the 

extent of resident satisfaction with the 

program. HUD will use this report, in 

tandem with other reports and 

performance data, to determine a 

grantee’s acceptable program 

performance. 

VII. Agency Contacts 

You may contact your local HUD field 

office staff for questions you have 

regarding this NOFA and your 


rwilkins on PROD1PC63 with NOTICES_2
11696 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

application. Please contact the 

Multifamily Housing Service 

Coordinator contact person in your local 

office. If you are an owner of a Section 

515 development, contact the HUD field 

office that monitors your Section 8 

contract. If you have a question that the 

field staff is unable to answer, please 

call Carissa Janis, Housing Project 

Manager; Office of Housing Assistance 

and Grants Administration; Department 

of Housing and Urban Development; 

451 Seventh Street, SW., Room 6146; 

Washington, DC 20410–8000; (202) 402–

2487 (this is not a toll-free number). If 

you are hearing-or speech-impaired, you 

may access this number via TTY by 

calling the Federal Information Relay 

Service at 800–877–8339. 

VIII. Other Information 

A. Satellite Broadcast. HUD will hold 

an information program for potential 

applicants via satellite broadcast to 

learn more about the program and 

preparation of the application. For more 

information about the date and time of 

the broadcast, you should contact your 

local field office staff or consult the 

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

B. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2502–0477. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 50.25 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, semi-annual 

reports and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11697 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.025</GPH>
11698 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Section 202 Supportive Housing for the 

Elderly Program (Section 202 Program) 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Housing. 

B. Funding Opportunity Title: Section 

202 Supportive Housing for the Elderly. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–07; OMB Approval Number is 

2502–0267. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): 14.157, 

Section 202 Supportive Housing for the 

Elderly. 

F. Dates: The application deadline 

date is on or before May 25, 2007. 

Applications must be received and 

validated by Grants.gov by 11:59:59 

p.m. eastern time on the deadline date. 

Please be sure to read the General 

Section for electronic application 

submission and receipt requirements. 

G. Optional, Additional Overview 

Content Information 

1. Purpose of the Program. This 

program provides funding for the 

development and operation of 

supportive housing for very low-income 

persons 62 years of age or older. 

2. Available Funds. Approximately 

$431.5 million in capital advance funds, 

plus associated project rental assistance 

contract (PRAC) funds and any 

carryover funds available. 

3. Types of Funds. Capital advance 

funds will cover the cost of developing 

the housing. PRAC funds will cover the 

difference between the HUD-approved 

operating costs of the project and the 

tenants’ contributions toward rent (30 

percent of their adjusted monthly 

income). 

4. Eligible Applicants. Private 

nonprofit organizations and nonprofit 

consumer cooperatives. (See Section 

III.C.3.k of this NOFA for further details 

and information regarding the formation 

of the Owner corporation). 

5. Eligible Activities. New 

construction, rehabilitation, or 

acquisition (with or without 

rehabilitation) of housing. See Section 

III.C.1 below of this NOFA for further 

information. 

6. Match Requirements. None 

required. 

7. Local HUD Offices. The local HUD 

office structure, for the purpose of 

implementing the Section 202 program, 

consists of 18 Multifamily Hub Offices. 

Within the Multifamily Hubs, there are 

Multifamily Program Centers with the 

exception of the New York Hub, the 

Buffalo Hub, the Denver Hub and the 

Los Angeles Hub. All future references 

shall use the term ‘‘local HUD office’’

unless a more detailed description is 

necessary as in Limitations on 

Applications and Ranking and Selection 

Procedures, below. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description. HUD 

provides capital advances and contracts 

for project rental assistance in 

accordance with 24 CFR part 891. 

Capital advances may be used for the 

construction or rehabilitation of a 

structure, or acquisition of a structure 

with or without rehabilitation. Capital 

advance funds bear no interest and are 

based on development cost limits in 

Section IV.E.3. Repayment of the capital 

advance is not required as long as the 

housing remains available for 

occupancy by very low-income elderly 

persons for at least 40 years. 

PRAC funds are used to cover the 

difference between the tenants’

contributions toward rent (30 percent of 

adjusted income) and the HUDapproved cost to operate the project. 

PRAC funds may also be used to 

provide supportive services and to hire 

a service coordinator in those projects 

serving frail elderly residents. The 

supportive services must be appropriate 

to the category or categories of frail 

elderly residents to be served. 

B. Authority. The Section 202 

Supportive Housing for the Elderly 

Program is authorized by section 202 of 

the Housing Act of 1959 (12 U.S.C. 

1701q), as amended by section 801 of 

the Cranston-Gonzalez National 

Affordable Housing Act (Pub. L. 101–

625; approved November 28, 1990); the 

Housing and Community Development 

Act of 1992 (Pub. L. 102–550; approved 

October 28, 1992); the Rescissions Act 

(Pub. L. 104–19; enacted on July 27, 

1995); the American Homeownership 

and Economic Opportunity Act of 2000 

(Pub. L. 106–569; approved December 

27, 2000); and the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5; approved February 15, 2007). 

C. Calculation of Fund Reservation. If 

selected, you will receive a fund 

reservation that will consist of both a 

reservation of capital advance funds and 

a reservation of three years for project 

rental assistance. 

1. Capital Advance Funds. The 

reservation of capital advance funds is 

based on a formula which takes the 

development cost limit for the 

appropriate building type (elevator, 

non-elevator) and unit size(s) and 

multiplies it by the number of units of 

each size (including a unit for a resident 

manager, if applicable) and then 

multiplies the result by the high cost 

factor for the area. The development 

cost limits can be found in Section 

IV.E.3. of this NOFA. 

2. PRAC Funds. The initial PRAC 

award covers three years. The amount 

awarded is determined by multiplying 

the number of revenue units for elderly 

persons by the appropriate operating 

cost standard times 3. The operating 

cost standards will be published by 

Notice. 

II. Award Information 

A. Available Funds. For FY2007, 

approximately $431.5 million is 

available for capital advances for the 

Section 202 Supportive Housing for the 

Elderly Program. The Revised 

Continuing Appropriations Resolution, 

2007 (Pub. L. 110–5; approved February 

15, 2007) provides approximately $742 

million for capital advances, including 

amendments to capital advance 

contracts, for supportive housing for the 

elderly as authorized by Section 202 of 

the Housing Act of 1959 (12 U.S.C. 

1701q), as amended by section 801 of 

the Cranston-Gonzalez National 

Affordable Housing Act (Pub. L. 101–

625, approved November 28, 1990), for 

project rental assistance, amendments to 

contracts for project rental assistance, 

and the renewal of expiring contracts for 

such assistance for up to a one-year 

term, for supportive housing for the 

elderly under section 202(c)(2) of the 

Housing Act of 1959 as well as the 

amount of $400,000 to be transferred to 

the Working Capital Fund. Additionally, 

of the amount appropriated, 

approximately $51,600,000 is provided 

for Service Coordinators and the 

continuation of Congregate Services 

grants, up to $24,800,000 is provided for 

Assisted Living Conversion grants and 

Emergency Capital Repairs, and 

approximately $20,000,000 is provided 

for a Section 202 Demonstration PreDevelopment Grant Program. 

The announcement of the availability 

of the funds for the Service Coordinators 

and the continuation of Congregate 

Services as well as the Assisted Living 

Conversion program is covered 

elsewhere in this NOFA. 

The announcement of the availability 

of funds for Emergency Capital Repairs 

will be addressed in a separate Federal 

Register publication. 

In accordance with the waiver 

authority provided in the Department of 

Housing and Urban Development 

Appropriations Act, 2006 (Pub. L. 109–

115; approved November 30, 2005), the 

Secretary is waiving the following 

statutory and regulatory provision: The 

term of the project rental assistance 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11699 

contract is reduced from 20 years to 3 

years. HUD anticipates that at the end 

of the contract terms, renewals will be 

approved subject to the availability of 

funds. In addition to this provision, 

HUD will reserve project rental 

assistance contract funds based on 75 

percent rather than on 100 percent of 

the current operating cost standards for 

approved units in order to take into 

account the average tenant contribution 

toward rent. 

The allocation formula used for 

Section 202 reflects the ‘‘relevant 

characteristics of prospective program 

participants,’’ as specified in 24 CFR 

791.402(a). The FY2007 formula 

consists of one data element from the 

2000 Census: number of one-person 

elderly renter households (householder 

age 62 and older) with incomes at or 

below the applicable Section 8 very 

low-income limit, and with housing 

conditions. Housing conditions are 

defined as paying more than 30 percent 

of income for gross rent, or occupying 

a unit lacking some or all kitchen or 

plumbing facilities, or occupying an 

overcrowded unit (1.01 persons per 

room or more). 

Under Section 202, 85 percent of the 

total capital advance amount is 

allocated to metropolitan areas and 15 

percent to nonmetropolitan areas. In 

addition, each local HUD office 

jurisdiction receives sufficient capital 

advance funds for a minimum of 20 

units in metropolitan areas and 5 units 

in nonmetropolitan areas. The total 

amount of capital advance funds to 

support these minimum set-asides are 

subtracted from the respective 

(metropolitan or nonmetropolitan) total 

capital advance amounts available. The 

remainder is fair shared to each local 

HUD office jurisdiction whose fair share 

exceeds the minimum set-aside based 

on the allocation formula fair share 

factors described below. 

Note: The allocations for metropolitan and 

nonmetropolitan portions of the local HUD 

office jurisdictions reflect the definitions of 

metropolitan and nonmetropolitan areas as of 

the June 2003 definitions by the Office of 

Management and Budget. 

A fair share factor is developed for 

each metropolitan and nonmetropolitan 

portion of each local HUD office 

jurisdiction by dividing the number of 

elderly renter households in the 

respective metropolitan and 

nonmetropolitan portion of the 

jurisdiction by the total number of 

elderly rental households in the 

metropolitan and nonmetropolitan 

portions of the United States. The 

resulting percentage for each local HUD 

office jurisdiction is then adjusted to 

reflect the relative cost of providing 

housing among the local HUD office 

jurisdictions. The adjusted needs 

percentage for the applicable 

metropolitan or nonmetropolitan 

portion of each jurisdiction is then 

multiplied by the respective total 

remaining capital advance funds 

available nationwide. Based on the 

allocation formula, HUD has allocated 

the available capital advance funds as 

shown on the following chart: 

FY 2007 SECTION 202 ALLOCATION BY FIELD OFFICE 

Offices 

Metropolitan Non-Metropolitan Totals 

Units Capital 

advance Units Capital advance Units Capital advance 

BOSTON HUB 

BOSTON .......................................................................... 107 $14,777,154 5 $688,957 112 $15,466,111 

HARTFORD ..................................................................... 56 7,970,321 5 713,661 61 8,683,982 

MANCHESTER ................................................................ 36 4,005,849 19 2,044,752 55 6,050,601 

PROVIDENCE ................................................................. 36 4,988,499 ........................ ........................ 36 4,988,499 

TOTAL ...................................................................... 235 31,741,823 29 3,447,370 264 35,189,193 

NEW YORK HUB 

NEW YORK ..................................................................... 252 35,904,226 5 713,661 257 36,617,887 

BUFFALO HUB 

BUFFALO ......................................................................... 73 8,909,520 20 2,475,872 93 11,385,392 

PHILADELPHIA HUB 

PHILADELPHIA ............................................................... 105 14,097,914 15 1,963,717 120 16,061,630 

CHARLESTON ................................................................. 20 2,130,004 10 1,024,03 30 3,154,037 

NEWARK ......................................................................... 120 17,044,604 ........................ ........................ 120 17,044,604 

PITTSBURGH .................................................................. 55 6,182,034 12 1,376,023 67 7,558,057 

TOTAL ............................................................ 300 39,454,555 37 4,363,773 337 43,818,328 

BALTIMORE HUB 

BALTIMORE .................................................................... 54 5,980,970 5 551,715 59 6,532,685 

RICHMOND ..................................................................... 50 5,132,026 12 1,260,724 62 6,392,750 

WASHINGTON ................................................................ 52 6,403,632 ........................ ........................ 52 6,403,632 

TOTAL ...................................................................... 156 17,516,628 17 1,812,439 173 19,329,067 

GREENSBORO HUB 

GREENSBORO ............................................................... 55 7,164,697 24 3,081,337 79 10,246,034 

COLUMBIA ...................................................................... 38 4,138,685 11 1,188,664 49 5,327,349 

TOTAL ...................................................................... 93 11,303,382 35 4,270,001 128 15,573,383 


rwilkins on PROD1PC63 with NOTICES_2
11700 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

FY 2007 SECTION 202 ALLOCATION BY FIELD OFFICE—Continued 

Offices 

Metropolitan Non-Metropolitan Totals 

Units Capital 

advance Units Capital advance Units Capital advance 

JACKSONVILLE HUB 

JACKSONVILLE .............................................................. 149 14,433,608 10 983,871 159 15,417,479 

BIRMINGHAM .................................................................. 42 3,924,098 14 1,321,771 56 5,245,869 

JACKSON ........................................................................ 20 1,833,560 15 1,354,360 35 3,187,920 

TOTAL ...................................................................... 211 20,191,266 39 3,660,002 250 23,851,268 

ATLANTA HUB 

ATLANTA ......................................................................... 57 5,544,601 17 1,639,350 74 7,183,951 

LOUISVILLE ..................................................................... 37 3,837,544 17 1,744,670 54 5,582,214 

KNOXVILLE ..................................................................... 20 1,943,354 8 778,828 28 2,722,182 

NASHVILLE ..................................................................... 38 3,765,207 12 1,201,262 50 4,966,469 

SAN JUAN ....................................................................... 20 2,437,427 5 609,357 25 3,046,784 

TOTAL ...................................................................... 172 17,528,133 59 5,973,467 231 23,501,600 

CHICAGO HUB 

CHICAGO ........................................................................ 124 16,651,845 19 2,552,786 143 19,204,631 

INDIANAPOLIS ................................................................ 59 6,096,281 15 1,604,961 74 7,701,242 

TOTAL ...................................................................... 183 22,748,126 34 4,157,747 217 26,905,873 

COLUMBUS HUB 

COLUMBUS ..................................................................... 36 3,657,755 13 1,297,567 49 4,955,322 

CINCINNATI ..................................................................... 45 4,590,843 5 510,542 50 5,101,385 

CLEVELAND .................................................................... 68 7,700,033 12 1,358,297 80 9,058,330 

TOTAL ...................................................................... 149 15,948,631 30 3,166,406 179 19,115,037 

DETROIT HUB 

DETROIT ......................................................................... 72 8,526,033 9 1,024,695 81 9,550,728 

GRAND RAPIDS .............................................................. 40 3,471,521 12 1,079,547 52 4,551,068 

TOTAL ...................................................................... 112 11,997,554 21 2,104,242 133 14,101,796 

MINNEAPOLIS HUB 

MINNEAPOLIS ................................................................. 54 6,634,004 19 2,308,510 73 8,942,514 

MILWAUKEE .................................................................... 62 7,585,608 19 2,345,943 81 9,931,551 

TOTAL ...................................................................... 116 14,219,612 38 4,654,453 154 18,874,065 

FT WORTH HUB 

FT WORTH ...................................................................... 79 7,192,861 20 1,815,184 99 9,008,045 

HOUSTON ....................................................................... 53 4,713,363 8 753,322 61 5,466,685 

LITTLE ROCK .................................................................. 20 1,767,683 14 1,230,048 34 2,997,731 

NEW ORLEANS .............................................................. 44 4,111,108 12 1,114,371 56 5,225,479 

SAN ANTONIO ................................................................ 45 3,981,971 9 799,046 54 4,781,017 

TOTAL ...................................................................... 241 21,766,986 63 5,711,971 304 27,478,957 

KANSAS CITY HUB 

KANSAS CITY ................................................................. 47 5,035,917 17 1,802,135 64 6,838,052 

OKLAHOMA CITY ........................................................... 35 3,169,210 14 1,262,681 49 4,431,891 

DES MOINES .................................................................. 20 1,833,560 17 1,520,159 37 3,353,719 

OMAHA ............................................................................ 20 2,053,148 12 1,194,837 32 3,247,985 

ST LOUIS ......................................................................... 40 4,779,064 12 1,448,490 52 6,227,554 

TOTAL ...................................................................... 162 16,870,899 72 7,228,302 234 24,099,201 

DENVER HUB 

DENVER .......................................................................... 65 6,914,077 25 2,280,793 90 9,194,870 

SAN FRANCISCO HUB 

SAN FRANCISCO ........................................................... 122 16,644,130 9 1,145,500 131 17,789,630 

HONOLULU ..................................................................... 20 3,952,584 5 988,146 25 4,940,730 

PHOENIX ......................................................................... 49 4,700,558 8 813,731 57 5,514,289 

SACRAMENTO ................................................................ 43 5,944,251 8 1,121,909 51 7,066,160 

TOTAL ...................................................................... 234 31,241,523 30 4,069,286 264 35,310,809 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11701 

FY 2007 SECTION 202 ALLOCATION BY FIELD OFFICE—Continued 

Offices 

Metropolitan Non-Metropolitan Totals 

Units Capital 

advance Units Capital advance Units Capital advance 

LOS ANGELES HUB 

LOS ANGELES ................................................................ 191 25,334,365 5 661,509 196 25,995,874 

SEATTLE HUB 

SEATTLE ......................................................................... 64 8,048,338 11 1,388,476 75 9,436,814 

ANCHORAGE .................................................................. 20 3,952,584 5 988,146 25 4,940,730 

PORTLAND ...................................................................... 48 5,214,272 15 1,602,644 63 6,816,916 

TOTAL ...................................................................... 132 17,215,194 31 3,979,266 163 21,194,460 

NATIONAL TOTAL ........................................ 3,077 $366,806,500 590 $64,730,560 3,667 $431,537,060 

B. Type of Award. Capital Advance 

and Project Rental Assistance Contract 

Funds for new Section 202 applications. 

C. Type of Assistance Instrument. The 

Agreement Letter stipulates the terms 

and conditions for the Section 202 fund 

reservation award as well as the 

submission requirements following the 

fund reservation award. The duration of 

the fund reservation award for the 

capital advance is 18 months from the 

date of issuance of the fund reservation. 

D. Anticipated Start and Completion 

Date. Immediately upon your 

acceptance of the Agreement Letter, you 

are expected to begin work toward the 

submission of a Firm Commitment 

Application, which is the next 

application submission stage. You are 

required to submit a Firm Commitment 

Application to the local HUD office 

within 180 days from the date of the 

Agreement Letter. Initial closing of the 

capital advance and start of construction 

of the project are expected to be 

accomplished within the duration of the 

fund reservation award period as 

indicated in the above paragraph 

regarding the Type of Assistance 

Instrument. Final closing of this capital 

advance is expected to occur no later 

than six months after completion of 

project construction. 

III. Eligibility Information 

A. Eligible Applicants. Private 

nonprofit organizations and nonprofit 

consumer cooperatives that meet the 

threshold requirements contained in the 

General Section and Section III.C.2. of 

this NOFA are the only eligible 

applicants under this Section 202 

program. Neither a public body nor an 

instrumentality of a public body is 

eligible to participate in the program. 

Applicant eligibility for purposes of 

applying for a Section 202 fund 

reservation under this NOFA has not 

changed; i.e., all Section 202 Sponsors 

and Co-Sponsors must be private 

nonprofit organizations and nonprofit 

consumer cooperatives. However, the 

Owner corporation, when later formed 

by the Sponsor, may be (1) a singlepurpose private nonprofit organization 

that has tax-exempt status under Section 

501(c)(3) or Section 501(c)(4) of the 

Internal Revenue Code of 1986, (2) 

nonprofit consumer cooperative, or (3) 

for purposes of developing a mixedfinance project pursuant to the statutory 

provision under Title VIII of the 

American Homeownership and 

Economic Opportunity Act of 2000, a 

for-profit limited partnership with a 

private nonprofit organization as the 

sole general partner. 

See Section III.C.3.b. regarding limits 

on the total number of units and 

projects for which you may apply for 

funding. 

B. Cost Sharing or Matching. No cost 

sharing or match is required; however, 

you are required to make a commitment 

to cover the estimated start-up expenses, 

the minimum capital investment of onehalf of one percent of the HUDapproved capital advance, not to exceed 

$10,000 or for a national Sponsor not to 

exceed $25,000, and any funds required 

in excess of the capital advance, 

including the estimated cost of any 

amenities or features (and operating 

costs related thereto) which are not 

covered by the capital advance. You 

make such a commitment by signing the 

Form HUD–92042, Sponsor’s Resolution 

for Commitment to Project in Exhibit 

8(g) of the application found in Section 

IV.B. 

C. Other. 

1. Eligible Activities. Section 202 

capital advance funds must be used to 

finance the development of housing 

through new construction, 

rehabilitation, or acquisition with or 

without rehabilitation. Capital advance 

funds may also be used in combination 

with other non-Section 202 funding 

sources leveraged by a for-profit limited 

partnership (of which a single-purpose 

private nonprofit organization is the 

sole general partner) to develop a 

mixed-finance project, including a 

mixed-finance project for additional 

units for the elderly over and above the 

Section 202 units. The development of 

a mixed-use project in which the 

Section 202 units are mortgaged 

separately from the other uses of the 

structure is not considered a mixedfinance project. Project rental assistance 

funds are provided to cover the 

difference between the HUD-approved 

operating costs and the amount the 

residents pay (each resident pays 30 

percent of adjusted income) as well as 

to provide supportive services to frail 

elderly residents. 

Note: For purposes of approving Section 

202 capital advances, HUD will consider 

proposals involving mixed-financing for 

additional units over and above the Section 

202 units. However, you must obtain funds 

to assist the additional units with other than 

PRAC funds. HUD will not provide PRAC 

funds for non-Section 202 units. 

A portion of the PRAC funds (not to 

exceed $15 per unit/per month) may be 

used to cover some of the cost of any 

supportive services for those frail 

elderly or those elderly determined to 

be at-risk of being institutionalized. The 

balance of the cost for services must be 

paid for from sources other than the 

capital advance or PRAC funds. Also, 

the cost of employing a service 

coordinator for those projects serving 

principally the frail elderly (when at 

least 25 percent of the residents will be 

frail or determined to be at-risk of being 

institutionalized) is an eligible use of 

PRAC funds. Section 202 projects 

receiving Congregate Housing Services 

assistance under Section 802 of the 

National Affordable Housing Act are not 

eligible to use capital advance or PRAC 


rwilkins on PROD1PC63 with NOTICES_2
11702 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

funds for supportive services or the cost 

of a service coordinator. 

2. Threshold Requirements for 

Funding Consideration. In addition to 

the threshold criteria outlined in the 

General Section, the following threshold 

requirements must be met: 

a. Non-Responsive Application. Your 

application will be considered nonresponsive to the NOFA and will not be 

accepted for processing if you: 

(1) requested and received approval to 

submit a paper application and you 

submit less than the required number of 

paper copies. Applicants receiving 

waiver approval to submit a paper 

application must follow the instructions 

in the approval notification regarding 

where to submit the application and the 

number of copies required. All paper 

applications granted a waiver to the 

electronic application submission 

requirement must be received by HUD 

at the proper location no later than the 

deadline date. 

(2) submit paper copies of the 

application if you have not received 

approval from HUD for a waiver of the 

electronic submission requirements; 

(3) submit a substantially deficient 

application (i.e., a majority of the 

required exhibits are not submitted with 

your application, particularly, but not 

limited to, those exhibits which are not 

curable). HUD reserves the right to 

determine whether your application is 

substantially deficient for purposes of 

determining whether the application is 

non-responsive to the NOFA. Refer to 

Section IV.B., Content of Form of 

Application Submission, for 

information on the required exhibits for 

submission with your application to 

ensure that your application is complete 

at time of submission; 

(4) request more units than were 

allocated in either the metropolitan or 

nonmetropolitan allocation category to 

the local HUD office that will be 

reviewing your application or 125 units, 

whichever is less (see the allocation 

chart in Section II.A. above); 

(5) request less than the minimum 

number of 5 units per site; 

(6) request assistance for an ineligible 

activity as defined in Section IV.E., 

Funding Restrictions, of this program 

NOFA; or 

(7) are an ineligible applicant (see 

Section III.A, Eligible Applicants of this 

program NOFA). 

b. Other Criteria 

(1) You, or a co-Sponsor, must have 

experience in providing housing or 

services to elderly persons. 

(2) You and any co-Sponsor must be 

eligible private nonprofit organizations 

or nonprofit consumer cooperatives 

with tax exempt status under Internal 

Revenue Service code. 

(3) Your application must contain 

acceptable evidence of the following: 

(a) Evidence of Site Control. You must 

provide evidence of site control as 

described in this section and Exhibit 

4(d)(i) of Section IV.B. of this NOFA). 

(b) Historic Preservation. You are 

required to send a letter to the State/ 

Tribal Historic Preservation Officer 

(SHPO/THPO) that attempts to initiate 

consultation with their office and 

requests their review of your 

determinations and findings with 

respect to the historical significance of 

your proposed project. A sample letter 

to the SHPO/THPO that you may adapt 

for your use, if you so choose, is 

available on HUD’s Web site at http:// 

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

fundsavail.cfm. You must include a 

copy of your letter to the SHPO/THPO 

in your application and a statement that 

you have not received a response 

letter(s) from the SHPO/THPO or a copy 

of the response letter(s) received from 

the SHPO/THPO. 

(c) Contamination. HUD must 

determine if a proposed site contains 

contamination, such as hazardous 

waste, petroleum, or petroleum 

products, and, if so, HUD must be 

satisfied that it is eliminated to the 

extent necessary to meet non sitespecific federal, state or local health 

standards. You must assist HUD by 

doing the following: 

(i) Phase I Environmental Site 

Assessment (ESA). You must undertake 

and submit a Phase I ESA, prepared in 

accordance with the ASTM Standard E 

1527–05, as amended, using the table of 

contents and report format specified at 

Appendix X4 thereto, completed or 

updated as specified at Section 4.6 

thereto no earlier than 180 days prior to 

the application deadline date. The 

Phase I ESA must be completed and 

submitted with the application. 

Therefore, it is important that you start 

the Phase I ESA process as soon after 

publication of the SuperNOFA as 

possible. 

Note: A Phase I ESA that is not properly 

updated, does not use the report format 

specified at Appendix X4 of ASTM Standard 

E 1527–05, or that is prepared in accordance 

with an older version of ASTM E 1527 will 

result in a technical rejection of your 

application. 

To help you choose an 

environmentally safe site, HUD invites 

you to review the documents ‘‘Choosing 

an Environmentally Safe Site’’ and 

‘‘Supplemental Guidance, 

Environmental Information’’, which are 

available on the HUD Web site at 

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

fundsavail.cfm. 

(ii) Phase II ESA. If the Phase I ESA 

indicates the possible presence of 

contamination and/or hazards, you must 

decide whether to continue with this 

site or choose another site. Should you 

choose another site, the same Phase I 

ESA process identified above must be 

followed for the new site. However, if 

you choose to continue with the original 

site on which the Phase I ESA indicated 

contamination or hazards, you must 

undertake a detailed Phase II ESA by an 

appropriate professional. In order for 

your application to be considered for 

review under this FY2007 funding 

competition, the Phase II must be 

received by the local HUD office on or 

before June 25, 2007. 

(iii) Clean-up—If the Phase II ESA 

reveals site contamination, the extent of 

the contamination and a plan for cleanup of the site must be submitted to the 

local HUD office. The plan for clean-up 

must include a contract for remediation 

of the problem(s) and an approval letter 

from the applicable federal, state, and/ 

or local agency with jurisdiction over 

the site. In order for your application to 

be considered for review under this 

FY2007 funding competition, this 

information must be received by the 

local HUD office on or before June 25, 

2007. If the above information is not 

received by the local HUD office by that 

date, the application will be rejected. 

Note: Clean-up could be an expensive 

undertaking. You must pay for the cost of any 

clean-up and/or remediation with sources 

other than the capital advance funds. If the 

application is approved, clean-up must be 

completed prior to initial closing. 

Completion of clean-up means that HUD 

must be satisfied that the contamination has 

been eliminated to the extent necessary to 

meet non site-specific federal, state or local 

health standards, with no active or passive 

remediation still taking place, no capping 

over of any contamination, and no 

monitoring wells. However, it is acceptable if 

contamination remains solely in groundwater 

that is at least 25 feet below the surface. 

(d) Asbestos. Asbestos is a hazardous 

substance commonly used in building 

products until the late 1970s. Therefore, 

you must submit one of the following 

with your application: 

(i) If there are no pre-1978 structures 

on the site or if there are pre-1978 

structures, that most recently consisted 

of solely four or fewer units of singlefamily housing including appurtenant 

structures thereto, a statement to this 

effect, or 

(ii) If there are pre-1978 structures on 

the site, other than for a site that most 

recently consisted of solely four or 

fewer units of single-family housing 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11703 

including appurtenant structures 

thereto, a comprehensive building 

asbestos survey that is based on a 

thorough inspection to identify the 

location and condition of asbestos 

throughout any structures. In those 

cases where suspect asbestos is found, 

it would either be assumed to be 

asbestos or would require confirmatory 

testing. If the asbestos survey indicates 

the presence of asbestos or the presence 

of asbestos is assumed, and if the 

application is approved, HUD will 

condition the approval on an 

appropriate mix of asbestos abatement 

and an asbestos Operations and 

Maintenance Plan. 

(4) There must be a market need for 

the number of units proposed in the 

area of the project location. 

(5) You are required to include a 

Supportive Services Plan that describes 

the supportive services proposed to be 

provided to the anticipated occupants, 

including a description of the public or 

private funds that are expected to fund 

the proposed services and the manner in 

which the services will be provided to 

the proposed residents (see Exhibit 5 in 

Section IV.B. of this NOFA). You must 

not require residents to accept any 

supportive services as a condition of 

occupancy or admission. 

(6) Delinquent Federal Debt. Refer to 

the General Section for information 

regarding delinquent federal debt. 

3. Program Requirements. By signing 

Form HUD–92015–CA, Supportive 

Housing for the Elderly Section 202, 

Application for Capital Advance 

Summary Information, you are 

certifying that you will comply with all 

program requirements listed in the 

General Section as well as the following 

requirements: 

a. Statutory and Regulatory 

Requirements. In addition to the 

statutory, regulatory, threshold and 

public policy requirements listed in the 

General Section, you must comply with 

all statutory and regulatory 

requirements listed in this NOFA. 

b. Application/Project Size Limits. 

(1) Application Limits Applicable to 

Sponsors or Co-Sponsors. A Sponsor or 

Co-Sponsor may not apply for more 

than 200 units of housing for the elderly 

in a single Hub or more than 10 percent 

of the total units allocated to all HUD 

offices. Affiliated entities (organizations 

that are branches or offshoots of a parent 

organization) that submit separate 

applications are considered a single 

entity for the purpose of this limit. 

(2) Maximum Project Size. No single 

application may propose the 

development of a project for more than 

the number of units allocated to a local 

HUD office (in either the metropolitan 

or nonmetropolitan allocation category, 

depending on the location of your 

proposed project) or 125 units, 

whichever is less. For example, the local 

HUD office, which has jurisdiction over 

the area of your proposed project, was 

allocated 80 units (metropolitan) and 20 

units (nonmetropolitan) for a total of 

100 units. You cannot apply for more 

than 80 units if your proposed project 

is in a metropolitan area and no more 

than 20 units if the project is in a 

nonmetropolitan area. The maximum 

project size includes a resident 

manager’s unit, if proposed. 

(3) Minimum Project Size. The 

minimum number of units that can be 

applied for in one application is five 

units. If the proposed project will be a 

scattered-site development, the five-unit 

minimum requirement will apply to 

each site. 

c. Minimum Capital Investment. If 

selected, you must provide a minimum 

capital investment of one-half of one 

percent of the HUD-approved capital 

advance amount, not to exceed $10,000 

in accordance with 24 CFR 891.145, 

with the following exception: If you, as 

Sponsor or Co-Sponsor, have one or 

more Section 202 or one or more 

Section 811 project(s) under reservation, 

construction, or management in two or 

more different HUD geographical 

regions (Hubs), the minimum capital 

investment shall be one-half of one 

percent of the HUD-approved capital 

advance amount, not to exceed $25,000. 

d. Accessibility. Your project must 

meet accessibility requirements 

published at 24 CFR 891.120, 24 CFR 

891.210, and Section 504 of the 

Rehabilitation Act of 1973 and its 

implementing regulations at 24 CFR Part 

8, and, if new construction, the design 

and construction requirements of the 

Fair Housing Act and HUD’s 

implementing regulations at 24 CFR part 

100. In addition, 24 CFR 8.4(b)(5) 

prohibits the selection of a site or 

location which has the purpose or effect 

of excluding persons with disabilities 

from the federally assisted program or 

activity. Refer to Section V.A. below and 

the General Section for information 

regarding the policy priority of 

encouraging accessible design. 

e. Conducting Business in Accordance 

with HUD Core Values and Ethical 

Standards. You are not subject to the 

requirements of 24 CFR parts 84 and 85 

as outlined in the General Section, 

except that the disposition of real 

property may be subject to 24 CFR part 

84. However, you are still subject to the 

core values and ethical standards as 

they relate to the conflict of interest 

provisions in 24 CFR 891.130. To ensure 

compliance with the program’s conflict 

of interest provisions, you are required 

to sign a Conflict of Interest Resolution 

and include it in your Section 202 

application. Further, if awarded a 

Section 202 fund reservation, the 

officers, directors, board members, 

trustees, stockholders and authorized 

agents of the Section 202 Sponsor and 

Owner entities will be required to 

submit to HUD individual certifications 

regarding compliance with HUD’s 

conflict of interest requirements. 

f. National Environmental Policy Act. 

You must comply with the National 

Environmental Policy Act of 1969 

(NEPA) (42 U.S.C. 4321) and applicable 

related environmental authorities at 24 

CFR 50.4, HUD’s programmatic 

implementing regulations at 24 CFR part 

50 and 24 CFR 891.155(b), especially, 

but not limited to, the provision of 

information to HUD at 24 CFR 50.31(b), 

and you must comply with any 

environmental ‘‘conditions and 

safeguards’’ at 24 CFR 50.3(c). 

Under 24 CFR Part 50, HUD has the 

responsibility for conducting the 

environmental reviews. HUD will 

commence the environmental review of 

your project upon receipt of your 

completed application. However, HUD 

cannot approve any site unless it first 

completes the environmental review 

and finds that the site meets its 

environmental requirements. In rare 

cases where HUD is not able to 

complete the environmental review, it is 

due to a complex environmental issue 

that could not be resolved during the 

time period allocated for application 

processing. Thus, HUD requires you to 

attempt to obtain comments from the 

State/Tribal Historic Preservation 

Officer (see Exhibit 4(d)(ix) of Section 

IV.B. below) to help HUD complete the 

environmental review on time. It is also 

why HUD may contact you for 

additional environmental information. 

So that you can review the type of 

information that HUD needs for its 

preparation of the environmental 

review, the type of information requests 

that HUD may make to you, and the 

criteria that HUD uses to determine the 

environmental acceptability of a site, 

you are invited to go to the following 

Web site to view the HUD form 4128, 

including the Sample Field Notes 

Checklist, which HUD uses to record the 

environmental review: www.hud.gov/ 

utilities/intercept.cfm?/offices/cpd/ 

energyenviron/environment/ 

compliance/forms/4128.pdf. 

g. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 


rwilkins on PROD1PC63 with NOTICES_2
11704 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Funded Construction Projects. Refer to 

the General Section. 

h. Fair Housing Requirements. Refer 

to the General Section for information 

regarding fair housing requirements. 

i. Economic Opportunities for Low 

and Very Low-Income Persons (Section 

3). You must comply with Section 3 of 

the Housing and Urban Development 

Act of 1968, 12 U.S.C. 1701u (Economic 

Opportunities for Low and Very LowIncome Persons) and its implementing 

regulations at 24 CFR part 135. You 

must ensure that training, employment 

and other economic opportunities shall, 

to the greatest extent feasible, be 

directed toward low and very lowincome persons, particularly those who 

are recipients of government assistance 

for housing and to business concerns 

which provide economic opportunities 

to low and very low-income persons in 

the area in which the proposed project 

will be located. To comply with Section 

3 requirements you are hereby certifying 

that you will strongly encourage your 

general contractor and subcontractors to 

participate in local apprenticeship 

programs or training programs 

registered or certified by the Department 

of Labor’s Office of Apprenticeship, 

Training, Employer and Labor Services 

or recognized State Apprenticeship 

Agency. Although not a NOFA 

requirement, you are encouraged to 

submit with your application a 

description on how you plan to 

incorporate the Section 3 requirements 

into your proposed project with goals 

for expanding training and employment 

opportunities for low and very lowincome (Section 3) residents as well as 

business concerns. You will receive up 

to two (2) points if you provide a 

description of your plans for doing so 

under Exhibit 3(k) of this program 

NOFA. 

j. Design and Cost Standards. You 

must comply with HUD’s Section 202 

design and cost standards (24 CFR 

891.120 and 891.210), the Uniform 

Federal Accessibility Standards (24 CFR 

40.7), Section 504 of the Rehabilitation 

Act of 1973 and HUD’s implementing 

regulations at 24 CFR part 8, and for 

covered multifamily dwellings designed 

and constructed for first occupancy after 

March 13, 1991, the design and 

construction requirements of the Fair 

Housing Act and HUD’s implementing 

regulations at 24 CFR part 100, and, 

where applicable, the Americans with 

Disabilities Act of 1990. 

k. Formation of Owner Corporation. 

You must form an Owner entity (in 

accordance with 24 CFR 891.205) after 

issuance of the capital advance fund 

reservation and must cause the Owner 

entity to file a request for determination 

of eligibility and a request for capital 

advance, and must provide sufficient 

resources to the Owner entity to ensure 

the development and long-term 

operation of the project, including 

capitalizing the Owner entity at firm 

commitment processing in an amount 

sufficient to meet its obligations in 

connection with the project over and 

above the capital advance amount. 

l. Davis-Bacon. You must comply 

with the Davis-Bacon requirements (12 

U.S.C. 1701q(j)(5)) and the Contract 

Work Hours and Safety Standards Act in 

accordance with 24 CFR 891.155(d). 

4. Energy Efficiency. HUD has 

adopted a wide-ranging energy action 

plan for improving energy efficiency in 

all program areas. As a first step in 

implementing the energy plan, HUD, the 

Environmental Protection Agency (EPA) 

and the Department of Energy (DoE) 

have signed a joint partnership to 

promote energy efficiency in HUD’s 

affordable housing efforts and programs. 

The purpose of the Energy Star 

partnership is not only to promote 

energy efficiency of the affordable 

housing stock, but also to help protect 

the environment. 

Although it is not a requirement, you 

are encouraged to promote energy 

efficiency in design and operation of 

your proposed project and your 

application will receive one (1) point if 

you describe your plans for doing so in 

the proposed project. You are urged 

especially to purchase and use Energy 

Star-labeled products. For further 

information about Energy Star, see 

http://www.energystar.gov or call 1–

888–STAR–YES (1–888–782–7937) or 

for the hearing-impaired, 1–888–588–

9920 TTY. 

IV. Application and Submission 

Information 

Applicants are required to submit an 

electronic application unless they 

receive a waiver of the requirement in 

accordance with the procedures in 

Section IV.C. of this NOFA. See the 

General Section for information on 

electronic application submission and 

timely submission and receipt 

requirements. 

A. Address to Request Application 

Package. All information required to 

complete and return a valid application 

is included in the General Section and 

this NOFA, including other related 

documents. Applicants may download 

the application and instructions from 

the Grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information you 

may call the Grants.gov Support Desk 

toll free 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

See the General Section for information 

regarding the registration process or ask 

for registration information from the 

Grants.gov Support Desk. 

You may request general information, 

copies of the General Section and NOFA 

(including related documents), from the 

NOFA Information Center (800–HUD–

8929) Monday through Friday, except 

on federal holidays. Persons with 

hearing and speech impairments may 

access the above number via TTY by 

calling the toll-free Federal Relay 

Service at 800–877–8339. When 

requesting information, please refer to 

the name of the program in which you 

are interested. 

B. Content and Form of Application 

Submission. The exhibits to be included 

in your application are contained in the 

body of this NOFA. Before preparing 

your application, you should carefully 

review the requirements of the 

regulations (24 CFR Part 891) and 

general program instructions in 

Handbook 4571.3 REV–1, Section 202 

Capital Advance Program for Housing 

the Elderly. Note: Section 1001 of Title 

18 of the United States Code (Criminal 

Code and Criminal Procedure, 72 Stat. 

967) applies to all information supplied 

in the application submission. (18 

U.S.C. 1001, among other things, 

provides that whoever knowingly and 

willfully makes or uses a document or 

writing containing any false, fictitious, 

fraudulent statement or entry, in any 

matter within the jurisdiction of any 

department or agency of the United 

States, shall be fined not more than 

$10,000 or imprisoned for not more than 

five years, or both.) 

The Application for a Section 202 

Capital Advance consists of four parts 

with a total of eight Exhibits. Included 

with the eight Exhibits are prescribed 

forms, certifications and resolutions. 

The components of the Application are: 

• Part 1—Application Form for 

Section 202 Supportive Housing—

Capital Advance (Exhibit 1). 

• Part 2—Your Ability to Develop and 

Operate the Proposed Project (Exhibits 2 

and 3). 

• Part 3—The Need for Supportive 

Housing for the Target Population in the 

Area to be Served, Site Control and 

Suitability of Site, Adequacy of the 

Provision of Supportive Services and of 

the Proposed Project (Exhibits 4 and 5). 

• Part 4—General Application 

Requirements, Certifications and 

Resolutions (Exhibits 6 through 8). 

The following additional information, 

which may assist you in preparing your 

application, is available on HUD’s Web 

site at http://www.hud.gov/offices/adm/ 

grants/fundsavail.cfm: 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11705 

• Listing of Local HUD Offices. 

• Letter Requesting SHPO/THPO 

Review. 

• Choosing an Environmentally Safe 

Site. 

• Supplemental to Choosing an 

Environmentally Safe Site. 

Your application must include all of 

the information, materials, forms, and 

exhibits listed below (unless you were 

selected for a Section 202 fund 

reservation within the last three funding 

cycles). If you qualify for this exception, 

you are not required to submit the 

information described in Exhibits 2(a), 

(b), and (c), which are the articles of 

incorporation, (or other organizational 

documents), by-laws, and the IRS tax 

exemption, respectively. If there has 

been a change in any of these 

documents since your previous HUD 

approval, you must submit the updated 

information in your application. The 

local HUD office will verify your 

previous HUD approval by checking the 

project number and approval status with 

the appropriate local HUD office based 

on the information submitted. 

In addition to this relief of paperwork 

burden in preparing applications, you 

will be able to use information and 

exhibits previously prepared for prior 

applications under Section 202, Section 

811, or other funding programs. 

Examples of exhibits that may be readily 

adapted or amended to decrease the 

burden of application preparation 

include, among others, those on 

previous participation in the Section 

202 or Section 811 programs, your 

experience in the provision of housing 

and services, supportive services plans, 

community ties, and experience serving 

minorities. 

For programmatic information, you 

MUST contact the appropriate local 

HUD office about the submission of 

applications within the jurisdiction of 

that Office. A listing of the local HUD 

offices is available on HUD’s Web site 

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

grants/fundsavail.cfm. 

Please submit your application using 

the following format provided in this 

NOFA. For applications to be submitted 

electronically, in which you have 

created files to be attached to the 

electronic application, you should 

number the pages of the attached file 

and include a header that identifies the 

exhibit that it relates to. Please be sure 

to follow the file labeling and file format 

instructions in the General Section. 

For applicants that have received a 

waiver of the electronic application 

submission, you must number the pages 

of each file, narratives and other 

attached files. Include the name of your 

organization, your DUNS number, and 

the exhibit number that you are 

responding to on the header of each 

document. 

1. Table of Contents 

a. Part I—Application Form. 

(1) Exhibit 1: Form HUD–92015–CA 

Application for Capital Advance 

Summary Information. 

b. Part II—Ability to Develop/Operate 

Project. 

(1) Exhibit 2: Legal Status. 

(a) Organizational Documents. 

(b) By-Laws. 

(c) IRS Tax Exemption Ruling. 

(3) Exhibit 3: Purpose/Community Ties/ 

Experience. 

(a) Purpose(s), current activities, etc. 

(b) Community ties, description of area. 

(c) Other Funding Sources. 

(d) Letters of support. 

(e) Housing/Services experience. 

(f) Involvement of target population. 

(g) Practical solutions. 

(h) Project Development Timeline. 

(i) How project will remain viable: 

(i) If services are depleted; 

(ii) If State-funded services changes; 

(iii) If need for project changes. 

(j) Form HUD–27300, America’s Affordable 

Communities Initiative/Removal of 

Regulatory Barriers (HUD Communities 

Initiative Form on Grants.gov), with 

supporting documentation. 

(k) Section 3 requirements. 

c. Part III—Need for Housing, Site 

Requirements, Proposed Services. 

(1) Exhibit 4: Project Information. 

(a) Evidence of need for project. 

(b) Benefit to population/community. 

(c) Narrative project description: 

(i) Building design; 

(ii) Energy efficiency features; 

(iii) Mixed-financing for additional units. 

(d) Site control and zoning: 

(i) Site control documents; 

(ii) Freedom of site from restrictions; 

(iii) Zoning requirements; 

(iv) URA site notification requirements; 

(v) Topographical/demographical 

description of site/area and 

opportunities for minorities; 

(vi) Racial composition/map of site; 

(vii) Phase I ESA; 

(viii) Asbestos Statement/Survey; 

(ix) SHPO/THPO requirements. 

(2) Exhibit 5: Supportive Services Plan. 

(a) Description of services. 

(b) Other funding sources. 

(c) How services will be provided. 

d. Part IV—Requirements/Certifications/ 

Resolutions. 

(1) Exhibit 6: Other Applications. 

(a) FY07 Sections 202/811 applications to 

other Offices. 

(b) Information on FY06 and prior years’

Sections 202/811 applications 

(2) Exhibit 7: Required information on: 

(a) All property occupants; 

(b) Relocation costs/services; 

(c) Staff to carry out relocation; 

(d) Occupant move-outs within past 12 

months. 

(3) Exhibit 8: Forms/Certifications/ 

Resolutions. 

(a) SF–424 Application for Federal 

Assistance 

(b) SF–424 Supplement ‘‘Survey on 

Ensuring Equal Opportunities for 

Applicants’’ (Faith Based EEO Survey 

(SF–424 SUPP) on Grants.gov). 

(c) SF–LLL, Disclosure of Lobbying 

Activities. 

(d) HUD–2880 ‘‘Applicant/Recipient 

Disclosure/Update Report’’ (HUD 

Applicant Recipient Disclosure Report 

on Grants.gov). 

(e) HUD–2991 Certification of Consistency 

with the Consolidated Plan. 

(f) HUD–92041 Sponsor’s Conflict of 

Interest Resolution. 

(g) HUD–92042 Sponsor’s Resolution for 

Commit to Project. 

(h) HUD–2990 Certification of Consistency 

with the RC/EZ/EC–II Strategic Plan (if 

applicable). 

(i) HUD–96010 Program Outcome Logic 

Model. 

(j) HUD–96011 ‘‘Third Party 

Documentation Facsimile Transmittal’’

(Facsimile Transmittal Form on 

Grants.gov). This is to be used as the 

cover page for faxing third party 

information for electronic applications 

only. See the General Section. 

(k) HUD–2994–A Form HUD–2994A—You 

are Our Client! Grant Applicant Survey 

(Optional). 

2. Programmatic Applications 

Requirements 

a. Part I—Application Form for Section 

202 Supportive Housing—Capital 

Advance 

(1) EXHIBIT 1—Form HUD–92015–

CA, Supportive Housing for the Elderly 

Section 202, Application for Capital 

Advance Summary Information. A copy 

of the form is available in the 

instructions download at http://www/ 

grants.gov/applicants/ 

apply_for_grants.jsp. 

b. Part II—Your Ability To Develop and 

Operate the Proposed Project 

(1) EXHIBIT 2—Evidence of your legal 

status (i.e., evidence of your status as a 

private nonprofit organization or 

nonprofit consumer cooperative). If 

another organization(s) is co-sponsoring 

the application with you, each cosponsor must also submit the following: 

(a) Articles of Incorporation, 

constitution, or other organizational 

documents; 

(b) By-laws; 

(c) IRS tax exemption ruling (this 

must be submitted by all Sponsors, 

including churches). 

Note: Based on a HUD review of your 

articles of incorporation, constitution, or 

other organizational documents, HUD must 

determine, among other things, that (1) you 

are an eligible private nonprofit entity and 

are not a public body or an instrumentality 

of a public body, (2) your corporate purposes 

are sufficiently broad to provide you the legal 


rwilkins on PROD1PC63 with NOTICES_2
11706 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

authority to sponsor the proposed project for 

the elderly, to assist the Owner, and to apply 

for a capital advance, (3) no part of the 

Sponsor’s net earnings inures to the benefit 

of any private party, and (4) that you are not 

controlled by or under the direction of 

persons seeking to derive profit or gain 

therefrom. 

[Exception: If you received a section 

202 fund reservation within the last 

three funding cycles, you are not 

required to submit the documents 

described in (a), (b), and (c) above. 

Instead, submit the project number of 

the latest application and the local HUD 

office to which it was submitted. If there 

have been any modifications or 

additions to the subject documents, 

indicate such, and submit the new 

material.] 

(2) EXHIBIT 3—Your purpose, 

community ties and experience 

(a) A description of your purpose(s), 

current activities, including your ability 

to enlist volunteers and raise private 

and local funds, and how long you have 

been in existence. 

(b) A description of your ties to the 

community in which your project will 

be located and to the minority and 

elderly communities in particular, 

including a description of the specific 

geographic area(s) in which you have 

served. 

(c) A description of other funding 

sources for the project (including 

financial assistance, donation of land, 

provision of services, etc.). 

(d) Letters of support for your 

organization and for the proposed 

project from organizations familiar with 

the housing and supportive services 

needs of the target population that you 

expect to serve in the proposed project. 

(e) A description of your housing and/ 

or supportive services experience. The 

description should include any rental 

housing projects and/or supportive 

services facilities that you sponsored, 

own and/or operate, your past or current 

involvement in any programs other than 

housing that demonstrates your 

management capabilities (including 

financial management) and experience, 

your experience in serving the target 

population (the elderly and/or families 

and minorities); and the reasons for 

receiving any increases in fund 

reservations for developing and/or 

operating previously funded Section 

202 or Section 811 projects. The 

description should include data on the 

facilities and services provided, the 

racial/ethnic composition of the 

populations served, if available, and 

information and testimonials from 

residents or community leaders on the 

quality of the activities. Examples of 

activities that could be described 

include housing counseling, nutrition 

and food services, special housing 

referral, screening and information 

projects. 

(f) A description of your efforts to 

involve members of the target 

population (elderly persons, including 

minority elderly persons) in the 

development of the application as well 

as your intent to involve the target 

population in the development and 

operation of the project. 

(g) A description of the practical 

solutions you will implement which 

will enable residents of your project to 

achieve independent living. In addition, 

describe the educational opportunities 

you will provide for the residents and 

how you will provide them. This 

description should include any 

activities that will enhance the quality 

of life for the residents. And, finally, 

describe how your proposed project will 

be an improved living environment for 

the residents when compared to their 

previous place of residence. 

(h) Describe your plan for completing 

the proposed project. Include a project 

development timeline which lists the 

major development stages for the project 

with associated dates that must be met 

in order to get the project to initial 

closing and start of construction within 

the 18-month fund reservation period as 

well as the full completion of the 

project, including final closing. 

Completion of Exhibit 8(i), Program 

Outcome Logic Model, will assist you in 

completing your response to this 

Exhibit. 

(i) Describe how you will ensure that 

your proposed project will remain 

viable as housing with the availability of 

supportive services for the target 

population for the 40-year capital 

advance period. This description should 

address the measures you would take 

should any of the following occur: 

(i) funding for any of the needed 

supportive services becomes depleted; 

(ii) if, for any state-funded services for 

your project, the state changes its policy 

regarding the provision of supportive 

services to projects such as the one you 

propose; or 

(iii) if the need for housing for the 

population you will be serving wanes 

over time, causing vacancies in your 

project. 

(j) A description of the successful 

efforts the jurisdiction in which your 

project will be located has taken in 

removing regulatory barriers to 

affordable housing. To obtain up to 2 

points for this policy priority, you must 

complete the optional Form HUD–

27300, ‘‘Questionnaire for HUD’s 

Initiative on Removal of Regulatory 

Barriers’’ AND provide the necessary 

URL references or submit the 

documentary evidence. This exhibit is 

optional, but to obtain up to 2 points for 

this policy priority, you must submit 

this information using Form HUD–

27300 and include the necessary URL 

references or other documentary 

evidence and contact information. 

When providing documents in support 

of your responses to the questions on 

the form, please provide the applicant 

name and project name and whether 

you were responding under column A 

or B, then identify the number of the 

question and the URL or document 

name and attach using the attachment 

function at the end of the electronic 

form. This exhibit will be used to rate 

your application under Rating Factor 

3(j). 

(k) A description on how you plan to 

incorporate the Section 3 requirements 

into your proposed project with goals 

for expanding training and employment 

opportunities for low- and very lowincome (Section 3) persons as well as 

business concerns in the area in which 

the proposed project will be located. 

This exhibit is optional, but to obtain up 

to 2 points for this policy priority, you 

must submit this exhibit and adequately 

address your plans to provide 

opportunities to train and employ lowand very low-income residents of the 

project area and award substantial 

contracts to persons residing in the 

project area. 

c. Part III—The Need for Supportive 

Housing for the Target Population, Site 

Control and Suitability of Site, 

Adequacy of the Provision Of 

Supportive Services and of the 

Proposed Project 

(1) EXHIBIT 4—Need and Project 

Information 

(a) Evidence of need for supportive 

housing. Include a description of the 

category or categories of elderly persons 

the housing is intended to serve and 

evidence demonstrating sustained 

effective demand for supportive housing 

for that population in the market area to 

be served, taking into consideration the 

occupancy and vacancy conditions in 

existing federally assisted housing for 

the elderly (HUD and the Rural Housing 

Service (RHS)) e.g., public housing, state 

or local data on the limitations in 

activities of daily living among the 

elderly in the area; aging in place in 

existing assisted rentals; trends in 

demographic changes in elderly 

population and households; the 

numbers of income eligible elderly 

households by size, tenure and housing 

condition; the types of supportive 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11707 

services arrangements currently 

available in the area; and the use of such 

services as evidenced by data from local 

social service agencies or agencies on 

aging. Also, a description of how 

information in the community’s or 

(where applicable) the state’s 

Consolidated Plan, Analysis of 

Impediments to Fair Housing Choice 

(AI) or other planning document that 

analyzes fair housing issues was used in 

documenting the need for the project. 

(b) A description of how the proposed 

project will benefit the target population 

and the community in which it will be 

located. 

(c) Description of the project. 

(i) Narrative description of the 

building design including a description 

of the number of units with bedroom 

distribution, any special design features, 

including any features that incorporate 

visitability standards and universal 

design, amenities, and/or commercial 

and community spaces, and how this 

design will facilitate the delivery of 

services in an economical fashion and 

accommodate the changing needs of the 

residents over the next 10–20 years. 

Note: If the community spaces, amenities, 

or features do not comply with the project 

design and cost standards of 24 CFR 

891.120(a) and (c), the special standards of 24 

CFR 891.210, and the limitation on bedroom 

unit sizes as required by paragraph 1–11.B.4. 

of HUD Handbook 4571.3 REV–1, you must 

demonstrate your ability and willingness to 

contribute both the incremental development 

cost and continuing operating cost associated 

with the community spaces, amenities, or 

features; 

(ii) Describe whether and how the 

project will promote energy efficiency 

(in accordance with the requirements 

set forth in Section III.C.4.of this 

NOFA), including any plans to 

incorporate energy efficiency features in 

the operation of the project through the 

use of Energy Star labeled products and 

appliances and, if applicable, innovative 

construction or rehabilitation methods 

or technologies to be used that will 

promote efficient construction. 

(iii) If you are proposing to develop a 

mixed-finance project by developing 

additional units for the elderly (i.e., in 

addition to the 202 units), a description 

of any plans and actions you have taken 

to create such a mixed-finance project 

with the use of Section 202 capital 

advance funds, in combination with 

other funding sources. Provide the 

number of non-Section 202 units to be 

included in the mixed-finance project 

(also provide the number of additional 

units in the appropriate space on Form 

HUD–92015-CA). Also, provide copies 

of any letters you have sent seeking 

outside funding for the non-Section 202 

units and any responses thereto. You 

also must demonstrate your ability to 

proceed with the development of a 

Section 202 project that will not involve 

mixed-financing, as proposed in your 

application, in the event you are later 

unable to obtain the necessary outside 

funding or HUD disapproves your 

proposal for a mixed-finance project for 

additional non-Section 202 units for the 

elderly. 

Notes: (1) A proposal to develop a mixedfinance project for additional units must 

occur at the application for fund reservation 

stage. You cannot decide after selection that 

you want to do a mixed-finance project for 

additional units. (2) Section 202 capital 

advance amendment money will not be 

approved for projects proposing mixedfinancing. (3) If approved for a reservation of 

capital advance funds, you will be required 

to submit, with your Firm Commitment 

Application, the additional documents 

required by HUD for mixed-finance 

proposals. (4) A mixed-finance project does 

not include the development of a mixed-use 

project in which the Section 202 units are 

mortgaged separately from the other uses of 

the structure. 

(d) Evidence of site control and 

permissive zoning. 

(i) Acceptable evidence of site control 

is limited to any one of the following: 

(A) Deed or long-term leasehold 

which evidences that you have title to 

or a leasehold interest in the site. If a 

leasehold, the term of the lease must be 

at least 50 years with renewable 

provisions for 25 years, except for sites 

on Indian trust land, in which case, the 

term of the lease must be at least 50 

years with no requirement for 

extensions; 

(B) Contract of sale for the site that is 

free of any limitations affecting the 

ability of the seller to deliver ownership 

to you after you receive and accept a 

notice of Section 202 capital advance. 

(The only condition for closing on the 

sale can be your receipt and acceptance 

of the capital advance.) The contract of 

sale cannot require closing earlier than 

the Section 202 closing; 

(C) Option to purchase or for a longterm leasehold, which must remain in 

effect for six months from the date on 

which the applications are due, must 

state a firm price binding on the seller, 

and be renewable at the end of the sixmonth period. The only condition on 

which the option may be terminated is 

if you are not awarded a fund 

reservation; 

(D) If the site is covered by a mortgage 

under a HUD program, (e.g., a 

previously funded Section 202 or 

Section 811 project or an FHA-insured 

mortgage) you must submit evidence of 

site control as described above AND 

evidence that consent to release the site 

from the mortgage has been obtained or 

has been requested from HUD (all 

required information in order for a 

decision on the request for a partial 

release of security must have been 

submitted to the local HUD office) and 

from the mortgagee, if other than HUD. 

Approval to release the site from the 

mortgage must be done before the local 

HUD office makes its selection 

recommendations to HUD Headquarters. 

Refer to Chapter 16 of HUD Handbook 

4350.1 REV–1, Multifamily Asset 

Management and Project Servicing, for 

instructions on submitting requests to 

the local HUD office for partial release 

of security from a mortgage under a 

HUD program; or 

(E) For sites to be acquired from a 

public body, evidence is needed that the 

public body possesses clear title to the 

site and has entered into a legally 

binding agreement to lease or convey 

the site to you after you receive and 

accept a notice of Section 202 capital 

advance. Where HUD determines that 

time constraints of the funding round 

will not permit you to obtain all of the 

required official actions (e.g., approval 

of Community Planning Boards) that are 

necessary to convey publicly-owned 

sites, you may include in your 

application a letter from the mayor or 

director of the appropriate local agency 

indicating that conveyance or leasing of 

the site is acceptable without imposition 

of additional covenants or restrictions, 

and only contingent on the necessary 

approval action. Such a letter of 

commitment will be considered 

sufficient evidence of site control. 

(ii) Whether you have title to the site, 

a contract of sale, an option to purchase, 

or are acquiring a site from a public 

body, you must provide evidence (a 

current title policy or other acceptable 

evidence) that the site is free of any 

limitations, restrictions, or reverters 

which could adversely affect the use of 

the site for the proposed project for the 

40-year capital advance period under 

HUD’s regulations and requirements 

(e.g., reversion to seller if title is 

transferred). If the title evidence 

contains restrictions or covenants, 

copies of the restrictions or covenants 

must be submitted with the application. 

If the site is subject to any such 

limitations, restrictions, or reverters, the 

application will be rejected. Purchase 

money mortgages that will be satisfied 

from capital advance funds are not 

considered to be limitations or 

restrictions that would adversely affect 

the use of the site. If the contract of sale 

or option agreement contains provisions 

that allow a Sponsor not to purchase the 

property for reasons such as 

environmental problems, failure of the 


rwilkins on PROD1PC63 with NOTICES_2
11708 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

site to pass inspection, or the appraisal 

is less than the purchase price, then 

such provisions are not objectionable 

and a Sponsor is allowed to terminate 

the contract of sale or the option 

agreement. 

Note: A proposed project site may not be 

acquired or optioned from a general 

contractor (or its affiliate) that will construct 

the Section 202 project or from any other 

development team member. 

(iii) Evidence that the project, as 

proposed, is permissible under 

applicable zoning ordinances or 

regulations or a statement of the 

proposed action required to make the 

proposed project permissible AND the 

basis for the belief that the proposed 

action will be completed successfully 

before the submission of the firm 

commitment application (e.g., a 

summary of the results of any requests 

for rezoning and/or the procedures for 

obtaining special or conditional use 

permits on land in similar zoning 

classifications and the time required for 

such rezoning, or preliminary 

indications of acceptability from zoning 

bodies, etc.). 

(iv) Evidence of compliance with the 

URA requirement that the seller has 

been provided, in writing, with the 

required information regarding a 

voluntary, arm’s length purchase 

transaction (i.e., (1) applicant does not 

have the power of eminent domain and, 

therefore, will not acquire the property 

if negotiations fail to result in an 

amicable agreement, and (2) of the 

estimate of the fair market value of the 

property). 

Note: A certification for this requirement is 

not sufficient. Evidence must be submitted to 

meet this requirement. This information 

should have been provided before making the 

purchase offer. However, in those cases 

where there is an existing option or contract, 

the seller must be provided the opportunity 

to withdraw from the agreement or 

transaction, without penalty, after this 

information is provided. 

(v) Narrative describing topographical 

and demographic aspects of the site, the 

suitability of the site and area (as well 

as a description of the characteristics of 

the neighborhood), how use of the site 

will promote greater housing 

opportunities for minority elderly and 

elderly persons with disabilities (if 

applicable), and how use of the site will 

affirmatively further fair housing. 

Note: You can best demonstrate your 

commitment to affirmatively furthering fair 

housing by describing how your proposed 

activities will assist the jurisdiction in 

overcoming impediments to fair housing 

choice identified in the applicable 

jurisdiction’s Analysis of Impediments (AI) 

to Fair Housing Choice, which is a 

component of the jurisdiction’s Consolidated 

Plan or any other planning document that 

addresses fair housing issues. The applicable 

Consolidated Plan and AI may be the 

community’s, the county’s, or the state’s, to 

which input should have been provided by 

local community organizations, agencies in 

the community and residents of the 

community. Alternatively, a document that 

addresses fair housing issues and remedies to 

barriers to fair housing in the community that 

was previously prepared by a local planning, 

or similar organization, may be used. 

Applicable impediments could include the 

need for improved housing quality and 

services for elderly minority families, lack of 

affirmative marketing and outreach to 

minority elderly persons, and the need for 

quality eldercare services within areas of 

minority concentration when compared with 

the type and quality of similar services and 

housing in nonminority areas. 

(vi) A map showing the location of the 

site, the racial composition of the 

neighborhood, and any areas of racial 

concentration. 

Note: For this competition, when 

determining the racial and ethnic 

composition of the neighborhood 

surrounding the proposed site, use data from 

the 2000 Census of Population. Data from the 

2000 Census may be found at: 

www.factfinder.census.gov/servlet/ 

BasicFactsServlet. 

(vii) A Phase I Environmental Site 

Assessment (ESA), in accordance with 

the ASTM Standard E 1527–05, as 

amended, using the table of contents 

and report format specified at Appendix 

X4 thereto and completed or updated as 

specified at Section 4.6 thereto, must be 

undertaken and completed by you and 

submitted with the application. In order 

for the Phase I ESA to be acceptable, it 

must have been completed or updated 

no earlier than 180 days prior to the 

application deadline date. Therefore, it 

is important to start the site assessment 

process as soon after the publication of 

the NOFA as possible. 

Note: A Phase I ESA that is not properly 

updated, does not use the report format 

specified at Appendix X4 of ASTM Standard 

E 1527–05, or that is prepared in accordance 

with an older version of ASTM E 1527 will 

result in a technical rejection of your 

application. 

If the Phase I ESA indicates possible 

presence of contamination and/or 

hazards, you must decide whether to 

continue with this site or choose 

another site. Should you choose another 

site, the same Phase I ESA process 

identified above must be followed for 

the new site. If you choose to continue 

with the original site on which the 

Phase I ESA indicated contamination or 

hazards, you must undertake a detailed 

Phase II ESA by an appropriate 

professional. If the Phase II Assessment 

reveals site contamination, you must 

submit the extent of the contamination 

and a plan for clean-up of the site 

including a contract for remediation of 

the problem(s) and an approval letter 

from the applicable federal, state, and/ 

or local agency with jurisdiction over 

the site to the local HUD office. The 

Phase II ESA and any necessary plans 

for clean-up do not have to be submitted 

with the application but must be 

received by the local HUD office by June 

25, 2007. If it is not received by that 

date, the application will be rejected. 

Note: You must pay for the cost of any 

clean-up or remediation which can be very 

expensive. See Note at Section 

III.C.2.b.(3)(c)(iii). 

(viii) You must submit one of the 

following: 

(A) If there is no pre-1978 structures 

on the site or if there are pre-1978 

structures, that most recently consisted 

of solely four or fewer units of singlefamily housing including appurtenant 

structures thereto, a statement to this 

effect, or 

(B) If there are pre-1978 structures on 

the site, other than for a site that most 

recently consisted of solely four or 

fewer units of single-family housing 

including appurtenant structures 

thereto, a comprehensive building 

asbestos survey that is based on a 

thorough inspection to identify the 

location and condition of asbestos 

throughout any structures. 

Note: In those cases where suspect asbestos 

is found, it would either be assumed to be 

asbestos or would require confirmatory 

testing. If the asbestos survey indicates the 

presence of asbestos, or the presence of 

asbestos is assumed, and if the application is 

approved, HUD will condition the approval 

on an appropriate mix of asbestos abatement 

and an asbestos Operations and Maintenance 

Plan. 

(ix) Letter to State/Tribal Historic 

Preservation Officer (SHPO/THPO) and 

a statement that SHPO/THPO failed to 

respond to you OR a copy of the 

response letter received from SHPO/ 

THPO. 

(2) EXHIBIT 5—Supportive Services 

Plan 

(a) A detailed description of the 

supportive services proposed to be 

provided to the anticipated occupancy. 

(b) A description of public or private 

sources of assistance that reasonably 

could be expected to fund the proposed 

services. 

(c) The manner in which such 

services will be provided to such 

persons (i.e., on or off-site), including 

whether a service coordinator will 

facilitate the adequate provision of such 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11709 

services, and how the services will meet 

the identified needs of the residents. 

Note: You may not require residents, as a 

condition of admission or occupancy, to 

accept any supportive services. 

d. Part IV—General Application 

Requirements, Certifications and 

Resolutions 

(1) EXHIBIT 6: Other Applications 

(a) A list of the applications, if any, 

you are submitting to any other local 

HUD office in response to the FY2007 

Section 202 or Section 811 NOFA. 

Indicate by local HUD office, the 

proposed location by city and state and 

the number of units requested in each 

application. 

(b) Include a list of all FY2006 and 

prior years approved Section 202 and 

Section 811 capital advance projects to 

which you are a party. Identify each by 

project number and local HUD office 

and include the following information: 

(i) Whether the project has initially 

closed and, if so, when; 

(ii) If the project was older than 24 

months when it initially closed (specify 

how old) or if older than 24 months now 

(specify how old) and has not initially 

closed, provide the reasons for the delay 

in closing; 

(iii) Whether amendment money was 

or will be needed for any project in (ii) 

above, including the amount of the 

amendment money; and, 

(iv) Those projects that have not been 

finally closed. 

(2) EXHIBIT 7: A Statement That 

(a) Identifies all persons (families, 

individuals, businesses and nonprofit 

organizations) by race/minority group, 

and status as owners or tenants 

occupying the property on the date of 

submission of the application for a 

capital advance. 

(b) Indicates the estimated cost of 

relocation payments and other services. 

(c) Identifies the staff organization 

that will carry out the relocation 

activities. 

(d) Identifies all persons that have 

moved from the site within the past 12 

months and the reason for such a move. 

(e) Indicates that all persons 

occupying the site have been issued the 

appropriate required General 

Information Notice and advisory 

services information receipt required, 

either at the time the option to acquire 

the property is executed, or at the time 

the application is submitted. 

Note: If any of the relocation costs will be 

funded from sources other than the section 

202 capital advance, you must provide 

evidence of a firm commitment of these 

funds. When evaluating applications, HUD 

will consider the total cost of proposals (i.e., 

cost of site acquisition, relocation, 

construction and other project costs). 

Exhibit 7 Is Required for All Section 202 

Applications 

(3) EXHIBIT 8: Standard Forms, 

Certifications and Resolutions. You are 

required to submit completed copies of 

the following forms, which are available 

in the instructions download at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

(a) Standard Form 424—Application 

for Federal Assistance, including a 

DUNS number, an indication of whether 

you are delinquent on any federal debt, 

and compliance with Executive Order 

12372 (a certification that you have 

submitted a copy of your application, if 

required, to the State agency (Single 

Point of Contact/(SPOC)) for state 

review in accordance with Executive 

Order 12372). If the SPOC requires a 

review of your application, you must 

include in your Section 202 application, 

a copy of the cover letter sent to the 

SPOC. Refer to Section IV.D. of this 

NOFA for additional information on 

compliance with Executive Order 

12372. 

Note: For Section 202 program purposes, in 

Item 12, Areas Affected by Project, of SF–

424, provide the names of the City, County 

and State where the project will be located 

(not the largest political entities as indicated 

on the instructions page of SF–424). 

(b) Standard Form 424 Supplement, 

Survey on Ensuring Equal Opportunity 

for Applicants (‘‘Faith Based EEO 

Survey (SF–424 SUPP)’’ on Grants.gov). 

Although the information on this form 

will not be considered in making 

funding decisions, it will assist the 

federal government in ensuring that all 

qualified applicants have an equal 

opportunity to compete for federal 

funding. 

(c) Standard Form LLL—Disclosure of 

Lobbying Activities (if applicable). A 

disclosure of activities conducted that 

may influence any federal transactions. 

(d) Form HUD–2880, Applicant/ 

Recipient Disclosure/Update Report 

(‘‘HUD Applicant Recipient Disclosure 

Report’’ on Grants.gov), including Social 

Security and Employee Identification 

Numbers. A disclosure of assistance 

from other government sources received 

in connection with the project. 

(e) Form HUD–2991, Certification of 

Consistency with the Consolidated Plan 

(Plan) for the jurisdiction in which the 

proposed project will be located. The 

certification must be made by the unit 

of general local government if it is 

required to have, or has, a complete 

Plan. Otherwise, the certification may 

be made by the state or by the unit of 

general local government if the project 

will be located within the jurisdiction of 

the unit of general local government 

authorized to use an abbreviated 

strategy, and if it is willing to prepare 

such a Plan. All certifications must be 

made by a public official responsible for 

submitting the Plan to HUD. The 

certifications must be submitted as part 

of the application by the application 

submission deadline date set forth in 

the NOFA. The Plan regulations are 

published in 24 CFR part 91. 

(f) Form HUD–92041, Sponsor’s 

Conflict of Interest Resolution. A 

certified Board Resolution that no 

officer or director of the Sponsor or 

Owner has or will have any financial 

interest in any contract with the Owner 

or in any firm or corporation that has or 

will have a contract with the Owner, 

including a current listing of all duly 

qualified and sitting officers and 

directors by title and the beginning and 

ending dates of each person’s term. 

(g) Form HUD–92042, Sponsor’s 

Resolution for Commitment to Project. 

A certified Board Resolution 

acknowledging responsibilities of 

sponsorship, long-term support of the 

project(s), your willingness to assist the 

Owner to develop, own, manage and 

provide appropriate services in 

connection with the proposed project, 

and that it reflects the will of your 

membership. Also, it shall indicate your 

willingness to fund the estimated startup expenses, the Minimum Capital 

Investment (one-half of one-percent of 

the HUD-approved capital advance, not 

to exceed $10,000 or for national 

Sponsors, not to exceed $25,000), and 

the estimated cost of any amenities or 

features (and operating costs related 

thereto) that would not be covered by 

the approved capital advance. 

(h) Form HUD–2990, Certification of 

Consistency with the RC/EZ/EC–II 

Strategic Plan. A certification that the 

project is consistent with the RC/EZ/ 

EC–IIs strategic plan, is located within 

the RC/EZ/EC–II, and serves RC/EZ/EC–

II residents. (This certification is not 

required if the project site(s) will not be 

located in a RC/EZ/EC–II.) . 

(i) Form HUD–96010, Program 

Outcome Logic Model. In addition to 

the Project Development Timeline to be 

submitted in Exhibit 3(h) above, the 

information provided in the Logic 

Model will be used in rating your 

application for Rating Factor 5, 

Achieving Results and Program 

Evaluation. 

(j) Form HUD–96011, Facsimile 

Transmittal (‘‘Facsimile Transmittal 

Form’’ on Grants.gov), is only required 

if you are using the facsimile method to 


rwilkins on PROD1PC63 with NOTICES_2
11710 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

fax third party letters and other 

documents for your electronic 

application in accordance with the 

instructions in the General Section. 

Note: HUD will not accept entire 

applications by fax. If you submit the 

application entirely by fax, it will be 

disqualified. 

(k) Form HUD–2994–A, You Are Our 

Client Grant Applicant Survey. This is 

an optional form, which may be used to 

provide suggestions and comments to 

the Department regarding your 

application submission experience. 

C. Submission Dates and Time. Your 

application must be received and 

validated electronically by Grants.gov 

no later than 11:59:59 p.m. eastern time 

on the application deadline date, unless 

a waiver of the electronic delivery 

process has been approved by HUD in 

accordance with the following 

procedures. Applicants that are unable 

to submit their application 

electronically must seek a waiver of the 

electronic grant submission 

requirement. Waiver requests must be 

submitted no later than 15 days before 

the application deadline date. Waiver 

requests must be submitted by mail or 

by fax. For this program NOFA, e-mail 

requests will not be considered. Waiver 

requests submitted by mail or fax 

should be submitted on the applicant’s 

letterhead and signed by an official with 

the legal authority to request a waiver 

from the Department. The request must 

be addressed to the Assistant Secretary 

for Housing at the following address: 

Brian D. Montgomery, Assistant 

Secretary for Housing—Federal Housing 

Commissioner, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 9100, Washington, 

DC 20410–8000. Waiver requests 

submitted by fax must be sent to (202) 

708–3104. 

If a waiver is granted, you must 

submit the required number of copies of 

your application to the Director of the 

appropriate local HUD office, and the 

application must be received no later 

than that HUD office’s close of business 

on the application deadline date. The 

waiver approval notification will 

identify the appropriate HUD office 

where the application should be 

submitted and the required number of 

copies that must be submitted. 

D. Intergovernmental Review 

1. State Review. This funding 

opportunity is subject to Executive 

Order (EO) 12372, ‘‘Intergovernmental 

Review of Federal Programs.’’ You must 

contact your State’s Single Point of 

Contact (SPOC) to find out about and 

comply with the state’s process under 

EO 12372. The names and addresses of 

the SPOCs are listed in the Office of 

Management and Budget’s home page at 

http://www.whitehouse.gov/omb/grants/ 

spoc.html. If required by the state, the 

submission to the state needs to occur 

before the Section 202 application 

deadline date, but in no event later than 

the application deadline date. It is 

recommended that you provide the state 

with sufficient time to review the 

application. Therefore, it is important 

that you consult with the SPOC for State 

review timeframes and take that into 

account when submitting the 

application. If the SPOC requires a 

review of your application, you must 

include a copy of the cover letter you 

sent to the SPOC in Exhibit 8(a) of your 

Section 202 application. 

2. HUD/RHS Agreement. HUD and the 

Rural Housing Service (RHS) have an 

agreement to coordinate the 

administration of the agencies’

respective rental assistance programs. 

As a result, HUD is required to notify 

RHS of applications for housing 

assistance it receives. This notification 

gives RHS the opportunity to comment 

if it has concerns about the demand for 

additional assisted housing and possible 

harm to existing projects in the same 

housing market area. HUD will consider 

RHS’ comments in its review and 

application selection process. 

E. Funding Restrictions 

1. Ineligible Activities. Section 202 

funds may not be used for: 

a. Nursing homes; 

b. Infirmaries; 

c. Medical facilities; 

d. Mobile homes; 

e. Community centers; 

f. Headquarters for organizations for 

the elderly; 

g. Nonhousekeeping accommodations 

(e.g., central dining, but without private 

kitchens and/or bathrooms in the 

residential units); 

h. Refinancing of sponsor-owned 

facilities without rehabilitation; 

i. Housing that you currently own or 

lease that is occupied by elderly 

persons; and 

j. Projects licensed or to be licensed 

as assisted living facilities. 

Note: You may propose to rehabilitate an 

existing currently-owned or leased structure 

that does not already serve elderly persons, 

except that the refinancing of any federallyfunded or assisted project or project insured 

or guaranteed by a federal agency is not 

permissible under this Section 202 NOFA. 

HUD does not consider it appropriate to 

utilize scarce program resources to refinance 

projects that have already received some 

form of assistance under a federal program. 

(For example, Section 202 or Section 202/8 

direct loan projects cannot be refinanced 

with capital advances and project rental 

assistance.) 

2. Application Limits (Units/Projects). 

Refer to Section III.C. of this NOFA for 

information applicable to the limitations 

on the number of units you may apply 

for in a single application and the 

project sizes. 

3. Development Cost Limits. 

a. The following development cost 

limits, adjusted by locality as described 

in Section IV.E.3.b. below must be used 

to determine the capital advance 

amount to be reserved for projects for 

the elderly. 

Note: The capital advance funds awarded 

for this project are to be considered the total 

amount of funds that the Department will 

provide for the development of this project. 

Amendment funds will only be provided in 

exceptional circumstances (e.g., to cover 

increased costs for construction delays due to 

litigation or unforeseen environmental issues 

resulting in a change of sites) that are clearly 

beyond your control. Otherwise, you are 

responsible for any costs over and above the 

capital advance amount provided by the 

Department as well as any costs associated 

with any excess amenities and design 

features. 

(1) The capital advance amount for 

the project attributable to dwelling use 

(less the incremental development cost 

and the capitalized operating costs 

associated with any excess amenities 

and design features and other costs you 

must pay for) may not exceed: 

Non-elevator structures: 

$45,507 per family unit without a 

bedroom; 

$52,470 per family unit with one 

bedroom; 

$63,279 per family unit with two 

bedrooms. 

For elevator structures: 

$47,890 per family unit without a 

bedroom; 

$54,897 per family unit with one 

bedroom; 

$66,755 per family unit with two 

bedrooms 

(2) These cost limits reflect those 

costs reasonable and necessary to 

develop a project of modest design that 

complies with HUD minimum property 

standards; the accessibility 

requirements of § 891.120(b); and the 

project design and cost standards of 

§ 891.120 and § 891.210. 

b. Increased development cost limits. 

(1) HUD may increase the 

development cost limits set forth above, 

by up to 140 percent in any geographic 

area where the cost levels require, and 

may increase the development cost 

limits by up to 160 percent on a projectby-project basis. This increase may 

include covering additional costs to 

make dwelling units accessible through 

rehabilitation. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11711 

Note: In applying the applicable high cost 

percentage, the local HUD Office may use a 

percentage that is higher or lower than that 

which is assigned to the local HUD Office if 

it is needed to provide a capital advance 

amount that is comparable to what it 

typically costs to develop a Section 202 

project in that area. 

(2) If HUD finds that high 

construction costs in Alaska, Guam, the 

Virgin Islands, or Hawaii make it 

infeasible to construct dwellings, 

without the sacrifice of sound standards 

of construction, design, and livability, 

within the development cost limits 

provided in sections IV.E.3.a.(1) and 

IV.E.3.b.(1) above, the amount of the 

capital advances may be increased to 

compensate for such costs. The increase 

may not exceed the limits established 

under this section (including any high 

cost area adjustment) by more than 50 

percent. 

4. Commercial Facilities. A 

commercial facility for the benefit of the 

residents may be located and operated 

in the Section 202 project. However, the 

commercial facility cannot be funded 

with the use of Section 202 capital 

advance or PRAC funds. The maximum 

amount of space permitted for a 

commercial facility cannot exceed 10 

percent of the total project floor space. 

An exception to this 10 percent 

limitation is if the project involves 

acquisition or rehabilitation and the 

additional space was incorporated in 

the existing structure at the time the 

proposal was submitted to HUD. 

Commercial facilities are considered 

public accommodations under Title III 

of the Americans with Disabilities Act 

of 1990 (ADA), and thus must comply 

with all the accessibility requirements 

of the ADA. 

5. Expiration of Section 202 Funds. 

The Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007), requires 

HUD to obligate all Section 202 funds 

appropriated for FY 2007 by September 

30, 2010. Under 31 U.S.C. Section 1551, 

no funds can be disbursed from this 

account after September 30, 2015. 

Under Section 202, obligation of funds 

occurs for both capital advances and 

project rental assistance upon fund 

reservation and acceptance. If all funds 

are not disbursed by HUD and expended 

by the project Owner by September 30, 

2015, the funds, even though obligated, 

will expire and no further 

disbursements can be made from this 

account. In submitting an application 

you need to carefully consider whether 

your proposed project can be completed 

through final capital advance closing no 

later than September 30, 2015. 

Furthermore, all unexpended balances, 

including any remaining balance on 

PRAC contracts, will be cancelled as of 

October 1, 2015. Amounts needed to 

maintain PRAC payments for any 

remaining term on the affected contracts 

beyond that date will have to be funded 

from other current appropriations. 

F. Other Submission Requirements: 

1. Address for Submitting 

Applications. Applications must be 

submitted electronically through the 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp Web site, unless 

the applicant receives a waiver from the 

electronic application submission 

requirement. See the General Section, 

Application Submission and Receipt 

Procedures and Section IV.C. of this 

NOFA for additional information. Refer 

to HUD’s Web site at http:// 

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

fundsavail.cfm for a listing of local HUD 

offices. All applications submitted 

electronically via http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp will be 

downloaded and forwarded to the 

appropriate local HUD office. 

2. Special Instructions for Section 202 

Applications That Will Have More Than 

One Applicant, i.e., Co-Sponsors. The 

applicants must designate a single 

individual to act as the authorized 

representative for all co-Sponsors of the 

application. The designated authorized 

representative of the organization 

submitting the application must be 

registered with Grants.gov, the Federal 

Central Contractor Registry and with the 

credential provider for EAuthentication. Information on the 

Grants.gov registration process is found 

in Section IV.B. of the General Section. 

When the application is submitted 

through Grants.gov, the name of the 

designated authorized representative 

will be inserted into the signature line 

of the application. Please note that the 

designated authorized representative 

must be able to make legally binding 

commitments for each co-Sponsor to the 

application. 

Each co-Sponsor must complete the 

documents required of all co-sponsoring 

organizations to permit HUD to make a 

determination on the eligibility of the 

co-Sponsor(s) and the acceptability of 

the application based on the assistance 

and commitments the co-Sponsor(s) has 

pledged to the project. Therefore, each 

co-Sponsor must submit the following 

information using the scanning and/or 

faxing method described in Section IV. 

of the General Section: Standard Form–

424, Application for Federal Assistance; 

Standard Form–424 Supplement, 

Survey on Ensuring Equal Opportunity 

for Applicants; Standard Form LLL, 

Disclosure of Lobbying Activities (if 

applicable); Form HUD–92015–CA, 

Section 202 Application for Capital 

Advance, Summary Information; Form 

HUD–92041, Sponsor’s Conflict of 

Interest Resolution; and Form HUD–

92042, Sponsor’s Resolution for 

Commitment to Project. The forms 

identified above are discussed in the 

Program instructions package and can 

be downloaded from Grants.gov under 

the program application download at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. The downloaded 

and completed forms should be saved as 

separate electronic files and attached to 

the electronic application submission 

following the requirements of Section 

IV. 

As stated in the General Section, 

Section IV, scanning documents to 

create electronic files increases the size 

of the file. Therefore, applicants may 

not submit scanned files unless using 

the facsimile method as stated in the 

General Section will not work due to the 

nature of the document. If the facsimile 

method does not work, forms and other 

documents from co-Sponsors may be 

scanned to create an electronic file and 

submitted as an attachment to the 

application. These documents should be 

labeled and numbered so the HUD 

reviewer can identify the file and its 

contents. If the applicant is creating an 

electronic file, the file should contain a 

header that identifies the name of the 

Sponsor submitting the electronic 

application, that Sponsor’s DUNS 

number, and the unique ID that is found 

at the top of the Facsimile Transmission 

form found in the electronic application 

package. The naming convention for 

each electronic file should correspond 

to the labeling convention used in the 

application Table of Contents found in 

Section IV.B.1. of this program NOFA 

and the General Section. For example, 

the organizational documents of a coSponsor would be included under Part 

II, Exhibit 2(a) of the Section 202 

application. 

The signed documents and other 

information required to be submitted 

with the electronic application should 

be transmitted via fax using Form HUD–

96011, Facsimile Transmittal found in 

the electronic application package. CoSponsors should use the form HUD–

96011 provided by the Sponsor that is 

submitting the electronic application. 

The submitting Sponsor should fill in 

the SF–424 form prior to giving the 

Form HUD–96011 to the co-Sponsors. 

By following these directions, the Form 

HUD–96011 will be pre-populated with 

the submitting Sponsor’s organizational 

information exactly as the submitting 

Sponsor has provided it on the 


rwilkins on PROD1PC63 with NOTICES_2
11712 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

electronic application. In addition, HUD 

will be using the unique identifier 

associated to the downloaded 

application package as a means of 

matching the faxes submitted with the 

applications received via Grants.gov. 

The Facsimile Transmittal form also has 

space to provide the number of pages 

being faxed and information on the type 

of document. Co-Sponsors or the 

submitting applicant can insert the 

document name in the space labeled 

Program Component. 

Note: Do not insert any additional or other 

cover pages as it will cause problems in 

electronically matching the pieces of the 

application. See the General Section for 

further instructions. 

V. Application Review Information 

A. Criteria 

Policy Priorities. HUD encourages 

applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

and which help the Department achieve 

its strategic goals for FY2007. Refer to 

the General Section for information 

regarding HUD’s Strategic Goals and 

Policy Priorities. For the Section 202 

program, applicants who include work 

activities that specifically address the 

policy priorities of encouraging 

accessible design features by 

incorporating visitability standards and 

universal design, removing barriers to 

affordable housing, promoting energy 

efficiency in design and operations, and 

expanding training and employment 

opportunities for low- and very lowincome persons and business concerns 

(Section 3 requirements), will receive 

additional points. A Notice pertaining to 

the removal of barriers to affordable 

housing was published in the Federal 

Register and may be downloaded from 

the HUD web site at http:// 

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

fundsavail.cfm. 

Rating Factors. HUD will rate 

applications that successfully complete 

technical processing using the Rating 

Factors set forth below and in 

accordance with the application 

submission requirements in this NOFA. 

The maximum number of points an 

application may receive under this 

program is 102. This includes two (2) 

RC/EZ/EC–II bonus points, as described 

in the General Section and Section 

V.A.6. below. 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (23 Points) 

This factor addresses the extent to 

which you have the organizational 

resources to successfully implement the 

proposed activities in a timely manner. 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Exhibits 

3(a), 3(b), 3(e), 5 and 6 of Section IV.B. 

of this NOFA. In rating this factor, HUD 

will consider the extent to which your 

application demonstrates your ability to 

develop and operate the proposed 

housing on a long-term basis, 

considering the following: 

a. (13 points). The scope, extent, and 

quality of your experience in providing 

housing or related services to those 

proposed to be served by the project and 

the scope of the proposed project (i.e., 

number of units, services, relocation 

costs, development, and operation) in 

relationship to your demonstrated 

development and management capacity 

as well as your financial management 

capability. 

b. (10 points) The scope, extent and 

quality of your experience in providing 

housing or related services to minority 

persons or minority families and your 

ties to the community at large and to the 

minority and elderly communities in 

particular. 

(1) (5 points). The scope, extent, and 

quality of your experience in providing 

housing or related services to minority 

persons or minority families. 

(2) (5 points). The scope, extent, and 

quality of your ties to the community at 

large and to the minority and elderly 

communities in particular. 

To earn the maximum number of 

points under sub-criteria (b)(1) above, 

you must describe significant previous 

experience in providing housing and/or 

supportive services to minorities 

generally and to minority elderly in 

particular. For the purpose of this 

competition, ‘‘significant previous 

experience’’ means that the previous 

housing assistance or related services to 

minorities (i.e., the percentage of 

minorities being provided housing or 

related services in your current 

developments) was equal to or greater 

than the percentage of minorities in the 

housing market area where the previous 

housing or services occurred. To earn 

the maximum number of points under 

sub-criteria (b)(2) above, you should 

submit materials that demonstrate your 

efforts to make housing available to the 

community at large and the minority 

and elderly communities in particular 

and your relationships over time with 

the minority and elderly communities. 

Examples of documents that may be 

submitted to earn the maximum number 

of points under sub-criteria (b)(2) 

include letters of support from 

community leaders (including minority 

community leaders) that give 

information about the applicant’s 

relationship over time with the 

community (including the minority 

community). You may also submit 

copies of your affirmative marketing 

plan and the advertising/outreach 

materials you utilize to attract minority 

communities (including limited English 

proficient communities), elderly 

communities, and the community at 

large. Regarding your advertising/ 

outreach materials, you should identify 

when advertising/outreach materials are 

circulated, to whom they are circulated, 

where they are circulated and how they 

are circulated. Descriptions of other 

advertising/outreach efforts to the 

minority (including limited English 

proficient communities) and elderly 

communities and the dates and places 

of such advertising/outreach efforts 

should also be included. 

c. (–3 to –5 points). HUD will deduct 

(except if the delay was beyond your 

control) 3 points if a fund reservation 

you received under either the Section 

202 Program of Supportive Housing for 

the Elderly or the Section 811 Program 

of Supportive Housing for Persons with 

Disabilities in FY2002 or later has been 

extended beyond 24 months, 4 points if 

beyond 36 months, or 5 points if beyond 

48 months. Examples of such delays 

beyond your control include, but are not 

limited to, initial closing delays that are: 

(1) directly attributable to HUD, (2) 

directly attributable to third party 

opposition, including litigation, and (3) 

due to a disaster, as declared by the 

President of the United States. 

d. (–3 to –5 points). HUD will deduct 

from 3 points to 5 points if HUD 

amendment money was required in 

connection with a fund reservation you 

received under either the Section 202 

Program of Supportive Housing for the 

Elderly or the Section 811 Program of 

Supportive Housing for Persons with 

Disabilities in FY2002 or later based on 

the following. 

(1) (–3 points). The amount of the 

amendment money required was 25 

percent or less of the original capital 

advance amount approved by HUD. 

(2) (–4 points). The amount of the 

amendment money required was 

between 26 percent and 50 percent of 

the original capital advance amount 

approved by HUD. 

(3) (–5 points). The amount of the 

amendment money required was over 

50 percent of the original capital 

advance amount approved by HUD. 

2. Rating Factor 2: Need/Extent of the 

Problem (13 Points) 

This factor addresses the extent to 

which there is a need for funding the 

proposed activities to address a 

documented problem in the target area. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11713 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Exhibits 

4(a) and 4(b) of Section IV.B. of this 

NOFA. HUD will take into 

consideration the following in 

evaluating this factor: 

The extent of the need for the project 

in the area based on a determination by 

the local HUD Office. In making this 

determination, HUD will consider your 

evidence of need in the area, as well as 

other economic, demographic, and 

housing market data available to the 

local HUD office. The data should 

include but is not limited to: 

• a general assessment of the current 

conditions in the market for the type of 

housing proposed, 

• an estimate of the demand for 

additional housing of the type proposed 

in the applicable housing market area, 

• information on the numbers and 

types of existing comparable Federally 

assisted housing units for the elderly 

(HUD and RHS) and current occupancy 

in such housing and recent market 

experience, 

• comparable assisted housing for the 

elderly under construction or for which 

fund reservations have been issued, and 

• in accordance with an agreement 

between HUD and RHS, comments from 

RHS on the demand for additional 

comparable subsidized housing and the 

possible harm to existing projects in the 

same housing market areas. 

The Department will also review more 

favorably those applications that 

establish a connection between the 

proposed project and the community’s 

Analysis of Impediments to Fair 

Housing Choice (AI) or other planning 

document that analyzes fair housing 

issues and is prepared by a local 

planning or similar organization. You 

must show how your proposed project 

will address an impediment to fair 

housing choice described in the AI or 

meet a need identified in the other type 

of planning document. 

For all Section 202 projects that are 

determined to have sufficient demand, 

HUD will rate your application based on 

the ratio of the number of units in the 

proposed project to the estimate of 

unmet need for housing assistance by 

the income eligible elderly households 

with selected housing conditions. 

Unmet need is defined as the number of 

very low-income elderly one-person 

renter households age 75 and older with 

housing conditions problems, as of the 

2000 Census, minus the number of 

project-based subsidized rental housing 

units (HUD, RHS, or LIHTC) that are 

affordable to very low-income elderly 

provided in the area since 1999. Units 

to be occupied by resident managers are 

not counted. After HUD determines the 

estimate of unmet need and whether a 

connection has been made between the 

project and community’s Consolidated 

Plan, Analysis of Impediments to Fair 

Housing Choice, or other planning 

document, HUD will rate your 

application as follows: 

a. (10 points). The area of the project 

has an unmet needs ratio of 15 percent 

or less; OR (5 points). The area of the 

project has an unmet needs ratio of 

greater than 15 percent; OR (0 points). 

The area of the proposed project has no 

unmet needs for housing assistance. 

b. (3 points). The extent that a 

connection has been established 

between the project and the 

community’s Consolidated Plan, 

Analysis of Impediments to Fair 

Housing Choice (AI) or other planning 

document that analyzes fair housing 

issues and is prepared by a local 

planning or similar organization. 

3. Rating Factor 3: Soundness of 

Approach (47 Points) 

This factor addresses the quality and 

effectiveness of your proposal and the 

extent to which you involved elderly 

persons, including elderly minority 

persons, in the development of the 

application and will involve them in the 

development and operation of the 

project, whether the jurisdiction in 

which your project will be located has 

undertaken successful efforts to remove 

regulatory barriers to affordable 

housing, whether you will promote 

energy efficiency in the design and 

operation of the proposed housing, and 

your plans to expand economic 

opportunities for low- and very lowincome persons as well as certain 

business concerns (Section 3 

requirements). There must be a clear 

relationship between your proposed 

design, proposed activities, the 

community’s needs and purposes of the 

program funding for your application to 

receive points for this factor. Submit 

information responding to this factor in 

accordance with Application 

Submission Requirements in Exhibits 

3(f), 3(j), 3(k), 4(c)(i), 4(c)(ii), 4(d)(iii), 

4(d)(v), 4(d)(vi), and 5 of Section IV.B. 

of this NOFA. In evaluating this factor, 

HUD will consider the following: 

a. (20 points). The proximity or 

accessibility of the site to shopping, 

medical facilities, transportation, places 

of worship, recreational facilities, places 

of employment, and other necessary 

services to the intended occupants; 

adequacy of utilities and streets; 

freedom of the site from adverse 

environmental conditions; compliance 

with site and neighborhood standards 

(24 CFR 891.125(a), (d) and (e)). 

b. (¥1 point). The site(s) is not 

permissively zoned for the intended 

use. 

c. (10 points). The suitability of the 

site from the standpoint of promoting a 

greater choice of housing opportunities 

for minority elderly persons/families 

and affirmatively furthering fair 

housing. In reviewing this criterion, 

HUD will assess whether the site meets 

the site and neighborhood standards at 

24 CFR 891.125(b) and (c) by examining 

relevant data in your application or in 

the local HUD Office. Where 

appropriate, HUD may visit the site. 

(1) The site will be deemed acceptable 

if it increases housing choice and 

opportunity by expanding housing 

opportunities in non-minority 

neighborhoods (if located in such a 

neighborhood). The term ‘‘nonminority 

area’’ is defined as one in which the 

minority population is lower than 10 

percent. If the site will be in a minority 

neighborhood, the site will be deemed 

acceptable if it contributes to the 

revitalization of and reinvestment in the 

minority neighborhood, including 

improvement of the level, quality and 

affordability of services furnished to 

minority elderly. You should refer to the 

Site and Neighborhood Standards 

provisions of the regulations governing 

the Section 202 Supportive Housing for 

the Elderly program (24 CFR 891.125(b) 

and (c)) when considering sites for your 

project. 

(2) For the purpose of this 

competition, the term ‘‘minority 

neighborhood (area of minority 

concentration)’’ is defined as one where 

any one of the following statistical 

conditions exists: 

(a) The percentage of persons of a 

particular racial or ethnic minority is at 

least 20 points higher than the 

percentage of that minority’s or a 

combination of minorities’ in the 

housing market area as a whole; 

(b) The neighborhood’s total 

percentage of minority persons is at 

least 20 points higher than the total 

percentage of minorities for the housing 

market as a whole; or, 

(c) In the case of a metropolitan area, 

the neighborhood’s total percentage of 

minority persons exceeds 50 percent of 

its population. 

d. (2 points). The extent to which 

your proposed design will meet the 

special physical needs of elderly 

persons. 

e. (2 points). The extent to which the 

proposed size and unit mix of the 

housing will enable you to manage and 

operate the housing efficiently and 

ensure that the provision of supportive 

services will be accomplished in an 

economical fashion. 


rwilkins on PROD1PC63 with NOTICES_2
11714 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

f. (2 points). The extent to which the 

proposed design of the housing will 

accommodate the provision of 

supportive services that are expected to 

be needed, initially and over the useful 

life of the housing, by the category or 

categories of elderly persons the 

housing is intended to serve. 

g. (3 points). The extent to which the 

proposed supportive services meet the 

identified needs of the anticipated 

residents and that the identified 

supportive services will be provided on 

a consistent, long-term basis. 

h. (1 point). The extent to which the 

proposed design incorporates 

visitability standards and/or universal 

design in the construction or 

rehabilitation of the project. Refer to the 

General Section for further information. 

i. (2 points). Your involvement of 

elderly persons, particularly minority 

elderly persons, in the development of 

the application and your intent to 

involve elderly persons, particularly 

minority elderly persons, in the 

development and operation of the 

project. 

j. (2 points). The extent to which the 

jurisdiction in which your project will 

be located has undertaken successful 

efforts to remove regulatory barriers to 

affordable housing. (Note: This is an 

optional requirement, but to receive up 

to 2 points, the applicant must have 

submitted the Form HUD–27300, 

Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers, AND 

provided some form of documentation 

where requested, including point of 

contact and URL references or 

submitted the required documentary 

evidence.) Refer to the General Section 

for further information. 

k. (1 point) The extent to which you 

will promote energy efficiency in the 

design and operation of the proposed 

housing. Refer to Section III.C.4. of this 

NOFA. 

l. (2 points). The extent to which you 

have described your plans for 

expanding economic opportunities for 

low- and very-low income persons 

(provisions of Section 3). (Note: This is 

an optional requirement, but to receive 

up to 2 points, the applicant must have 

adequately addressed the following in 

Exhibit 3(k) of the application.) Refer to 

the General Section for further 

information. 

(1) (1 point) Provide opportunities to 

train and employ low- and very lowincome residents of the project area. 

(2) (1 point). Award substantial 

contracts to persons residing in the 

project area. 

4. Rating Factor 4: Leveraging Resources 

(5 Points) 

This factor addresses your ability to 

secure other funding sources and 

community resources that can be 

combined with HUD’s program 

resources to achieve program purposes. 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Exhibits 

3(a), 3(b), 3(c), 3(d), 3(e), and 5(b) of 

Section IV.B. of this NOFA. 

a. (0 point). The application contains 

general support and/or written evidence 

of firm commitments towards the 

development and operation of the 

proposed project (including, financial 

assistance, donation of land, provision 

of services, etc.) from other funding 

sources (e.g., private, local community, 

and government sources) where the 

dollar value totals 5 percent or less of 

the capital advance amount as 

determined by HUD. 

b. (1 point). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals between 6 

percent and 10 percent of the capital 

advance amount as determined by HUD. 

c. (2 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals between 11 

percent and 15 percent of the capital 

advance amount as determined by HUD. 

d. (3 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals between 16 

percent and 20 percent of the capital 

advance amount as determined by HUD. 

e. (4 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals between 21 

percent and 25 percent of the capital 

advance amount as determined by HUD. 

f. (5 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals over 25 

percent of the capital advance amount 

as determined by HUD. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (12 Points) 

This factor reflects HUD’s goal to 

embrace high standards of ethics, 

management and accountability and, as 

such, emphasizes HUD’s commitment to 

ensuring that you keep the promises 

made in your application. This factor 

requires that you clearly identify the 

benefits or outcomes of your project and 

develop an evaluation plan to measure 

performance, which includes what you 

are going to measure, how you are going 

to measure it, and the steps you will 

have in place to make adjustments to 

your project development timeline 

should you not be able to achieve any 

of the major milestones. Completion of 

Exhibit 8(i), Project Outcome Logic 

Model (HUD–96010), will assist you in 

completing your response to this rating 

factor. This rating factor also addresses 

the extent to which your project will 

implement practical solutions that 

result in residents achieving 

independent living, educational 

opportunities, and improved living 

environments. Finally, this factor 

addresses the extent to which the longterm viability of your project will be 

sustained for the duration of the 40-year 

capital advance period. Submit 

information responding to this factor in 

accordance with Application 

Submission Requirements in Exhibits 

3(e), 3(g), 3(h), 3(i), 6(b) and 8(i) of 

Section IV.B. 

a. (5 points). The extent to which your 

project development timeline is 

indicative of your full understanding of 

the development process and will, 

therefore, result in the timely 

development of your project. 

b. (2 points). The extent to which your 

past performance evidences that the 

proposed project will result in the 

timely development of the project. 

Evidence of your past performance 

could include the development of 

previous construction projects, 

including but not limited to Section 202 

and Section 811 projects. 

c. (2 points). The extent to which your 

project will implement practical 

solutions that will result in assisting 

residents in achieving independent 

living, educational opportunities, 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11715 

outreach regarding telemarketing fraud, 

and improved living environments. 

d. (3 points). The extent to which you 

demonstrated that your project will 

remain viable as housing with the 

availability of supportive services for 

very low-income elderly persons for the 

40-year capital advance period. 

6. Bonus Points (2 bonus points). 

Location of proposed site in an RC/EZ/ 

EC–II area, as described in the General 

Section. Submit the information 

responding to the bonus points in 

accordance with the Application 

Submission Requirements in Exhibit 

8(h) of Section IV.B. of this NOFA. 

B. Reviews and Selection Process 

1. Review for Curable Deficiencies. 

Upon receipt of the application by HUD 

staff, HUD will screen all applications to 

determine if there are any curable 

deficiencies. For applicants receiving a 

waiver to submit a paper application, 

submitting fewer than the required 

original and four copies of the 

application is not a curable deficiency 

and will cause your application to be 

considered non-responsive to the NOFA 

and returned to you. A curable 

deficiency is a missing Exhibit or 

portion of an Exhibit that will not affect 

the rating of the application. Refer to the 

General Section for additional 

information regarding procedures for 

corrections to deficient applications. 

The following is a list of the only 

deficiencies that will be considered 

curable in a Section 202 application: 

Curable 

exhibit Description 

1 ........... Form 92015–CA (Application 

Form)* 

2(a) ....... Articles of Incorporation* 

(b) ......... By-laws* 

(c) ......... IRS tax exemption ruling* 

4(c)(iii) .. Description of mixed-financing 

plans for additional units, if applicable 

4(d)(i) ... Evidence of site control 

(d)(ii) ..... Evidence site is free of limitations, 

restrictions or reverters 

(d)(iv) .... Evidence of compliance with URA 

site notification requirement 

(d)(vii) ... Phase I ESA 

(d)(viii) .. Asbestos Statement or Survey 

(d)(ix) .... Letter to the State/Tribal Historic 

Preservation Officer (SHPO/ 

THPO) and a statement that the 

SHPO/THPO failed to respond 

OR the Letter from the SHPO/ 

THPO 

7 ........... Relocation 

8(a) ....... Letter sent to the State Point of 

Contact (SPOC)* 

(b) ......... Standard Form 424 Supplement, 

Survey on Ensuring Equal Opportunity for Applicants 

(c) ......... Standard Form LLL, Disclosure of 

Lobbying Activities, if applicable 

Curable 

exhibit Description 

(d) ......... Form HUD–2880, Applicant/Recipient Disclosure/Update Report 

(e) ......... Form HUD–2991, Certification of 

Consistency with Consolidated 

Plan 

(f) .......... Form HUD–92041, Sponsor’s Conflict of Interest Resolution 

(g) ......... Form HUD–92042, Sponsor’s Resolution for Commitment to 

Project* 

(j) .......... Form HUD–96011 Facsimile 

Transmittal (Required Only for 

Transmittal of Faxes)* 

(k) ......... Form HUD–2994–A, You are Our 

Client! Grant Applicant Survey 

(optional) 

The local HUD office will notify you 

in writing if your application is missing 

any of the above exhibits or portions of 

exhibits and will provide you with a 

specified deadline to submit the 

information required to cure the noted 

deficiencies. The items identified by an 

asterisk (*) must be dated on or before 

the application submission date. If an 

Exhibit or portion of an Exhibit listed 

above as curable is not discovered as 

missing until technical processing, HUD 

will provide you with a deadline to cure 

the deficiency. 

2. Rating. HUD will review and rate 

your application in accordance with the 

Reviews and Selection Process in the 

General Section except as described in 

‘‘3. Appeal Process’’ found below. Your 

application will be either rated or 

technically rejected at the end of 

technical review. If your application 

meets all program eligibility 

requirements after completion of 

technical review, it will be rated 

according to the rating factors in Section 

V.A. above. 

3. Appeal Process. HUD will not reject 

your application based on technical 

review without notifying you of the 

rejection with all the reasons for 

rejection and providing you an 

opportunity to appeal. You will have 14 

calendar days from the date of HUD’s 

written notice to appeal a technical 

rejection to the local HUD office. In 

HUD’s review of any appeal, it should 

be noted that in conformance with its 

regulations at 24 CFR part 4, subpart B, 

HUD will not consider any unsolicited 

information that you, the applicant, may 

want to provide. The local HUD office 

will make a determination on any 

appeals before making its selection 

recommendations. 

4. Ranking and Selection Procedures. 

Applications submitted in response to 

the advertised metropolitan allocations 

or nonmetropolitan allocations that 

have a total base score of 75 points or 

more (without the addition of RC/EZ/ 

EC–II bonus points) and meet all of the 

applicable threshold requirements of the 

General Section and this NOFA will be 

eligible for selection, and HUD will 

place them in rank order per 

metropolitan or nonmetropolitan 

allocation. These applications, after 

adding any bonus points for RC/EZ/EC–

II, will be selected based on rank order, 

up to and including the last application 

that can be funded out of each HUD 

Multifamily Program Center’s 

metropolitan or nonmetropolitan 

allocation. HUD Multifamily Program 

Centers will not skip over any 

applications in order to select one based 

on the funds remaining. After making 

the initial selections in each allocation 

area, however, HUD Multifamily 

Program Centers may use remaining 

available funds to select the next highest 

rank-ordered application by reducing 

the number of units by no more than 10 

percent, rounded to the nearest whole 

number, provided the reduction will not 

render the project infeasible. For this 

purpose, however, HUD will not reduce 

the number of units in projects of five 

units or less. 

Once this process has been 

completed, HUD Multifamily Program 

Centers may combine their unused 

metropolitan and nonmetropolitan 

funds in order to select the next highest 

ranked application in either category, 

using the unit reduction policy 

described above, if necessary. 

After the HUD Multifamily Program 

Centers have funded all possible 

projects based on the process above, 

combined metropolitan and 

nonmetropolitan residual funds from all 

HUD Multifamily Program Centers 

within each Multifamily Hub will be 

combined. First, these funds will be 

used to restore units to projects reduced 

by HUD Multifamily Program Centers 

based on the above instructions. 

Second, additional applications within 

each Multifamily Hub will be selected 

in Hub-wide rank order with only one 

application selected per HUD 

Multifamily Program Center. More than 

one application may be selected per 

HUD Multifamily Program Center if 

there are no approvable applications in 

other HUD Multifamily Program Centers 

within the Multifamily Hub. This 

process will continue until there are no 

more approvable applications within 

the Multifamily Hub that can be 

selected with the remaining funds. 

Applications may not be skipped over to 

select one based on funds remaining. 

However, the Multifamily Hub may use 

any remaining residual funds to select 

the next highest rated application by 

reducing the number of units by no 


rwilkins on PROD1PC63 with NOTICES_2
11716 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

more than 10 percent rounded to the 

nearest whole number, provided the 

reduction will not render the project 

infeasible or result in the project being 

less than five units. 

Funds remaining after the Multifamily 

Hub selection process is completed will 

be returned to Headquarters. HUD 

Headquarters will use these residual 

funds first to restore units to projects 

reduced by HUD Multifamily Program 

Centers or Multifamily Hubs as a result 

of the instructions for using their 

residual funds. Second, HUD 

Headquarters will use these funds for 

selecting applications based on HUD 

Multifamily Program Centers’ rankings, 

beginning with the highest rated 

application nationwide. However, after 

restoring units to projects where 

necessary, priority will be given to those 

applications for projects in nonmetropolitan areas, if necessary to meet 

the statutory requirement of Section 202 

of the Housing Act of 1959 pertaining to 

Section 202 funding in nonmetropolitan 

areas. Only one application will be 

selected per HUD Multifamily Program 

Center from the national residual 

amount. If there are no approvable 

applications in other HUD Multifamily 

Program Centers, the process will begin 

again with the selection of the next 

highest rated application nationwide. 

This process will continue until all 

approvable applications are selected 

using the available remaining funds. 

HUD Headquarters may skip over a 

higher-rated application in order to use 

as much of the available remaining 

funds as possible. 

5. HUD Error. In the event HUD 

commits an error that, when corrected, 

would have resulted in the selection of 

an otherwise eligible applicant during 

the funding round of this NOFA, HUD 

may select that applicant when 

sufficient funds become available. 

VI. Award Administration Information 

A. Award Notices 

1. Agreement Letter. If you are 

selected to receive a Section 202 fund 

reservation, you will receive an 

Agreement Letter that stipulates the 

terms and conditions for the Section 202 

fund reservation award as well as the 

submission requirements following the 

fund reservation award. The duration of 

the fund reservation award for the 

capital advance is 18 months from the 

date of issuance of the fund reservation. 

Immediately upon your acceptance of 

the Agreement Letter, you are expected 

to begin work towards the submission of 

a Firm Commitment Application, which 

is the next application submission stage. 

You are required to submit a Firm 

Commitment Application to the local 

HUD office within 180 days from the 

date of the Agreement Letter. Initial 

closing of the capital advance and start 

of construction of the project are 

expected to be accomplished within the 

duration of the fund reservation award. 

Final closing of the capital advance is 

expected to occur no later than six 

months after completion of project 

construction. 

2. Non-Selection Letter. If your 

application is approvable but unfunded 

due to insufficient funds or receives a 

rating that is below the minimum 

threshold score established for funding 

eligibility, you will receive a letter to 

this effect. 

3. Debriefing. Refer to the General 

Section for further information 

regarding debriefings, except that the 

request for a debriefing must be made to 

the Director of Multifamily Housing in 

the appropriate local HUD office. 

B. Administrative and National Policy 

Requirements 

1. Ensuring the Participation of Small 

Businesses, Small Disadvantaged 

Businesses, and Women-Owned 

Businesses. Although the Section 202 

program is not subject to the provisions 

of 24 CFR 85.36(e) as described in the 

corresponding paragraph in the General 

Section, you are required to comply 

with Executive Order 12432, Minority 

Business Enterprise Development and 

Executive Order 11625, Prescribing 

Additional Arrangements for 

Developing and Coordinating a National 

Program for Minority Business 

Enterprise as they relate to the 

encouragement of HUD grantees to 

utilize minority business enterprises. 

2. Acquisition and Relocation. You 

must comply with the Uniform 

Relocation Assistance and Real Property 

Acquisition Policies Act of 1970, as 

amended (49 CFR part 24, and 24 CFR 

891.155(e)) (URA), which covers the 

acquisition of sites, with or without 

existing structures, and with 24 CFR 

8.4(b)(5) of the Section 504 regulations 

which prohibits discrimination based 

on disability in determining the site or 

location of a federally-assisted facility. 

However, you are exempt from 

complying with the site acquisition 

requirements of the URA if you do not 

have the power of eminent domain and 

prior to entering into a contract of sale, 

option to purchase or any other method 

of obtaining site control, you inform the 

seller of the land in writing (1) that you 

do not have the power of eminent 

domain and, therefore, you will not 

acquire the property if negotiations fail 

to result in an amicable agreement, and 

(2) of the estimate of the fair market 

value of the property. An appraisal is 

not required to meet this requirement, 

however, your files must include an 

explanation (with reasonable evidence) 

of the basis for the estimate. Evidence of 

compliance with this advance notice 

requirement must be included in Exhibit 

4(d)(iv) of your application. 

3. Flood Disaster Protection Act of 

1973 and Coastal Barrier Resources Act. 

You must comply with the requirements 

under the Flood Disaster Protection Act 

of 1973 (42 U.S.C. 4001–4128) and the 

Coastal Barrier Resources Act (16 U.S.C. 

3601). 

C. Reporting 

1. The Program Outcome Logic Model 

(Form HUD–96010) must be completed 

indicating the results achieved against 

the proposed output goal(s) and 

proposed outcome(s) which you stated 

in your approved application and 

agreed upon by HUD. Based on the 

information you provided in the 

Program Outcome Logic Model, you also 

are required to submit to HUD a 

statement reporting the Return on 

Investment as a result of HUD’s Section 

202 funding award to you to develop 

and operate a Section 202 housing 

project with supportive services for the 

very low-income elderly. HUD is 

considering a new concept for the Logic 

Model. The new concept is a Return on 

Investment (ROI) statement. HUD will 

be publishing a separate notice on the 

ROI concept. 

These reporting requirements are to 

be submitted to HUD as follows: 

Program Outcome Logic Model. You, 

as the Sponsor, and the Owner, when 

formed, are required to report annually, 

beginning from the date of the 

Agreement Letter, on the results 

achieved against the output goal(s) and 

outcome(s), which you proposed in the 

Program Outcome Logic Model that was 

submitted in your application. 

2. The Regulatory Agreement (Form 

HUD–92466–CA) requires the Owner of 

the Section 202 project to submit an 

annual financial statement for the 

project. This financial statement must 

be audited by an Independent Public 

Accountant who is a Certified Public 

Accountant or other person accepted by 

HUD and filed electronically with 

HUD’s Real Estate Assessment Center 

(REAC) through the Financial 

Assessment Subsystem for Multifamily 

Housing (MF–FASS). The submission of 

annual financial statements is required 

throughout the 40-year term of the 

mortgage. 

VII. Agency Contact(s) 

For Technical Assistance. For 

technical assistance in downloading an 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11717 

application package from 

www.Grants.gov, contact the Grants.gov 

help desk at 800–518–Grants or by 

sending an e-mail to 

support@grants.gov. For programmatic 

information, you may contact the 

appropriate local HUD office, or Alicia 

Anderson at HUD Headquarters at (202) 

708–3000 (this is not a toll-free 

number), or access the Internet at http:// 

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

fundsavail.cfm. Persons with hearing 

and speech impairments may access the 

above number via TTY by calling the 

Federal Relay Service at 800–877–8339 

(this is a toll-free number). 

VIII. Other Information 

A. Field Office Workshop. HUD 

encourages minority organizations and 

grassroots organizations (e.g., civic 

organizations, faith-communities and 

grassroots faith-based and other 

community-based organizations) to 

participate in this program and strongly 

recommends that prospective applicants 

attend the local HUD office workshop. 

At the workshops, HUD will explain 

application procedures and 

requirements, as well as address 

concerns such as local market 

conditions, building codes and 

accessibility requirements, 

contamination identification and 

remediation, historic preservation, 

floodplain management, other 

environmental requirements, 

displacement and relocation, zoning, 

and housing costs. If you are interested 

in attending the workshop, make sure 

that your name, address and telephone 

number are on the appropriate local 

HUD office’s mailing list so that you 

will be informed of the date, time and 

place of the workshop. Persons with 

disabilities should call the appropriate 

local HUD Office to assure that any 

necessary arrangements can be made to 

enable their attendance and 

participation in the workshop. 

If you cannot attend the workshop, 

call the appropriate local HUD office if 

you have any questions concerning the 

submission of applications to that 

particular office and to request any 

materials distributed at the workshop. 

B. Satellite Broadcast. HUD will hold 

an information broadcast via satellite for 

potential applicants to learn more about 

the program and preparation of the 

application. It is strongly recommended 

that potential applicants, especially 

those who may be applying for Section 

202 funding for the first time, tune in to 

this broadcast, if at all possible. Copies 

of the broadcast tapes are also available 

from the NOFA Information Center. For 

more information about the date and 

time of the broadcast, you should 

consult the HUD Web site at http:// 

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

fundsavail.cfm. 

C. Related Programs. Funding for a 

related program, Section 202 

Demonstration Pre-Development Grant 

Program, is available to provide 

predevelopment grants to private 

nonprofit organizations and consumer 

cooperatives in connection with the 

development of housing under the 

Section 202 program. The 

announcement of the availability of 

funding under this program will be 

addressed in a separate NOFA. 

D. Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2502–

0267. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless the collection displays a 

currently valid OMB control number. 

Public reporting burden for the 

collection of information is estimated to 

average 37.42 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits derived. 


rwilkins on PROD1PC63 with NOTICES_2
11718 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.026</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11719 

Section 811 Program of Supportive 

Housing for Persons With Disabilities 

(Section 811 Program) 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Housing. 

B. Funding Opportunity Title: Section 

811 Supportive Housing for Persons 

with Disabilities. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–05; OMB Approval Number is 

2502–0462. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: 14.181, 

Section 811 Supportive Housing for 

Persons with Disabilities. 

F. Dates: Application deadline date: 

May 24, 2007. Application must be 

received and validated by Grants.gov by 

11:59:59 p.m. eastern time on the 

deadline date. Refer to Section IV. 

below and the General Section for 

information on application submission 

requirements. 

G. Optional, Additional Overview 

Content Information: 

1. Purpose of the Program. This 

program provides funding for the 

development and operation of 

supportive housing for very low-income 

persons with disabilities who are at 

least 18 years old. If you receive funding 

through this program, you must assure 

that supportive services are identified 

and available. 

2. Available Funds. Approximately 

$88.3 million in capital advance funds 

plus associated project rental assistance 

contract (PRAC) funds and any 

carryover funds available. 

3. Types of Funds. Capital advance 

funds will cover the cost of developing 

the housing. PRAC funds will cover the 

difference between the HUD-approved 

operating costs of the project and the 

tenants’ contributions toward rent (30 

percent of their adjusted monthly 

income). 

4. Eligible Applicants. Nonprofit 

organizations that have a section 

501(c)(3) tax exemption from the 

Internal Revenue Service. (See Section 

III.C.3.m. below of this NOFA for further 

details and information regarding the 

formation of the Owner corporation.) 

5. Eligible Activities. New 

construction, rehabilitation, or 

acquisition (with or without 

rehabilitation) of housing. (See Section 

III.C.1. below of this NOFA for further 

information.) 

6. Match Requirements. None 

required. 

7. Local HUD Offices. The local HUD 

office structure, for the purpose of 

implementing the Section 811 program, 

consists of 18 Multifamily Hub Offices. 

Within the Multifamily Hubs, there are 

Multifamily Program Centers with the 

exception of the New York Hub, the 

Buffalo Hub, the Denver Hub and the 

Los Angeles Hub. All future references 

shall use the term ‘‘local HUD office’’

unless a more detailed description is 

necessary as in Limitations on 

Applications and Ranking and Selection 

Procedures, below. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description. HUD 

provides capital advances and contracts 

for project rental assistance in 

accordance with 24 CFR part 891. 

Capital advances may be used for the 

construction or rehabilitation of a 

structure or acquisition of a structure 

with or without rehabilitation, to be 

developed into a variety of housing 

options described in Section III.C. 

Capital advance funds bear no interest 

and are based on development cost 

limits in Section IV.E.3. Repayment of 

the capital advance is not required as 

long as the housing remains available 

for occupancy by very low-income 

persons with disabilities for at least 40 

years. PRAC funds are used to cover the 

difference between the tenants’

contributions toward rent (30 percent of 

adjusted income) and the HUDapproved cost to operate the project. 

B. Authority. 42 U.S.C. 8013 (Section 

811 of the Cranston-Gonzalez National 

Affordable Housing Act (Pub. L. 101–

625, approved November 28, 1990) 

(NAHA), as amended by the Housing 

and Community Development Act of 

1992) (Pub. L. 102–550, approved 

October 28, 1992) (HCD Act of 1992); 

the Rescissions Act (Pub. L. 104–19, 

approved July 27, 1995); the American 

Homeownership and Economic 

Opportunity Act of 2000 (Pub. L. 106–

569, approved December 27, 2000) and 

the Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007) authorized 

a new supportive housing program for 

persons with disabilities, and replaced 

assistance for persons with disabilities 

previously covered by section 202 of the 

Housing Act of 1959 (section 202 

continues, as amended by section 801 of 

the NAHA, and the HCD Act of 1992, to 

authorize supportive housing for the 

elderly). 

C. Eligible Occupancy. You may 

propose a Section 811 project to serve 

persons with physical disabilities, 

developmental disabilities, chronic 

mental illness, or any combination of 

the three as defined in 24 CFR 891.305. 

In addition, you may request HUD 

approval to restrict occupancy to a 

subcategory of one of these three 

defined categories (e.g., HIV/AIDS is a 

subcategory of physical disability). If 

restricted occupancy is approved, 

however, you cannot deny occupancy to 

any otherwise qualified person that 

meets the definition of the overall 

category of disability under which the 

subcategory falls. 

D. Calculation of Fund Reservation. If 

selected, you will receive a fund 

reservation that will consist of both a 

reservation of capital advance funds and 

a reservation of three years for project 

rental assistance. 

1. Capital advance funds. The 

reservation of capital advance funds is 

based on a formula which, for an 

independent living project (including 

condominiums), takes the development 

cost limit for the appropriate building 

type (elevator, non-elevator) and unit 

size(s) and multiplies it by the number 

of units of each size (including a unit for 

a resident manager, if applicable) and 

then multiplies the result by the high 

cost factor for the area. For a group 

home, the formula is based on the 

number of persons with disabilities in 

the appropriate disability category 

(excluding any unit for a resident 

manager since such a unit is already 

incorporated in the development cost 

limit) multiplied by the high cost factor 

for the area. The development cost 

limits can be found in Section IV.E.3. of 

this NOFA. 

2. PRAC funds. The initial PRAC 

award covers three years. The amount 

awarded is determined by multiplying 

the number of units for residents with 

disabilities in an independent living 

project or the number of residents with 

disabilities in a group home by the 

appropriate operating cost standard 

times three (3). The operating cost 

standards will be published by Notice. 

II. Award Information 

A. Available Funds. For FY2007, 

$88.3 million is available for capital 

advances for the Section 811 Program of 

Supportive Housing for Persons with 

Disabilities. The Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5; approved February 15, 2007) 

provides $239,000,000 for capital 

advances, including amendments to 

capital advance contracts, for supportive 

housing for persons with disabilities as 

authorized by section 811 of the 

National Affordable Housing Act of 

1990 (NAHA); for project rental 

assistance for supportive housing for 

persons with disabilities under section 

811 of the NAHA, including 

amendments to contracts for such 


rwilkins on PROD1PC63 with NOTICES_2
11720 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

assistance and renewal of expiring 

contracts for such assistance for up to a 

one-year term and for tenant-based 

rental assistance contracts and renewal 

of expiring contracts for such assistance 

entered into pursuant to section 811 of 

the NAHA, and $400,000 to be 

transferred to the Working Capital Fund. 

Approximately $5,000,000 will be 

provided for tenant-based rental 

assistance for persons with disabilities 

administered through public housing 

agencies (PHAs) and nonprofit 

organizations under the Mainstream 

Housing Opportunities for Persons with 

Disabilities Program and $78,300,000 

will be provided for one-year renewal 

costs of Section 811 rental assistance. 

In accordance with the waiver 

authority provided in the Department of 

Housing and Urban Development 

Appropriations Act, 2007, the Secretary 

is waiving the following statutory and 

regulatory provision: The term of the 

project rental assistance contract is 

reduced from 20 years to 3 years. HUD 

anticipates that at the end of the 

contract terms, renewals will be 

approved subject to the availability of 

funds. In addition to this provision, 

HUD will reserve project rental 

assistance contract funds based on 75 

percent rather than on 100 percent of 

the current operating cost standards for 

approved units in order to take into 

account the average tenant contribution 

toward rent. 

The allocation formula used for 

Section 811 reflects the ‘‘relevant 

characteristics of prospective program 

participants,’’ as specified in 24 CFR 

791.402(a). The FY2007 formula 

consists of the following data element 

from the 2000 Census: the number of 

non-institutionalized persons age 16 to 

64 with a disability. The data on 

disability status were derived from 

answers to a two-part question that 

asked about the existence of the 

following long-lasting conditions: (a) 

blindness, deafness, or a severe vision 

or hearing impairment (sensory 

disability) and (b) a condition that 

substantially limits one or more basic 

physical activities, such as walking, 

climbing stairs, reaching, lifting, or 

carrying (physical disability); and a 

four-part question that asked if the 

individual had a physical, mental, or 

emotional condition lasting 6 months or 

more that made it difficult to perform 

certain activities. The four activity 

categories were: (a) learning, 

remembering, or concentrating (mental 

disability); (b) dressing, bathing, or 

getting around inside the home (selfcare disability); (c) going outside the 

home alone to shop or visit a doctor’s 

office (going outside the home 

disability); and (d) working at a job or 

business (employment disability). 

Under the Section 811 Program, each 

local HUD office jurisdiction receives 

sufficient capital advance funds for a 

minimum of 10 units. The total amount 

of capital advance funds to support this 

minimum set-aside is then subtracted 

from the total capital advance available. 

The remainder is fair shared to each 

local HUD office jurisdiction whose fair 

share would exceed the set-aside based 

on the allocation formula fair share 

factors described below. 

The fair share factors were developed 

by taking the number of persons with 

disabilities in the data element for each 

state, or state portion, of each local HUD 

office jurisdiction as a percent of the 

data element from the 2000 Census, 

described above, for the total United 

States. The resulting percentage for each 

local HUD office is then adjusted to 

reflect the relative cost of providing 

housing among the local HUD office 

jurisdictions. The adjusted needs 

percentage for each local HUD office is 

then multiplied by the total amount of 

capital advance funds available 

nationwide. 

The Section 811 capital advance 

funds have been allocated, based on the 

formula above, to 51 local HUD offices 

as shown on the following chart: 

FY 2007 SECTION 811 ALLOCATIONS FOR SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES

Offices Units Capital 

advance 

BOSTON HUB 

BOSTON .................................................................................................................................................................. 17 $2,296,605 

HARTFORD ............................................................................................................................................................. 10 1,364,220 

MANCHESTER ........................................................................................................................................................ 10 1,075,415 

PROVIDENCE ......................................................................................................................................................... 10 1,342,183 

TOTAL .............................................................................................................................................................. 47 6,078,423 

NEW YORK HUB 

NEW YORK ............................................................................................................................................................. 28 3,812,372 

BUFFALO HUB 

BUFFALO ................................................................................................................................................................ 17 1,961,062 

PHILADELPHIA HUB 

CHARLESTON ........................................................................................................................................................ 10 1,034,708 

NEWARK ................................................................................................................................................................. 19 2,576,996 

PHILADELPHIA ....................................................................................................................................................... 20 2,576,410 

PITTSBURGH .......................................................................................................................................................... 10 1,081,931 

TOTAL .............................................................................................................................................................. 59 7,270,045 

BALTIMORE HUB 

BALTIMORE ............................................................................................................................................................ 10 1,073,536 

RICHMOND ............................................................................................................................................................. 16 1,595,661 

WASHINGTON ........................................................................................................................................................ 10 1,201,563 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11721 

FY 2007 SECTION 811 ALLOCATIONS FOR SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES—Continued 

Offices Units Capital 

advance 

TOTAL .............................................................................................................................................................. 36 3,870,760 

GREENSBORO HUB 

COLUMBIA .............................................................................................................................................................. 16 1,645,470 

GREENSBORO ....................................................................................................................................................... 20 2,584,393 

TOTAL .............................................................................................................................................................. 36 4,229,863 

ATLANTA HUB 

ATLANTA ................................................................................................................................................................. 20 1,908,196 

KNOXVILLE ............................................................................................................................................................. 10 947,608 

LOUISVILLE ............................................................................................................................................................ 16 1,592,146 

NASHVILLE ............................................................................................................................................................. 15 1,388,636 

SAN JUAN ............................................................................................................................................................... 16 1,944,381 

TOTAL .............................................................................................................................................................. 77 7,780,967 

JACKSONVILLE HUB 

BIRMINGHAM .......................................................................................................................................................... 16 1,485,461 

JACKSON ................................................................................................................................................................ 10 890,941 

JACKSONVILLE ...................................................................................................................................................... 31 2,894,379 

TOTAL .............................................................................................................................................................. 57 5,270,781 

CHICAGO HUB 

CHICAGO ................................................................................................................................................................ 23 3,018,814 

INDIANAPOLIS ........................................................................................................................................................ 17 1,698,474 

TOTAL .............................................................................................................................................................. 40 4,717,288 

COLUMBUS HUB 

CINCINNATI ............................................................................................................................................................ 10 994,831 

CLEVELAND ............................................................................................................................................................ 16 1,739,750 

COLUMBUS ............................................................................................................................................................. 10 982,238 

TOTAL .............................................................................................................................................................. 36 3,716,819 

DETROIT HUB 

DETROIT ................................................................................................................................................................. 17 1,986,025 

GRAND RAPIDS ..................................................................................................................................................... 10 846,866 

TOTAL .............................................................................................................................................................. 27 2,832,891 

MINNEAPOLIS HUB 

MINNEAPOLIS ........................................................................................................................................................ 14 1,710,717 

MILWAUKEE ........................................................................................................................................................... 15 1,768,524 

TOTAL .............................................................................................................................................................. 29 3,479,241 

FT. WORTH HUB 

FT. WORTH ............................................................................................................................................................. 25 2,105,842 

HOUSTON ............................................................................................................................................................... 17 1,513,059 

LITTLE ROCK .......................................................................................................................................................... 10 859,459 

NEW ORLEANS ...................................................................................................................................................... 16 1,441,667 

SAN ANTONIO ........................................................................................................................................................ 17 1,436,753 

TOTAL .............................................................................................................................................................. 85 7,356,780 

KANSAS CITY HUB 

DES MOINES .......................................................................................................................................................... 10 890,941 

KANSAS CITY ......................................................................................................................................................... 15 1,610,158 

OKLAHOMA CITY ................................................................................................................................................... 14 1,283,491 

OMAHA .................................................................................................................................................................... 10 1,000,078 


rwilkins on PROD1PC63 with NOTICES_2
11722 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

FY 2007 SECTION 811 ALLOCATIONS FOR SUPPORTIVE HOUSING FOR PERSONS WITH DISABILITIES—Continued 

Offices Units Capital 

advance 

ST. LOUIS ............................................................................................................................................................... 10 1,162,735 

TOTAL .............................................................................................................................................................. 59 5,947,403 

DENVER HUB 

DENVER .................................................................................................................................................................. 19 1,937,395 

SAN FRANCISCO HUB 

SAN FRANCISCO ................................................................................................................................................... 24 3,170,932 

HONOLULU ............................................................................................................................................................. 10 1,888,920 

PHOENIX ................................................................................................................................................................. 16 1,499,753 

SACRAMENTO ........................................................................................................................................................ 10 1,329,590 

TOTAL .............................................................................................................................................................. 60 7,889,195 

LOS ANGELES HUB 

LOS ANGELES ........................................................................................................................................................ 36 4,608,427 

SEATTLE HUB 

SEATTLE ................................................................................................................................................................. 17 2,034,377 

ANCHORAGE .......................................................................................................................................................... 10 1,888,920 

PORTLAND ............................................................................................................................................................. 15 1,580,209 

TOTAL .............................................................................................................................................................. 42 5,503,506 

NATIONAL TOTAL ........................................................................................................................................... 790 88,263,218 

B. Type of Award. Capital Advance 

and Project Rental Assistance Contract 

Funds for new Section 811 applications. 

C. Type of Assistance Instrument. The 

Agreement Letter stipulates the terms 

and conditions for the Section 811 fund 

reservation award as well as the 

submission requirements following the 

fund reservation award. The duration of 

the fund reservation award for the 

capital advance is 18 months from the 

date of issuance of the fund reservation. 

D. Anticipated Start and Completion 

Date. Immediately upon your 

acceptance of the Agreement Letter, you 

are expected to begin work toward the 

submission of a Firm Commitment 

Application, which is the next 

application submission stage. You are 

required to submit a Firm Commitment 

Application to the local HUD office 

within 180 days from the date of the 

Agreement Letter. Initial closing of the 

capital advance and start of construction 

of the project are expected to be 

accomplished within the duration of the 

fund reservation award as indicated in 

the above paragraph regarding the Type 

of Assistance Instrument. Final closing 

of this capital advance is expected to 

occur no later than six months after 

completion of project construction. 

III. Eligibility Information 

A. Eligible Applicants: Nonprofit 

organizations with a section 501(c)(3) 

tax exemption from the Internal 

Revenue Service and who meet the 

threshold requirements contained in the 

General Section NOFA and Section 

III.C.2 below are the only eligible 

applicants for this program. 

Applicant eligibility for purposes of 

applying for a Section 811 fund 

reservation under this NOFA has not 

changed; i.e., all Section 811 Sponsors 

and Co-Sponsors must be nonprofit 

organizations. However, the Owner 

corporation, when later formed by the 

Sponsor, may be (1) a single-purpose 

nonprofit organization that has taxexempt status under Section 501(c)(3) of 

the Internal Revenue Code (IRS) of 1986, 

OR (2) for purposes of developing a 

mixed-finance project pursuant to the 

statutory provision under Title VIII of 

the American Homeownership and 

Economic Opportunity Act of 2000, a 

for-profit limited partnership with a 

nonprofit organization that has tax 

exempt status under Section 501(c)(3) of 

the IRS code as the sole general partner. 

See Section IV.E.2 below regarding 

limits on the total number of units and 

projects for which you may apply for 

funding. 

B. Cost Sharing or Matching: No cost 

sharing or match is required; however, 

you are required to make a commitment 

to cover the estimated start-up expenses, 

the minimum capital investment of one 

half of one percent of the HUDapproved capital advance, not to exceed 

$10,000, and any funds required in 

excess of the capital advance, including 

the estimated cost of any amenities or 

features (and operating costs related 

thereto) which are not covered by the 

capital advance. You must make such a 

commitment by signing the form HUD–

92042, Sponsor’s Resolution for 

Commitment to Project, in Exhibit 8(g) 

of the application found in Section IV.B. 

below. 

C. Other 

1. Eligible Activities. Section 811 

capital advance funds must be used to 

finance the development of housing 

through new construction, 

rehabilitation, or acquisition with or 

without rehabilitation. Capital advance 

funds may also be used in combination 

with other non-Section 811 funding 

sources leveraged by a for-profit limited 

partnership (of which a single-purpose 

nonprofit organization with a 501(c)(3) 

tax exemption is the sole general 

partner) to develop a mixed-finance 

project, including a mixed-finance 

project for additional units over and 

above the Section 811 units. The 

development of a mixed-use project in 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11723 

which the Section 811 units are 

mortgaged separately from the other 

uses of the structure is not considered 

a mixed-finance project. Project rental 

assistance funds are provided to cover 

the difference between the HUDapproved operating costs and the 

amount the residents pay (each resident 

pays 30 percent of adjusted income). 

The types of housing that can be 

developed with Section 811 capital 

advance funds include independent 

living projects, dwelling units in 

multifamily housing developments, 

condominium and cooperative housing 

and small group homes. 

Note: For purposes of approving Section 

811 capital advances, HUD will consider 

proposals involving mixed-financing for 

additional units over and above the Section 

811 units if you have legal control of an 

approvable site and the additional units do 

not cause the project, as a whole, to exceed 

the project size limits if the additional units 

will also house persons with disabilities 

(unless your project will be an independent 

living project and you request and receive 

HUD approval to exceed the project size 

limits (See IV.B.2.c.(1)(d)(xi)). However, you 

must obtain funds to assist the additional 

units with other than PRAC funds. HUD will 

not provide PRAC funds for non-Section 811 

units. 

2. Threshold Criteria for Funding 

Consideration. In addition to the 

threshold criteria outlined in the 

General Section of the SuperNOFA, the 

following threshold requirements must 

be met: 

a. Non-Responsive Application. Your 

application will be considered nonresponsive to the NOFA and will not be 

accepted for processing if you: 

(1) submit less than the required 

number of copies if you requested and 

received approval for a waiver of the 

electronic submission requirement. 

Applicants receiving waiver approval to 

submit a paper application must follow 

the instructions in the approval 

notification regarding where to submit 

the application and the number of 

copies required. All paper applications 

granted a waiver to the electronic 

application submission requirement 

must be received by HUD at the proper 

location no later than the deadline date. 

(2) submit paper copies of the 

application if you have not received 

approval from HUD for a waiver of the 

electronic submission requirements; 

(3) submit a substantially deficient 

application (i.e., a majority of the 

required exhibits are not submitted with 

your application, particularly, but not 

limited to, those exhibits which are not 

curable). HUD reserves the right to 

determine whether your application is 

substantially deficient for purposes of 

determining whether the application is 

non-responsive to the NOFA. Refer to 

Section IV.B., Content and Form of 

Application Submission, for 

information on the required exhibits for 

submission with your application to 

ensure that your application is complete 

at time of submission; 

(4) request more units than were 

allocated to the local HUD office that 

will be reviewing your application (See 

the allocation chart in Section II.A. 

above); 

(5) request less than the minimum 

number of units for persons with 

disabilities in an independent living 

project (5 units) or a group home (2 

units); 

(6) request more than the maximum 

number of units for a group home (6 

units); or 

(7) request assistance for housing that 

you currently own or lease that has been 

occupied by people with disabilities for 

longer than one year prior to the 

application deadline date; 

(8) request assistance for an ineligible 

activity as defined in Section IV.E., 

Funding Restrictions, of this program 

NOFA; 

(9) are an ineligible applicant (see 

Section III.A., Eligible Applicants of this 

program NOFA). 

b. Other Criteria. 

(1) You, or a Co-Sponsor, must have 

experience in providing housing or 

services to persons with disabilities. 

(2) You and any Co-Sponsor must be 

eligible nonprofit organizations with 

tax-exempt status under Section 

501(c)(3) of the Internal Revenue 

Service code. 

(3) Your application must contain 

evidence of site control or the 

identification of a site. Section 811(d)(3) 

of the National Affordable Housing Act 

requires you to provide either evidence 

of site control or a reasonable assurance 

that you will have control of a site 

within six months of the date of the 

Agreement Letter notifying you that you 

have been selected to receive a Section 

811 fund reservation. Accordingly, you 

must include in your application the 

required information specified below for 

evidence of site control, or the required 

information specified below under site 

identification as a reasonable assurance 

that site control will be obtained within 

six months of the date of the Agreement 

Letter. If you submit the required 

information for an identified site(s), you 

must include a specific street address 

for each identified site or the 

application will be rejected. 

(a) Evidence of Site Control—If you 

have control of a site at the time you 

submit your application, you must 

provide the information in Exhibit 4(d) 

in IV.B. of this NOFA relative to site 

control. 

OR 

(b) Site Identification—If you do not 

have site control of one or more of your 

sites, you must provide the information 

required in Exhibit 4(e) in IV.B. of this 

NOFA under ‘‘Identification of a Site’’

for any site not under control as a 

reasonable assurance that site control 

will be obtained within six months of 

fund reservation notification. 

If your application contains evidence 

of site control where either the evidence 

or the site is not approvable, your 

application will not be rejected 

provided you indicate in your 

application that you are willing to seek 

an alternate site and provide an 

assurance that site control will be 

obtained within six months of fund 

reservation notification. During the 

selection process, all applications with 

acceptable evidence of site control for 

all proposed sites and all proposed sites 

that have been found approvable will be 

grouped in Category A. All applications 

that are submitted as ‘‘site identified’’ as 

well as those that are submitted with 

site control but the evidence of control 

and/or site(s) are not approvable (if the 

Sponsor indicates that it is willing to 

seek a different site if the proposed site 

is not approvable) will be grouped in 

Category B. All applications in Category 

A will be selected before any 

applications are selected from Category 

B. See Section V.B.4. for further 

information on the selection process. 

(c) Historic Preservation. If you 

submit an application with evidence of 

site control, you are required to send a 

letter to the State/Tribal Historic 

Preservation Officer (SHPO/THPO) that 

attempts to initiate consultation with 

their office and requests their review of 

your determinations and findings with 

respect to the historical significance of 

your proposed project. A HUD’s Web 

site at 

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

fundsavail.cfm contains a sample letter 

to the SHPO/THPO that you may adapt 

for your use, if you so choose. You must 

include a copy of your letter to the 

SHPO/THPO in your application. You 

must then also include in your 

application either: 

(i) The response letter(s) from the 

SHPO/THPO, or 

(ii) A statement from you that you 

have not received a response letter(s) 

from the SHPO/THPO. 

(d) Contamination. HUD must 

determine if a proposed site contains 

contamination such as hazardous waste, 

petroleum, or petroleum products, and, 

if so, HUD must be satisfied that it is 

eliminated to the extent necessary to 


rwilkins on PROD1PC63 with NOTICES_2
11724 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

meet non site-specific Federal, State or 

local health standards. If you submit an 

application with evidence of site 

control, you must assist HUD by doing 

the following: 

(i) Phase I Environmental Site 

Assessment (ESA)—You must undertake 

and submit a Phase I ESA, prepared in 

accordance with the ASTM Standard E 

1527–05, using the table of contents and 

report format specified at Appendix X4, 

completed or updated as specified at 

Section 4.6 no earlier than 180 days 

prior to the application deadline date in 

order for the application to be 

considered as an application with site 

control. The Phase I ESA must be 

completed and included in your 

application. Therefore, it is important 

that you start the Phase I ESA process 

as soon after publication of the 

SuperNOFA as possible. To help you 

choose an environmentally safe site, 

HUD invites you to review the 

document ‘‘Choosing An 

Environmentally Safe Site’’ and 

‘‘Supplemental Guidance, 

Environmental Information’’, which are 

available on HUD’s Web site at http:// 

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

fundsavail.cfm. 

Note: An application with a phase I That 

is not properly updated, does not use the 

format specified at appendix X4 of ASTM 

Standard E 1527–05 or that is prepared in 

accordance with an older version of ASTM 

E 1527 will result in being a technical reject. 

(ii) Phase II ESA—If the Phase I ESA 

indicates the possible presence of 

contamination and/or hazards, you must 

decide whether to continue with this 

site or choose another site. Should you 

choose another site, the same Phase I 

ESA process identified above must be 

followed for the new site. However, if 

you choose to continue with the original 

site on which the Phase I ESA indicated 

contamination or hazards, you must 

undertake a detailed Phase II ESA by an 

appropriate professional. In order for 

your application to be considered as an 

application with site control, the Phase 

II must be received in the local HUD 

office on or before June 25, 2007. 

(iii) Clean-up—If the Phase II ESA 

reveals site contamination, the extent of 

the contamination and a plan for cleanup of the site must be submitted to the 

local HUD office. The plan for clean-up 

must include a contract for remediation 

of the problem(s) and an approval letter 

from the applicable federal, state, and/ 

or local agency with jurisdiction over 

the site. In order for your application to 

be considered as an application with 

site control, this information must be 

received by the appropriate local HUD 

office on or before June 25, 2007. 

Note: Clean-up could be an expensive 

undertaking. You must pay for the cost of any 

clean-up and/or remediation with sources 

other than the capital advance funds. If the 

application is approved, clean-up must be 

completed prior to initial closing. 

Completion of clean-up means that HUD 

Must be satisfied that the contamination has 

been eliminated to the extent necessary to 

meet non site-specific federal, state or local 

health standards, with no active or passive 

remediation still taking place, no capping 

over of any contamination, and no 

monitoring wells. However, it is acceptable if 

contamination remains solely in groundwater 

that is at least 25 feet below the surface. 

(e) Asbestos. Asbestos is a hazardous 

substance commonly used in building 

products until the late 1970s. Therefore, 

if you submit an application with 

evidence of site control, you must 

submit one of the following with your 

application: 

(i) If there are no pre-1978 structures 

on the site or if there are pre-1978 

structures that most recently consisted 

of solely four or fewer units of singlefamily housing including appurtenant 

structures thereto, a statement to this 

effect, or 

(ii) If there are pre-1978 structures on 

the site, other than for a site that most 

recently consisted of solely four or 

fewer units of single-family housing 

including appurtenant structures 

thereto, a comprehensive building 

asbestos survey that is based on a 

thorough inspection to identify the 

location and condition of asbestos 

throughout any structures. In those 

cases where suspect asbestos is found, 

it would either be assumed to be 

asbestos or would require confirmatory 

testing. If the asbestos survey indicates 

the presence of asbestos or the presence 

of asbestos is assumed, and if the 

application is approved, HUD will 

condition the approval on an 

appropriate mix of asbestos abatement 

and an asbestos Operations and 

Maintenance Plan. 

(4) There must be a market need for 

the number of units proposed in the 

area of the project location. 

(5) Your application must contain a 

Supportive Services Plan and a 

Certification from the appropriate state 

or local agency that the Supportive 

Services Plan is well designed to 

address the individual health, mental 

health and other needs of persons with 

disabilities who will live in your 

proposed project. Exhibit 5 in Section 

IV.B. below outlines the information 

that must be in the Supportive Services 

Plan. You must submit one copy of your 

Supportive Services Plan to the 

appropriate State or local agency well in 

advance of the application submission 

deadline date for the state or local 

agency to review your Supportive 

Services Plan and complete the 

Supportive Services Certification and 

return it to you so that you can include 

it in the application you submit to HUD. 

(a) HUD will reject your application if 

the Supportive Services Certification: 

(i) Is not submitted with your 

application and is not submitted to 

HUD within the 14-day cure period; or 

(ii) Indicates that the provision of 

supportive services is not well designed 

to address the individual health, mental 

health and other needs of persons with 

disabilities who will live in your 

project; or 

(iii) Indicates that the provision of 

supportive services will not enhance 

independent living success or promote 

the dignity of the persons with 

disabilities who will live in your 

proposed project. 

(b) In addition, if the agency 

completing the certification will be a 

major funding or referral source for your 

proposed project or be responsible for 

licensing the project, HUD will reject 

your application if either the agency’s 

Supportive Services Certification 

indicates—or, where the agency fails to 

complete item 3 or 4 of the certification, 

HUD determines that: 

(i) You failed to demonstrate that 

supportive services will be available on 

a consistent, long-term basis; and/or 

(ii) The proposed housing is not 

consistent with state or local agency 

plans/policies addressing the housing 

needs of people with disabilities. 

Any prospective resident of a Section 

811 project who believes he/she needs 

supportive services must be given the 

choice to be responsible for acquiring 

his/her own services or to take part in 

your Supportive Services Plan which 

must be designed to meet the individual 

needs of each resident. 

You must not require residents to 

accept any supportive services as a 

condition of occupancy or admission. 

(6) Delinquent Federal Debt. Refer to 

the General Section for information 

regarding delinquent federal debt. 

3. Program Requirements. By signing 

Form HUD–92016–CA, Supportive 

Housing for Persons with Disabilities 

Section 811, Application for Capital 

Advance Summary Information, you are 

certifying that you will comply with the 

program requirements listed in the 

General Section as well as the following 

requirements: 

a. Statutory and Regulatory 

Requirements. In addition to the 

statutory, regulatory, threshold and 

public policy requirements listed in the 

General Section, you must comply with 

all statutory and regulatory 

requirements listed in this NOFA. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11725 

b. Project Size Limits. 

(1) Independent living project. The 

minimum number of units for persons 

with disabilities that can be applied for 

in one application is five units for 

persons with disabilities. All of the 

units are not required to be in one 

structure and they may be on scattered 

sites. The maximum number of persons 

with disabilities that can be housed in 

an independent living project on one or 

adjacent sites is 14 plus one additional 

one-or two-bedroom unit for a resident 

manager, if necessary. If the proposed 

independent living project will be 

located on a site already containing 

housing for persons with disabilities or 

on an adjacent site containing such 

housing, the total number of persons 

with disabilities housed in both the 

existing and the proposed project 

cannot exceed 14. 

(2) Exception to project size limit for 

an independent living project. If you are 

submitting an application for an 

independent living project with site 

control, you may request an exception 

to the above project size limit by 

providing the information required in 

Exhibit 4(d)(xi) of Section IV.B. below 

NOFA. 

(3) Group home. The minimum 

number of persons with disabilities that 

can reside in a group home is two, and 

the maximum number is six. There are 

no exceptions to the maximum project 

size limit for a group home. An 

additional one-bedroom unit can be 

provided for a resident manager. Only 

one person per bedroom is allowed, 

unless two residents choose to share one 

bedroom or a resident determines he/ 

she needs another person to share his/ 

her bedroom. If you are applying for 

more than one group home, they cannot 

be located on the same or adjacent sites. 

(4) Condominium Units. 

Condominium units are treated the 

same as units in an independent living 

project except that you cannot request 

an additional condominium unit for a 

resident manager. 

c. Minimum Capital Investment. If 

selected, you must provide a minimum 

capital investment of one-half of one 

percent of the HUD-approved capital 

advance amount, not to exceed a 

maximum of $10,000 in accordance 

with 24 CFR 891.145. 

d. Accessibility. Your project must 

meet accessibility requirements 

published at 24 CFR 891.120, 24 CFR 

891.310 and Section 504 of the 

Rehabilitation Act of 1973, and, if new 

construction, the design and 

construction requirements of the Fair 

Housing Act and HUD’s implementing 

regulations at 24 CFR part 100. In 

addition, 24 CFR 8.4(b)(5) prohibits the 

selection of a site or location which has 

the purpose or effect of excluding 

persons with disabilities from the 

Federally assisted program or activity. 

Refer to Section V.A. below and the 

General Section for information 

regarding the policy priority of 

encouraging accessible design. 

e. Conducting Business in Accordance 

With Core Values and Ethical 

Standards. You are not subject to the 

requirements of 24 CFR parts 84 and 85 

as outlined in the General Section 

except for the disposition of real 

property, which may be subject to 24 

CFR Part 84. However, you are still 

subject to the core values and ethical 

standards as they relate to the conflict 

of interest provisions in 24 CFR 

891.130. To ensure compliance with the 

program’s conflict of interest provisions, 

you are required to sign a Conflict of 

Interest Resolution and include it in 

your Section 811 application. Further, if 

awarded a Section 811 fund reservation, 

the officers, directors, board members, 

trustees, stockholders and authorized 

agents of the Section 811 Sponsor and 

Owner entities will be required to 

submit to HUD individual certifications 

regarding compliance with HUD’s 

conflict of interest requirements. 

f. National Environmental Policy Act. 

You must comply with the National 

Environmental Policy Act of 1969 

(NEPA) (42 U.S.C. 4321) and applicable 

related environmental authorities at 24 

CFR 50.4, HUD’s programmatic 

implementing regulations at 24 CFR part 

50 and 24 CFR 891.155(b), especially, 

but not limited to, the provision of 

information to HUD at 24 CFR 50.31(b), 

and you must comply with any 

environmental ‘‘conditions and 

safeguards’’ at 24 CFR 50.3(c). 

Under 24 CFR Part 50, HUD has the 

responsibility for conducting the 

environmental reviews. HUD will 

commence the environmental review of 

your project upon receipt of your 

completed application. However, HUD 

cannot approve any site for which you 

have site control unless it first 

completes the environmental review 

and finds that the site(s) meets its 

environmental requirements. In rare 

cases where HUD is not able to 

complete the environmental review, it is 

due to a complex environmental issue 

that could not be resolved during the 

time period allocated for application 

processing. Thus, if you submit an 

application with evidence of site 

control, HUD requires you to attempt to 

obtain comments from the State/Tribal 

Historic Preservation Officer (see 

Exhibit 4(d)(ix) of Section IV.B. below) 

to help HUD complete the 

environmental review on time. It is also 

why HUD may contact you for 

additional environmental information. 

So that you can review the type of 

information that HUD needs for its 

preparation of the environmental 

review, the type of information requests 

that HUD may make to you, and the 

criteria that HUD uses to determine the 

environmental acceptability of a site, 

you are invited to go to the following 

Web site to view the HUD form 4128, 

including the Sample Field Notes 

Checklist, which HUD uses to record the 

environmental review: www.hud.gov/ 

utilities/intercept.cfm?/offices/cpd/ 

energyenviron/environment/ 

compliance/forms/4128.pdf. 

g. Lead-Based Paint. You must 

comply with the requirements of the 

Lead-Based Paint Poisoning Prevention 

Act (42 U.S.C. 4821–4846) and 

implementing regulations at 24 CFR part 

35. 

h. Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects. Refer to 

the General Section. 

i. Fair Housing Requirements. Refer to 

the General Section. 

j. Economic Opportunities for Low 

and Very Low-Income Persons (Section 

3). You must comply with Section 3 of 

the Housing and Urban Development 

Act of 1968, U.S.C. 1701u (Economic 

Opportunities for Low and Very LowIncome Persons) and its implementation 

regulations at 24 CFR part 135. You 

must ensure that training, employment 

and other economic opportunities shall, 

to the greatest extent feasible, be 

directed toward low and very lowincome persons, particularly those who 

are recipients of government assistance 

for housing and to business concerns 

which provide economic opportunities 

to low and very-low income persons in 

the area in which the proposed project 

will be located. To comply with Section 

3 requirements you are hereby certifying 

that you will strongly encourage your 

general contractor and subcontractors to 

participate in local apprenticeship 

programs or training programs 

registered or certified by the Department 

of Labor’s Office of Apprenticeship, 

Training, Employer and Labor Services 

or recognized State Apprenticeship 

Agency. Although not a NOFA 

requirement, you are nonetheless 

encouraged to submit with your 

application a description on how you 

plan to incorporate the Section 3 

requirements into your proposed project 

with goals for expanding training and 

employment opportunities for low and 

very low-income (Section 3) residents as 


rwilkins on PROD1PC63 with NOTICES_2
11726 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

well as business concerns. You will 

receive up to two (2) points if you 

provide a description of your plans for 

doing so under Exhibit 3(m) of this 

program NOFA 

k. Design and Cost Standards. You 

must comply with HUD’s Section 811 

project design and cost standards (24 

CFR 891.120 and 891.310), the Uniform 

Federal Accessibility Standards (24 CFR 

40.7), Section 504 of the Rehabilitation 

Act of 1973 and HUD’s implementing 

regulations at 24 CFR part 8, and for 

covered multifamily dwellings designed 

and constructed for first occupancy after 

March 13, 1991, the design and 

construction requirements of the Fair 

Housing Act and HUD’s implementing 

regulations at 24 CFR part 100, and, 

where applicable, the Americans with 

Disabilities Act of 1990. 

l. Energy Efficiency. HUD has adopted 

a wide-ranging energy action plan for 

improving energy efficiency in all 

program areas. As a first step in 

implementing the energy plan, HUD, the 

Environmental Protection Agency (EPA) 

and the Department of Energy (DOE) 

have signed a joint partnership to 

promote energy efficiency in HUD’s 

affordable housing efforts and programs. 

The purpose of the Energy Star 

partnership is not only to promote 

energy efficiency of the affordable 

housing stock, but also to help protect 

the environment. Although it is not a 

requirement, you are nonetheless 

encouraged to promote energy efficiency 

in design and operations and your 

application will receive one (1) point if 

you describe your plans for doing so in 

the proposed project. You are especially 

urged to purchase and use Energy Starlabeled products. For further 

information about Energy Star, see 

http://www.energystar.gov or call 888–

STAR–YES (1–888–782–7937) or for the 

hearing-impaired, 888–588–9920 TTY. 

m. Formation of Owner Corporation. 

You must form an ‘‘Owner’’ entity (in 

accordance with 24 CFR 891.305) after 

issuance of the capital advance fund 

reservation and must cause the Owner 

entity to file a request for determination 

of eligibility and a request for capital 

advance, and must provide sufficient 

resources to the Owner entity to ensure 

the development and long-term 

operation of the project, including 

capitalizing the Owner entity at firm 

commitment processing in an amount 

sufficient to meet its obligations in 

connection with the project over and 

above the capital advance amount. n. 

Davis-Bacon. You must comply with the 

Davis-Bacon Requirements (42 U.S.C. 

8013(j)(6)) and the Contract Work Hours 

and Safety Standards Act in accordance 

with 24 CFR 891.155(d). 

IV. Application and Submission 

Information 

A. Address to Request Application 

Package. Applicants are required to 

submit an electronic application unless 

they receive a waiver of the requirement 

in accordance with the procedures in 

Section IV.C. of this NOFA. See the 

General Section for information on 

electronic application submission and 

timely submission and receipt 

requirements. Copies of the General 

Section, this NOFA, the required forms, 

and other related documents are 

available and may be downloaded from 

the Grants.gov Web site at http:/ 

www.grants.gov/applicants/ 

apply_for_grants.jsp. Search for the 

program using the CFDA Number, 

Competition ID OR Funding 

Opportunity Number. If you have 

difficulty accessing the information, you 

may call the Grants.gov Support Desk 

toll free @ 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

See the General Section for information 

regarding the registration process or ask 

for registration information from the 

Grants.gov Support Desk. 

You may request general information, 

copies of the General Section and this 

NOFA (including related documents), 

and required forms from the NOFA 

Information Center (800–HUD–8929) 

Monday through Friday, except on 

federal holidays. Persons with hearing 

or speech impairments may access this 

number via TTY by calling the Federal 

Information Relay Service at (800) 877–

8339. When requesting information, 

please refer to the name of the program 

you are interested in. 

B. Content and Form of Application 

Submission. The exhibits to be included 

in your application are contained in the 

body of this NOFA below. Before 

preparing your application, you should 

carefully review the requirements of the 

regulations (24 CFR Part 891) and 

general program instructions in 

Handbook 4571.2, Section 811 Capital 

Advance Program for Housing Persons 

with Disabilities. Note: Section 1001 of 

Title 18 of the United States Code 

(Criminal Code and Criminal Procedure, 

72 Stat. 967) applies to all information 

supplied in the application submission. 

(18 U.S.C. 1001, among other things, 

provides that whoever knowingly and 

willfully makes or uses a document or 

writing containing any false, fictitious, 

fraudulent statement or entry, in any 

matter within the jurisdiction of any 

department or agency of the United 

States, shall be fined not more than 

$10,000 or imprisoned for not more than 

five years, or both.) 

The Application for a Section 811 

Capital Advance consists of four parts 

with a total of eight Exhibits. Included 

with the eight Exhibits are prescribed 

forms, certifications and resolutions. 

The components of the Application are: 

• Part 1—Application Form for 

Section 811 Supportive Housing—

Capital Advance (Exhibit 1). 

• Part 2—Your Ability to Develop and 

Operate the Proposed Project (Exhibits 2 

and 3). 

• Part 3—The Need for Supportive 

Housing for the Target Population in the 

Area to be Served, Site Control and/or 

Identification of Site, Suitability of Site, 

Adequacy of the Provision of 

Supportive Services and of the Proposed 

Project (Exhibits 4 and 5). 

• Part 4—General Application 

Requirements, Certifications and 

Resolutions (Exhibits 6 through 8). 

The following additional information, 

which may assist you in preparing your 

application, is available on HUD’s Web 

site at http://www.hud.gov/offices/adm/ 

grants/fundsavail.cfm: 

• Listing of Local HUD Offices 

• Letter Requesting SHPO/THPO 

Review 

• Choosing an Environmentally Safe 

Site 

• Supplemental to Choosing an 

Environmentally Safe Site 

Your application must include all of 

the information, materials, forms, and 

exhibits listed below (unless you were 

selected for a Section 811 fund 

reservation within the last three funding 

cycles). If you qualify for this exception, 

you are not required to submit the 

information described in Exhibit 2(a), 

(b), and (c), which are the articles of 

incorporation (or other organizational 

documents), by-laws, and the IRS tax 

exemption, respectively. If there has 

been a change in any of these 

documents since your previous HUD 

approval, you must submit the updated 

information in your application. The 

local HUD office will verify your 

previous HUD approval by checking the 

project number and approval status with 

the appropriate local HUD office based 

on information submitted. 

In addition to this relief of paperwork 

burden in preparing applications, you 

are able to use information and exhibits 

previously prepared for prior 

applications under Section 811, Section 

202, or other funding programs. 

Examples of exhibits that may be readily 

adapted or amended to decrease the 

burden of application preparation 

include, among others, those on 

previous participation in the Section 

202 or Section 811 programs, your 

experience in the provision of housing 

and services, supportive services plans, 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11727 

community ties, and experience serving 

minorities. 

For programmatic information, you 

MUST contact the appropriate local 

HUD office about the submission of 

applications within the jurisdiction of 

that office. A listing of the local HUD 

offices is available on HUD’s Web site 

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

grants/fundsavail.cfm. 

Please submit your application using 

the following format provided in this 

NOFA. For applications to be submitted 

electronically in which you have 

created files to be attached to the 

electronic application, you should 

number the pages of the attached file 

and include a header that identifies the 

exhibit that it relates to. Please be sure 

to follow the file labeling and file format 

instructions in the General Section. 

For applicants that received a waiver 

of the electronic application submission 

requirement, you must number the 

pages of each file, narratives and other 

attached files. Include the name of your 

organization and your DUNS number, 

and the exhibit number that you are 

responding to on the header of each 

document. 

1. Table of Contents 

a. Part I—Application Form 

(1) Exhibit 1: Form HUD–92016-CA 

Application for Capital Advance Summary 

Information. 

b. Part II—Ability to Develop/Operate Project 

(1) Exhibit 2: Legal Status. 

(a) Organizational Documents. 

(b) By-Laws. 

(c) IRS Tax Exemption Ruling. 

(d) Number of board members. 

(2) Exhibit 3: Purpose/Community Ties/ 

Experience. 

(a) Purpose(s), current activities, etc. 

(b) Community ties, description of area. 

(c) Other Funding Sources. 

(d) Letters of support. 

(e) Housing/Services experience. 

(f) Involvement of target population. 

(g) Practical solutions. 

(h) Project Development Timeline. 

(i) How project will remain viable: 

(i) If services are depleted; 

(ii) If State-funded services change; and 

(iii) If need for project changes. 

(j) Coordination with other organizations. 

(k) Consultation with Continuum of Care 

organizations. 

(l) Form HUD–27300, America’s Affordable 

Communities Initiative/Removal of 

Regulatory Barriers (HUD Communities 

Initiative Form on Grants.gov), with 

supporting documentation. 

(m) Section 3 requirements. 

c. Part III—Need for Housing, Site 

Requirements, Proposed Services 

(1) Exhibit 4: Project Information. 

(a) Evidence of need for project. 

(b) Benefit to population/community. 

(c) Narrative project description: 

(i) Building design; 

(ii) Energy efficiency features; and 

(iii) Mixed-financing for additional units. 

(d) Site control and zoning; 

(i) Site control documents; 

(ii) Freedom of site from restrictions; 

(iii) Zoning requirements; 

(iv) URA site notification requirements; 

(v) Topographical/demographical 

description of site/area and opportunities for 

minorities; 

(vi) Racial composition/map of site; 

(vii) Phase I ESA; 

(viii) Asbestos Statement/Survey; 

(ix) SHPO/THPO requirements; 

(x) Willingness to seek alternate site; and 

(xi) Exception to project size limit: 

(A) Preference/acceptance of people with 

disabilities to live in proposed housing; 

(B) Increase number of people; 

(C) Compatibility of project; 

(D) Increased number will not prohibit 

integration in community; 

(E) Project marketability; 

(F) Consistency of project size with State/ 

local policies; and 

(G) Willingness to accept project size limit. 

(e) Site identification: 

(i) Site location; 

(ii) Steps to identify site/activities to obtain 

site control; 

(iii) Whether site is properly zoned; 

(iv) Status of sale of site; and 

(v) Whether site involves relocation. 

(2) Exhibit 5: Supportive Services Plan. 

(a) Description of occupancy. 

(b) Request to limit occupancy: 

(i) Population to which occupancy will be 

limited; 

(ii) Why necessary to limit occupancy: 

(A) Achievement of Section 811 goals; 

(B) Why unable to meet housing/services 

needs in an integrated setting; 

(iii) Housing/Services experience; 

(iv) Assurance of integrating occupants in 

neighborhood/community. 

(c) Services needs of proposed population. 

(d) Community services providers with 

letters of intent. 

(e) Service providers’ capabilities/ 

experience. 

(f) State/local agency involvement in 

project. 

(g) Your commitment to make services 

available or coordinate their availability. 

(h) Employment opportunities for 

residents. 

(i) Whether a manager’s unit will be 

included. 

(j) Statement that occupancy will not be 

conditioned on resident’s acceptance of 

supportive services. 

d. Part IV—Requirements/Certifications/ 

Resolutions 

(1) Exhibit 6: Other Applications. 

(a) FY07 Sections 202/811 applications to 

other Offices. 

(b) Information on FY06 and prior years’

Sections 202/811 applications. 

(2) Exhibit 7: Required information on: 

(a) All property occupants; 

(b) Relocation costs/services; 

(c) Staff to carry out relocation; 

(d) Occupant move-outs within past 12 

months. 

(3) Exhibit 8: Forms/Certifications/ 

Resolutions. 

(a) SF–424, Application for Federal 

Assistance. 

(b) SF–424 Supplement, ‘‘Survey on 

Ensuring Equal Opportunities for 

Applicants’’ (Faith Based EEO Survey (SF–

424 SUPP) on Grants.gov). 

(c) SF–LLL, Disclosure of Lobbying 

Activities. 

(d) HUD–2880, ‘‘Applicant/Recipient 

Disclosure/Update Report’’ (HUD Applicant/ 

Recipient Disclosure Report on Grants.gov). 

(e) HUD–2991, Certification of Consistency 

with the Consolidated Plan. 

(f) HUD–92041, Sponsor’s Conflict of 

Interest Resolution. 

(g) HUD–92042, Sponsor’s Resolution for 

Commit to Project. 

(h) HUD–2990, Certification of Consistency 

with the RC/EZ/EC-II Strategic Plan (if 

applicable). 

(i) HUD–92043, Certification for Provision 

of Supportive Services. 

(j) HUD–96010, Program Outcome Logic 

Model. 

(k) HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(Facsimile Transmittal Form on Grants.gov). 

This is to be used as the cover page for faxing 

third party information for electronic 

applications only. See the General Section. 

(l) HUD–2994–A, You are Our Client! 

Grant Applicant Survey. 

2. Programmatic Applications 

Requirements 

a. Part I—Application Form for Section 

811 Supportive Housing—Capital 

Advance 

Exhibit 1—Form HUD–92016–CA, 

Supportive Housing for Persons with 

Disabilities Section 811 Application for 

Capital Advance Summary Information. 

A copy of this form is available in the 

instructions download at http:// 

www.grants.gov/applicants/apply_for_

grants.jsp. 

b. Part II—Your Ability To Develop and 

Operate the Proposed Project 

(1) Exhibit 2—Evidence of your legal 

status (i.e., evidence of your status as a 

nonprofit organization with 501(c)(3) 

IRS tax exemption). If another 

organization(s) is co-sponsoring the 

application with you, each Co-Sponsor 

must also submit the following: 

(a) Articles of incorporation, 

constitution, or other organizational 

documents 

(b) By-laws 

(c) IRS tax exemption ruling (this 

must be submitted by all Sponsors, 

including churches) 

Note: Based on a HUD review of your 

articles of incorporation, constitution, or 

other organizational documents, HUD must 

determine, among other things, that (1) you 

are an eligible nonprofit entity with a 

501(c)(3) IRS tax exemption status, (2) your 

corporate purposes are sufficiently broad to 


rwilkins on PROD1PC63 with NOTICES_2
11728 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

provide you the legal authority to sponsor the 

proposed project for the disabled, to assist 

the Owner, and to apply for a capital 

advance, (3) no part of the Sponsor’s net 

earnings inures to the benefit of any private 

party, and (4) that you are not controlled by 

or under the direction of persons seeking to 

derive profit or gain therefrom. [Exception: If 

you received a Section 811 fund reservation 

within the last three funding cycles, you are 

not required to submit the documents 

described in (a), (b), and (c) above. Instead, 

submit the project number of the latest 

application and the local HUD office to 

which it was submitted. If there have been 

any modifications or additions to the subject 

documents, indicate such, and submit the 

new material.] 

(d) The number of people on your 

board and the number of board members 

who have disabilities. 

(2) Exhibit 3—Your purpose, community 

ties, and experience 

(a) A description of your purpose(s), 

current activities, including your ability 

to enlist volunteers and raise private 

and local funds, and how long you have 

been in existence. 

(b) A description of your ties to the 

community in which your project will 

be located and to the minority and 

disability communities in particular, 

including a description of the specific 

geographic area(s) in which you have 

served. 

(c) A description of other funding 

sources for the project (including 

financial assistance, donation of land, 

provision of services, etc.). 

(d) Letters of support for your 

organization and for the proposed 

project from organizations familiar with 

the housing and supportive services 

needs of the target population (e.g., the 

local center for independent living, the 

Statewide Independent Living Council) 

that you expect to serve in the proposed 

project. 

(e) A description of your housing and/ 

or supportive services experience. The 

description should include any rental 

housing projects (including any 

integrated housing developments) and/ 

or supportive services facilities that you 

sponsored, own and/or operate, your 

past or current involvement in any 

programs other than housing that 

demonstrates your management 

capabilities (including financial 

management) and experience, your 

experience in serving the target 

population (persons with disabilities 

and minorities); and the reasons for 

receiving any increases in fund 

reservations for developing and/or 

operating previously funded Section 

202 or Section 811 projects. The 

description should include data on the 

facilities and services provided, the 

racial/ethnic composition of the 

populations served, if available, and 

information and testimonials from 

residents or community leaders on the 

quality of the activities. Examples of 

activities that could be described 

include housing counseling, nutrition 

and food services, special housing 

referral, screening and information 

projects. 

(f) A description of your efforts to 

involve members of the target 

population (persons with disabilities 

including minority persons with 

disabilities and persons with disabilities 

similar to those of the prospective 

residents) in the development of the 

application as well as your intent to 

involve the target population in the 

development and operation of the 

project. 

(g) A description of the practical 

solutions you will implement which 

will enable residents of your project to 

achieve independent living and 

economic empowerment. In addition, 

describe the educational opportunities 

you will provide for the residents and 

how you will provide them. This 

description should include the activities 

you will undertake to improve computer 

access, literacy and employment 

opportunities (e.g., provide programs 

that can teach residents how to use 

computers to become educated as well 

as achieve economic self-sufficiency 

through job training and placement). 

And, finally, describe how your 

proposed project will be an improved 

living environment for the residents 

when compared to their previous place 

of residence. 

(h) Describe your plan for completing 

the proposed project. Include a project 

development timeline which lists the 

major development stages for the project 

with associated dates that must be met 

in order to get the project to initial 

closing and start of construction within 

the 18-month fund reservation period as 

well as the full completion of the 

project, including final closing. 

Completion of Exhibit 8(j), Logic Model, 

will assist you in completing your 

response to this Exhibit. 

(i) Describe how you will ensure that 

your proposed project will remain 

viable as housing with the availability of 

supportive services for the target 

population for the 40-year capital 

advance period. This description should 

address the measures you would take 

should any of the following occur: 

(i) funding for any of the needed 

supportive services becomes depleted; 

(ii) if, for any state-funded services for 

your project, the state changes its policy 

regarding the provision of supportive 

services to projects such as the one you 

propose; or 

(iii) if the need for housing for the 

population you will be serving wanes 

over time, causing vacancies in your 

project. 

(j) A description of the steps you took 

to coordinate your application with 

other organizations (e.g., the local center 

for independent living) that will not be 

directly involved in your project but 

with which you share common goals 

and objectives, to complement and/or 

support the proposed project so that the 

project will provide a comprehensive 

and holistic solution to the needs of 

persons with disabilities. 

(k) A description of your efforts to 

consult with Continuum of Care 

organizations in the community where 

the project will be located about the 

ways you can assist persons with 

disabilities who are chronically 

homeless as defined in the General 

Section. 

(l) A description of the successful 

efforts the jurisdiction in which your 

project will be located has taken in 

removing regulatory barriers to 

affordable housing. To obtain up to 2 

points for this policy priority, you must 

complete the optional Form HUD–

27300, ‘‘Questionnaire for HUD’s 

Initiative on Removal of Regulatory 

Barriers’’ AND provide the necessary 

URL references or submit the 

documentary evidence. This exhibit is 

optional, but to obtain up to 2 points for 

this policy priority, you must submit 

this information using Form HUD–

27300 and contact information. When 

providing documents in support of your 

responses to the questions on the form, 

please provide the applicant name and 

project name and whether you were 

responding under column A or B, then 

identify the number of the question and 

the URL or document name and attach 

using the attachment function at the end 

of the electronic form. This exhibit will 

be used to rate your application under 

Rating Factor 3(j). 

(m) A description on how you plan to 

incorporate the Section 3 requirements 

into your proposed project with goals 

for expanding training and employment 

opportunities for low and very lowincome (Section 3) persons as well as 

business concerns in the area in which 

the proposed project will be located. 

This exhibit is optional, but to obtain up 

to 2 points for this policy priority, you 

must submit this exhibit and adequately 

address your plans to provide 

opportunities to train and employ low 

and very low-income residents of the 

project area and award substantial 

contracts to persons residing in the 

project area. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11729 

c. Part III—The Need for Supportive 

Housing for the Target Population, Site 

Control and/or Identification of Site 

and Suitability of Site, Adequacy of 

The Provision of Supportive Services 

and of The Proposed Project 

(1) EXHIBIT 4—Need and Project 

Information 

(a) Evidence of need for supportive 

housing. Include a description of the 

proposed population and evidence 

demonstrating sustained effective 

demand for supportive housing for the 

proposed population in the market area 

to be served, taking into consideration 

the occupancy and vacancy conditions 

in existing comparable subsidized 

housing for persons with disabilities, 

state or local needs assessments of 

persons with disabilities in the area, the 

types of supportive services 

arrangements currently available in the 

area, and the use of such services as 

evidenced by data from local social 

service agencies. Also, a description of 

how information in the community’s or 

(where applicable) the State’s 

Consolidated Plan, Analysis of 

Impediments to Fair Housing Choice 

(AI) or other planning document that 

analyzes fair housing issues was used in 

documenting the need for the project. 

(b) A description of how the proposed 

project will benefit the target population 

and the community in which it will be 

located. 

(c) Description of the project. 

(i) Narrative description of the 

building(s) including the number and 

type of structure(s), number of units 

with bedroom distribution if 

independent living units including 

dwelling units in multifamily housing 

developments, condominiums and 

cooperatives, number of bedrooms if 

group home, number of residents with 

disabilities, and any resident manager 

per structure; identification of all 

commercial and community spaces, 

amenities or features planned for the 

housing and a description of how the 

spaces, amenities, or features will be 

used, and the extent to which they are 

necessary to accommodate the needs of 

the proposed residents. A narrative 

description of the building design (both 

interior and exterior), including any 

special design features, as well as any 

features that incorporate visitability 

standards and universal design. Also 

include a description of how the design 

of the proposed project will facilitate 

the integration of the residents into the 

surrounding community and promote 

the ability of the residents to live as 

independently as possible. 

Note: If the community spaces, amenities, 

or features do not comply with the project 

design and cost standards of 24 CFR 891.120 

(a) and (c), the special project standards of 24 

CFR 891.310 (a), and the limitations on 

bedroom sizes as required by paragraph 1–

11.E.2.a of HUD Handbook 4571.2 REV–1, 

you must demonstrate your ability and 

willingness to contribute both the 

incremental development cost and 

continuing operating cost associated with the 

community spaces, amenities, or features. 

(ii) Describe whether and how the 

project will promote energy efficiency 

(in accordance with the requirements 

set forth in Section III.C.3.l. of this 

NOFA), including any plans to 

incorporate energy efficiency features in 

the operation of the project through the 

use of Energy Star labeled products and 

appliances and, if applicable, innovative 

construction or rehabilitation methods 

or technologies to be used that will 

promote efficient construction. 

(iii) For site control applications, if 

you are proposing to develop a mixedfinance project by developing additional 

units (i.e., in addition to the 811 units), 

a description of any plans and actions 

you have taken to create such a mixedfinance project with the use of Section 

811 capital advance funds, in 

combination with other funding 

sources. Provide the number of nonSection 811 units to be included in the 

mixed-finance project (also provide the 

number of additional units in the 

appropriate space on Form HUD–

92016–CA). Also, provide copies of any 

letters you have sent seeking outside 

funding for the non-Section 811 units 

and any responses thereto. You must 

also demonstrate your ability to proceed 

with the development of a Section 811 

project that will not involve mixedfinancing, as proposed in your 

application, in the event you are later 

unable to obtain the necessary outside 

funding or HUD disapproves your 

proposal for a mixed-finance project for 

additional non-Section 811 units for 

persons with disabilities. 

Notes: (1) A proposal to develop a mixedfinance project for additional units must 

occur at the application for fund reservation 

stage. You cannot decide after selection that 

you want to do a mixed-finance project for 

additional units. (2) Section 811 capital 

advance amendment money will not be 

approved for projects proposing mixedfinancing. (3) If approved for a reservation of 

capital advance funds, you will be required 

to submit with your Firm Commitment 

Application, the additional documents 

required by HUD for mixed-finance 

proposals. (4) A mixed-finance project does 

not include the development of a mixed-use 

project in which the Section 811 units are 

mortgaged separately from the other uses of 

the structure. (5) For a Section 811 mixedfinance project, the additional units cannot 

cause the project to exceed the project size 

limit for the type of project proposed, unless 

you request and receive HUD approval to 

exceed the project size limit if the project 

will be an independent living project (See 

IV.B.2.c.(1)(d)(xi)) or the additional units will 

house people who do not have a disability. 

(d) Evidence of site control and 

permissive zoning. 

Note: If you are applying for Section 811 

funding without control of any or all of your 

proposed sites, you must provide the 

information under (e), Identification of a Site, 

below for any site you are submitting without 

evidence of control of that site. 

(i) Acceptable evidence of site control 

is limited to any one of the following: 

(A) Deed or long-term leasehold 

which evidences that you have title to 

or a leasehold interest in the site. If a 

leasehold, the term of the lease must be 

50 years with renewable provisions for 

25 years except for sites on Indian trust 

land, in which case, the term of the 

lease must be at least 50 years with no 

requirements for extensions; 

(B) Contract of sale for the site that is 

free of any limitations affecting the 

ability of the seller to deliver ownership 

to you after you receive and accept a 

notice of Section 811 capital advance. 

(The only condition for closing on the 

sale can be your receipt and acceptance 

of the capital advance.) The contract of 

sale cannot require closing earlier than 

the Section 811 closing; 

(C) Option to purchase or for a longterm leasehold, which must remain in 

effect for six months from the date on 

which the applications are due, must 

state a firm price binding on the seller, 

and be renewable at the end of the sixmonth period. The only condition on 

which the option may be terminated is 

if you are not awarded a fund 

reservation; 

(D) If the site is covered by a mortgage 

under a HUD program, (e.g., a 

previously funded Section 202 or 

Section 811 project or an FHA-insured 

mortgage) you must submit evidence of 

site control as described above AND 

evidence that consent to release the site 

from the mortgage has been obtained or 

has been requested from HUD (all 

required information in order for a 

decision on the request for a partial 

release of security must have been 

submitted to the local HUD office) and 

from the mortgagee, if other than HUD. 

Approval to release the site from the 

mortgage must be done before the local 

HUD office makes its selection 

recommendations to HUD Headquarters. 

Refer to Chapter 16 of HUD Handbook 

4350.1 Rev–1, Multifamily Asset 

Management and Project Servicing, for 

instructions on submitting requests to 

the local HUD Office for partial release 


rwilkins on PROD1PC63 with NOTICES_2
11730 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

of security from a mortgage under a 

HUD program; or 

(E) For sites to be acquired from a 

public body, evidence is needed that the 

public body possesses clear title to the 

site and has entered into a legally 

binding agreement to lease or convey 

the site to you after you receive and 

accept a notice of Section 811 capital 

advance. Where HUD determines that 

time constraints of the funding round 

will not permit you to obtain all of the 

required official actions (e.g., approval 

of Community of Planning Boards) that 

are necessary to convey publicly-owned 

sites, you may include in your 

application a letter from the mayor or 

director of the appropriate local agency 

indicating that conveyance or leasing of 

the site is acceptable without imposition 

of additional covenants or restrictions, 

and only contingent on the necessary 

approval action. Such a letter of 

commitment will be considered 

sufficient evidence of site control. 

(ii) Whether you have title to the site, 

a contract of sale, an option to purchase, 

or are acquiring a site from a public 

body, you must provide evidence (a 

current title policy or other acceptable 

evidence) that the site is free of any 

limitations, restrictions, or reverters 

which could adversely affect the use of 

the site for the proposed project for the 

40-year capital advance period under 

HUD’s regulations and requirements 

(e.g., reversion to seller if title is 

transferred). If the title evidence 

contains restrictions or covenants, 

copies of the restrictions or covenants 

must be submitted with the application. 

If the site is subject to any such 

limitations, restrictions, or reverters, the 

site will be rejected and the application 

will be considered a ‘‘site identified’’

application. Purchase money mortgages 

that will be satisfied from capital 

advance funds are not considered to be 

limitations or restrictions that would 

adversely affect the use of the site. If the 

contract of sale or option agreement 

contains provisions that allow a 

Sponsor not to purchase the property for 

reasons such as environmental 

problems, failure of the site to pass 

inspection, or the appraisal is less than 

the purchase price, then such provisions 

are not objectionable and a Sponsor is 

allowed to terminate the contract of sale 

or the option agreement. 

Note: A proposed project site may not be 

acquired or optioned from a general 

contractor (or its affiliate) that will construct 

the Section 811 project or from any other 

development team member. 

(iii) Evidence that the project, as 

proposed, is permissible under 

applicable zoning ordinances or 

regulations, or a statement of the 

proposed action required to make the 

proposed project permissible AND the 

basis for the belief that the proposed 

action will be completed successfully 

before the submission of the firm 

commitment application (e.g., a 

summary of the results of any requests 

for rezoning and/or the procedures for 

obtaining special or conditional use 

permits on land in similar zoning 

classifications and the time required for 

such rezoning, or preliminary 

indications of acceptability from zoning 

bodies, etc.). 

Note: You should be aware that under 

certain circumstances the Fair Housing Act 

requires localities to make reasonable 

accommodations to their zoning ordinances 

or regulations to offer persons with 

disabilities an opportunity to live in an area 

of their choice. If you are relying upon a 

theory of reasonable accommodation to 

satisfy the zoning requirement, then you 

must clearly articulate the basis for your 

reasonable accommodation theory. 

(iv) Evidence of compliance with the 

URA requirement that the seller has 

been provided, in writing, with the 

required information regarding a 

voluntary, arm’s length purchase 

transaction (i.e., (1) applicant does not 

have the power of eminent domain and, 

therefore, will not acquire the property 

if negotiations fail to result in an 

amicable agreement, and (2) of the 

estimate of the fair market value of the 

property). 

Note: A certification for this requirement is 

not sufficient. Evidence must be submitted to 

meet this requirement. This information 

should have been provided before making the 

purchase offer. However, in those cases 

where there is an existing option or contract, 

the seller must be provided the opportunity 

to withdraw from the agreement or 

transaction, without penalty, after this 

information is provided. 

(v) Narrative describing topographical 

and demographic aspects of the site, the 

suitability of the site and area (as well 

as a description of the characteristics of 

the neighborhood), how use of the site 

will promote greater housing 

opportunities for minority persons with 

disabilities, and how use of the site will 

affirmatively further fair housing. 

Note: You can best demonstrate your 

commitment to affirmatively furthering fair 

housing by describing how your proposed 

activities will assist the jurisdiction in 

overcoming impediments to fair housing 

choice identified in the applicable 

jurisdiction’s Analysis of Impediments (AI) 

to Fair Housing Choice, which is a 

component of the jurisdiction’s Consolidated 

Plan or any other planning document that 

addresses fair housing issues. The applicable 

Consolidated Plan and AI may be the 

community’s, the county’s, or the state’s, to 

which input should have been provided by 

local community organizations, agencies in 

the community and residents of the 

community. Alternatively, a document that 

addresses fair housing issues and remedies to 

barriers to fair housing in the community that 

was previously prepared by a local planning, 

or similar organization, may be used. 

Applicable impediments could include a lack 

of units that are accessible to persons with 

disabilities, a lack of transportation services 

or other assistance that would serve persons 

with disabilities, or the need for improved 

quality and services for all persons with 

disabilities. 

(vi) A map showing the location of the 

site, the racial composition of the 

neighborhood, and any areas of racial 

concentration. 

Note: For this competition, when 

determining the racial and ethnic 

composition of the neighborhood 

surrounding the proposed site, use data from 

the 2000 Census of Population. Data from the 

2000 Census may be found at 

www.factfinder.census.gov/servlet/ 

BasicFactsServlet. 

(vii) A Phase I Environmental Site 

Assessment (ESA), in accordance with 

the ASTM Standard E 1527–05, as 

amended, using the table of contents 

and report format specified at Appendix 

X4 thereto and completed or updated as 

specified at Section 4.6 thereto, must be 

completed and submitted with the 

application. In order for the Phase I ESA 

to be acceptable, it must have been 

completed or updated no earlier than 

180 days prior to the application 

deadline date. Therefore, it is important 

to start the site assessment process as 

soon after the publication of the NOFA 

as possible. 

Note: A Phase I ESA that is not properly 

updated, does not use the format specified at 

Appendix X4 of ASTM Standard E 1527–05, 

or that is prepared in accordance with an 

older version of ASTM E 1527 will result in 

a technical rejection of your application. 

If the Phase I ESA indicates possible 

presence of contamination and/or 

hazards, you must decide whether to 

continue with this site or choose 

another site. Should you choose another 

site, the same Phase I ESA process 

identified above must be followed for 

the new site. If you choose to continue 

with the original site on which the 

Phase I ESA indicated contamination or 

hazards, you must undertake a detailed 

Phase II ESA by an appropriate 

professional. If the Phase II Assessment 

reveals site contamination, you must 

submit the extent of the contamination 

and a plan for clean-up of the site 

including a contract for remediation of 

the problem(s) and an approval letter 

from the applicable federal, state and/or 

local agency with jurisdiction over the 

site to the local HUD office. The Phase 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11731 

II ESA and any necessary plans for 

clean-up do not have to be submitted 

with the application but must be 

received in the local HUD office by June 

25, 2007. If it is not received by that 

date, the site will be rejected and the 

application will be placed in Category B 

for selection purposes. 

Note: You must pay for the cost of any 

clean-up or remediation which can be very 

expensive. [See Note at Section 

III.C.2.b.(3)(d)(iii)] 

(viii) If you submit an application 

with evidence of site control, you must 

submit one of the following: 

(A) If there are no pre-1978 structures 

on the site or if there are pre-1978 

structures that most recently consisted 

of solely four or fewer units of singlefamily housing including appurtenant 

structures thereto, a statement to this 

effect, or 

(B) If there are pre-1978 structures on 

the site other than for a site that most 

recently consisted of solely four or 

fewer units of single-family housing 

including appurtenant structures 

thereto, a comprehensive building 

asbestos survey that is based on a 

thorough inspection to identify the 

location and condition of asbestos 

throughout any structures. 

Note: In those cases where suspect asbestos 

is found, it would either be assumed to be 

asbestos or would require confirmatory 

testing. If the asbestos report indicates the 

presence of asbestos, or the presence of 

asbestos is assumed, and if the application is 

approved, HUD will condition the approval 

on an appropriate mix of asbestos abatement 

and an asbestos Operations and Maintenance 

Plan. 

(ix) Letter to State/Tribal Historic 

Preservation Officer (SHPO/THPO) and 

a statement that SHPO/THPO failed to 

respond to you OR a copy of the 

response letter received from SHPO/ 

THPO. 

(x) A statement that you are willing to 

seek a different site if the preferred site 

is not approvable and that site control 

will be obtained within six months of 

notification of fund reservation. 

(xi) If an exception to the project size 

limits is being requested, describe why 

the site was selected and demonstrate 

the following: (Only for applications for 

independent living projects and 

condominium units [not group homes] 

with site control) 

(A) People with disabilities have 

indicated their acceptance or preference 

to live in housing with as many units/ 

people as proposed for the project. 

(B) The increased number of units/ 

people is warranted by the market 

conditions in the area in which the 

project will be located. 

(C) Your project is compatible with 

other residential development and the 

population density of the area in which 

the project is to be located. 

(D) The increased number of people 

will not prohibit their successful 

integration into the community. 

(E) The project is marketable in the 

community. 

(F) The size of the project is 

consistent with state and/or local 

policies governing similar housing for 

the proposed population. 

(G) A statement that you are willing 

to have your application processed at 

the project size limit should HUD not 

approve the exception. 

(e) Identification of a Site. If you have 

identified a site, but do not have it 

under control, you must submit the 

following information: 

Note: If an application is submitted 

without evidence of site control and does not 

provide a specific street address for the 

identified site(s) (e.g., only an indication that 

the project will be developed in a particular 

part of town but a site(s) has not been 

chosen) the application will be rejected. 

(i) A description of the location of the 

site, including its street address or block 

and lot number(s), its unit number (if 

condominium), neighborhood/ 

community characteristics (to include 

racial and ethnic data), amenities, 

adjacent housing and/or facilities, how 

the site will promote greater housing 

opportunities for minority persons with 

disabilities and affirmatively further fair 

housing. You can best demonstrate your 

commitment to affirmatively furthering 

fair housing by describing how your 

proposed activities will assist the 

jurisdiction in overcoming impediments 

to fair housing choice identified in the 

community’s AI or any other planning 

document that addresses fair housing 

issues. Examples of the applicable 

impediments include the need for 

improved housing quality and services 

for minority persons with disabilities 

and the need for quality services for 

persons with disabilities within the type 

and quality of similar services and 

housing in minority areas. 

(ii) A description of the activities 

undertaken to identify the site, as well 

as what actions must be taken to obtain 

control of the site, if approved for 

funding. 

(iii) An indication as to whether the 

site is properly zoned. If it is not, an 

indication of the actions necessary for 

proper zoning and whether these can be 

accomplished within six months of fund 

reservation award, if approved for 

funding. 

(iv) A status of the sale of the site. 

(v) An indication as to whether the 

site would involve relocation. 

(2) EXHIBIT 5—Supportive Services 

Plan 

Note: Your supportive services plan and 

the Supportive Services Certification (Exhibit 

8(i)) must be sent to the appropriate state or 

local agency (identified by the local HUD 

office) far enough in advance of the 

application deadline date so that the agency 

can review the plan, complete the 

certification and return both to you for 

inclusion in your application to HUD. 

(a) A detailed description of whether 

the housing is expected to serve persons 

with physical disabilities, 

developmental disabilities, or chronic 

mental illness or any combination of the 

three. Include how and from whom/ 

where persons will be referred and 

admitted for occupancy in the project. 

You may, with the approval of the 

Secretary, restrict occupancy within 

housing developed under this NOFA to 

a subcategory of one of the three main 

categories of disability noted above (e.g., 

AIDS is a subcategory of physical 

disability). However, the Owner must 

permit occupancy by any qualified 

person with a disability that qualifies 

under the applicable main category of 

disability. 

(b) If requesting approval to restrict 

occupancy, also submit the following: 

(i) A description of the population of 

persons with disabilities to which 

occupancy will be limited. 

(ii) An explanation of why it is 

necessary to restrict occupancy of the 

proposed project(s) to the population 

described in (i) above, including the 

following: 

(A) An explanation of how restricting 

occupancy to a subcategory of persons 

with disabilities promotes the goals of 

the Section 811 program. 

(B) An explanation of why the 

housing and/or service needs of this 

population cannot be met in a more 

integrated setting. 

(iii) A description of your experience 

in providing housing and/or supportive 

services to proposed occupants. 

(iv) A description of how you will 

ensure that occupants of the proposed 

project will be integrated into the 

neighborhood and community. 

(c) A detailed description of the 

supportive service needs of the persons 

with disabilities that the housing is 

expected to serve. 

(d) A list of community service 

providers, (including consumercontrolled providers), including letters 

of intent to provide services to proposed 

residents from as many potential 

providers as possible. 

(e) The evidence of each service 

provider’s capability and experience in 

providing such supportive services 


rwilkins on PROD1PC63 with NOTICES_2
11732 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

(even if you will be the service 

provider). 

(f) Identification of the extent of state 

and/or local agency involvement in the 

project (i.e., funding for the provision of 

supportive services, referral of residents, 

or licensing the project). If there will be 

any state or local agency involvement, a 

description of the state/local agency’s 

philosophy/policy concerning housing 

for the population to be served and a 

demonstration that your application is 

consistent with state and/or local 

agency plans and policies governing the 

development and operation of housing 

for persons with disabilities. 

(g) If you will be making any 

supportive services available to the 

residents or will be coordinating the 

availability of any supportive services, a 

letter providing: 

(i) A description of the supportive 

services that you will make available to 

the residents or, if you will be 

coordinating the availability of any 

supportive services, a description of the 

supportive service(s) and how the 

coordination will be implemented; 

(ii) An assurance that any supportive 

services that you will make available to 

the residents will be based on their 

individual needs; and 

(iii) A commitment to make the 

supportive services available or 

coordinate their availability for the life 

of the project. 

(h) A description of how the residents 

will be afforded opportunities for 

employment. 

(i) An indication as to whether the 

project will include a unit for a resident 

manager. 

(j) A statement that you will not 

condition admission or occupancy on 

the resident’s acceptance of any 

supportive services. 

d. Part IV–General Application 

Requirements, Certifications and 

Resolutions 

(1) EXHIBIT 6: Other Applications 

(a) A list of the applications, if any, 

you are submitting to any other local 

HUD office in response to the FY 2007 

Section 202 or Section 811 NOFA. 

Indicate by local HUD office, the 

proposed location by city and state and 

the number of units requested for each 

application. 

(b) Include a list of all FY2006 and 

prior years Section 202 and Section 811 

capital advance projects to which you 

are a party. Identify each by project 

number and local HUD office and 

include the following information: 

(i) Whether the project has initially 

closed and, if so, when; 

(ii) If the project was older than 24 

months when it initially closed (specify 

how old) or if older than 24 months now 

(specify how old) and has not initially 

closed, provide the reasons for the delay 

in closing; 

(iii) Whether amendment money was 

or will be needed for any project in (ii) 

above; including the amount of the 

amendment money and, 

(iv) Those projects which have not 

been finally closed. 

(2) EXHIBIT 7: A statement that: 

(applicable to applications with site 

control only) 

Note: For site identified projects, exhibit 7 

must be submitted once site control is 

obtained. 

(a) Identifies all persons (families, 

individuals, businesses and nonprofit 

organizations) by race/minority group, 

and status as owners or tenants 

occupying the property on the date of 

submission of the application for a 

capital advance. 

(b) Indicates the estimated cost of 

relocation payments and other services. 

(c) Identifies the staff organization 

that will carry out the relocation 

activities. 

(d) Identifies all persons who were 

required to move from the site within 

the past 12 months. 

Note: If any of the relocation costs will be 

funded from sources other than the section 

811 capital advance, you must provide 

evidence of a firm commitment of these 

funds. When evaluating applications, hud 

will consider the total cost of proposals (i.e., 

cost of site acquisition, relocation, 

construction and other project costs). 

(3) EXHIBIT 8: Certifications and 

Resolutions 

You are required to submit completed 

copies of the following forms which are 

included either in the General Section 

or with this NOFA and copies of the 

forms are available in the instructions 

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

applicants/apply_for_grants.jsp. 

(a) Standard Form 424—Application 

for Federal Assistance, including a 

DUNS number, an indication of whether 

you are delinquent on any federal debt, 

and compliance with Executive Order 

12372 (a certification that you have 

submitted a copy of your application, if 

required, to the State agency (Single 

Point of Contact) for state review in 

accordance with Executive Order 

12372). If required by the State’s Single 

Point of Contact (SPOC), a copy of your 

application needs to be submitted to the 

SPOC before the application deadline 

date, but in no event later than the 

application deadline date. Refer to the 

General Section and Section IV.D. of 

this program NOFA to find out if your 

State has a SPOC and additional 

information on compliance with 

Executive Order 12372. 

Note: For Section 811 program purposes, 

item 12, Areas Affected by Project, of SF–

424, provide the names of the City, County 

and State where the project will be located 

(not the largest political entities as indicated 

on the instructions page of SF–424). 

(b) Standard Form 424 Supplement, 

Survey on Ensuring Equal Opportunity 

for Applicants (‘‘Faith Based EEO 

Survey (SF–424 SUPP)’’ on Grants.gov). 

Although the information on this form 

will not be considered in making 

funding decisions, it will assist the 

federal government in ensuring that all 

qualified applicants have an equal 

opportunity to compete for federal 

funding. 

(c) Standard Form LLL—Disclosure of 

Lobbying Activities (if applicable). A 

disclosure of activities conducted to 

influence any federal transactions. 

(d) Form HUD–2880, Applicant/ 

Recipient Disclosure/Update Report 

(‘‘HUD Applicant Recipient Disclosure 

Report’’ on Grants.gov), including Social 

Security and Employee Identification 

Numbers. A disclosure of assistance 

from other government sources received 

in connection with the project. 

(e) Form HUD–2991, Certification of 

Consistency with the Consolidated Plan 

(Plan), for the jurisdiction in which the 

proposed project will be located. The 

certification must be made by the unit 

of general local government if it is 

required to have, or has, a complete 

Plan. Otherwise, the certification may 

be made by the state, or by the unit of 

general local government if the project 

will be located within the jurisdiction of 

the unit of general local government 

authorized to use an abbreviated 

strategy, and if it is willing to prepare 

such a Plan. All certifications must be 

made by a public official responsible for 

submitting the Plan to HUD. The 

certifications must be submitted as part 

of the application by the application 

submission deadline date set forth in 

this NOFA. The Plan regulations are 

published in 24 CFR part 91. 

(f) Form HUD–92041, Sponsor’s 

Conflict of Interest Resolution. A 

certified Board Resolution that no 

officer or director of the Sponsor or 

Owner has or will have any financial 

interest in any contract with the Owner 

or in any firm or corporation that has or 

will have a contract with the Owner, 

including a current listing of all duly 

qualified and sitting officers and 

directors by title and the beginning and 

ending dates of each person’s term. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11733 

(g) Form HUD–92042, Sponsor’s 

Resolution for Commitment to Project. 

A certified Board Resolution 

acknowledging responsibilities of 

sponsorship, long-term support of the 

project(s), your willingness to assist the 

Owner to develop, own, manage and 

provide appropriate services in 

connection with the proposed project, 

and that it reflects the will of your 

membership. Also, it shall indicate your 

willingness to fund the estimated startup expenses, the Minimum Capital 

Investment (one-half of one-percent of 

the HUD-approved capital advance, not 

to exceed $10,000), and the estimated 

cost of any amenities or features (and 

operating costs related thereto) that 

would not be covered by the approved 

capital advance. 

(h) Form HUD–2990, Certification of 

Consistency with the RC/EZ/EC 

Strategic Plan. A certification that the 

project is consistent with the RC/EZ/ 

EC–IIs strategic plan, is located within 

the RC/EZ/EC–II, and serves RC/EZ/EC–

II residents. (This certification is not 

required if the project site(s) will not be 

located in an RC/EZ/EC–II.) A copy of 

the RC/EZ/EC–II Certification form is 

contained in the online application; and 

(i) Form HUD–92043, Certification for 

Provision of Supportive Services. A 

certification from the appropriate state 

or local agency (identified in the 

application or obtained from the local 

HUD office), indicating whether the: 

(i) Provision of supportive services is 

well designed to serve the needs of 

persons with disabilities the housing is 

expected to serve; 

(ii) The provision of supportive 

services will enhance independent 

living success and promote the dignity 

of those who will access your proposed 

project; 

(iii) Supportive services will be 

available on a consistent, long-term 

basis; and 

(iv) Proposed housing is consistent 

with state or local plans and policies 

addressing the housing needs of people 

with disabilities if the state or local 

agency will provide funding for the 

provision of supportive services, refer 

residents to the project or license the 

project. (The name, address, and 

telephone number of the appropriate 

agency can also be obtained from the 

appropriate local HUD Office.) 

(j) Form HUD–96010, Program 

Outcome Logic Model. In addition to 

the Project Development Timeline to be 

submitted in Exhibit 3(h) above, the 

information provided in the Logic 

Model will be used in rating your 

application for Rating Factor 5, 

Achieving Results and Program 

Evaluation. 

(k) Form HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) to be used for faxing third 

party letters and other documents for 

your electronic applications in 

accordance with the instructions in the 

General Section. 

Note: HUD will not accept entire 

applications by fax. If you submit the 

application entirely by fax, it will be 

disqualified. 

(l) Form HUD–2994–A, You Are Our 

Client Grant Applicant Survey. This is 

an optional form that may be used to 

provide suggestions and comments to 

the Department regarding your 

application submission experience. 

C. Submission Dates and Time. Your 

application must be received and 

validated electronically by Grants.gov 

no later than 11:59:59 PM eastern time 

on the application deadline date, unless 

a waiver of the electronic delivery 

process has been approved by HUD in 

accordance with the following 

procedures. Applicants that are unable 

to submit their application 

electronically must seek a waiver of the 

electronic grant submission 

requirement. Waiver requests must be 

submitted by mail or by fax. For this 

program NOFA, e-mail requests will not 

be considered. Waiver requests 

submitted by mail or fax should be 

submitted on the applicant’s letterhead 

and signed by an official with the legal 

authority to request a waiver from the 

Department. The request must be 

addressed to the Assistant Secretary for 

Housing at the following address: Brian 

D. Montgomery, Assistant Secretary for 

Housing—Federal Housing 

Commissioner, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 9100, Washington, 

DC 20410–8000. Waiver requests 

submitted by fax must be sent to (202) 

708–3104. Applicants that are granted a 

waiver of the electronic submission 

requirement will not be afforded 

additional time to submit their 

applications. Therefore, submit your 

waiver requests to the above address no 

later than 15 days before the application 

deadline date. If a waiver is granted, you 

must submit the required number of 

copies and the application must be 

received by the application deadline 

date. Your approval of the waiver 

request will provide instructions on the 

number of copies and where to submit 

the application. 

D. Intergovernmental Review 

1. State Review. This funding 

opportunity is subject to Executive 

Order (EO) 12372, ‘‘Intergovernmental 

Review of Federal Programs.’’ You must 

contact your State’s Single Point of 

Contact (SPOC) to find out about and 

comply with the state’s process under 

EO 12372. The names and addresses of 

the SPOCs are listed in the Office of 

Management and Budget’s Web site at 

http://www.whitehouse.gov/omb/grants/ 

spoc.html. If required by the state, the 

submission to the state needs to occur 

before the Section 811 application 

deadline date, but in no event later than 

the application deadline date. It is 

recommended that you provide the state 

with sufficient time to review the 

application. Therefore, it is important 

that you consult with the SPOC for state 

review time frames and take that into 

account when submitting the 

application. If the SPOC requires a 

review of your application, you must 

include a copy of the cover letter you 

sent to the SPOC in Exhibit 8(a) of your 

Section 811 application. 

2. HUD/RHS Agreement. HUD and the 

Rural Housing Service (RHS) have an 

agreement to coordinate the 

administration of the agencies’

respective rental assistance programs. 

As a result, HUD is required to notify 

RHS of applications for housing 

assistance it receives. This notification 

gives RHS the opportunity to comment 

if it has concerns about the demand for 

additional assisted housing and possible 

harm to existing projects in the same 

housing market area. HUD will consider 

RHS comments in its review and 

application selection process. 

E. Funding Restrictions 

1. Ineligible Activities. Section 811 

funds may not be used for any of the 

following: 

a. Supportive Services 

b. Housing that you currently own or 

lease that has been occupied by people 

with disabilities for longer than one year 

prior to the application deadline date; 

c. Nursing homes, infirmaries and 

medical facilities; 

d. Transitional housing; 

e. Mobile homes; 

f. Intermediate care facilities; 

g. Assisted living facilities; 

h. Community centers, with or 

without special components for use by 

persons with disabilities; 

i. Sheltered workshops and centers for 

persons with disabilities; 

j. Headquarters for organizations for 

persons with disabilities; and 

k. Refinancing of Sponsor-owned 

facilities without rehabilitation. 

Note: You may propose to rehabilitate an 

existing currently-owned or leased structure 

(if the structure already serves persons with 

disabilities, it cannot have operated as 

housing for persons with disabilities for 


rwilkins on PROD1PC63 with NOTICES_2
11734 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

longer than one year prior to the application 

deadline date); however, the refinancing of 

any federally funded or assisted project or 

project insured or guaranteed by a federal 

agency is not permissible under this Section 

811 NOFA. HUD does not consider it 

appropriate to utilize scarce program 

resources to refinance projects that have 

already received some form of assistance 

under a federal program or that have been 

operating as housing for persons with 

disabilities for longer than one year prior to 

the application deadline date. (For example, 

Section 202, Section 202/8 or Section 202/ 

PAC direct loan projects cannot be 

refinanced with capital advances and project 

rental assistance.) 

2. Application Limits (Units/Projects). 

A Sponsor or Co-Sponsor may not apply 

for more than 70 units of housing or 4 

projects (whichever is less) for persons 

with disabilities in a single Hub or more 

than 10 percent of the total units 

allocated to all local HUD offices. 

Affiliated entities (organizations that are 

branches or offshoots of a parent 

organization) that submit separate 

applications are considered a single 

entity for the purpose of these limits. In 

addition, no single application may 

propose more units in a given local 

HUD office than allocated for the 

Section 811 program in that local HUD 

office. If the proposed project will be an 

independent living project, your 

application must request at least five 

units for persons with disabilities, not 

necessarily in one structure. If your 

proposed project will be a group home, 

you must request at least two units for 

persons with disabilities per group 

home. If your proposed project will be 

a combination of an independent living 

project and a group home, your 

application must request at least the 

minimum number of units for each 

project type (i.e., 5 units for an 

independent living project and 2 units 

for a group home). 

3. Development Cost Limits 

a. The following development cost 

limits, adjusted by locality as described 

in Section IV.E.3.b. below must be used 

to determine the capital advance 

amount reserved for projects for persons 

with disabilities. 

Note: The capital advance funds awarded 

for this project are to be considered the total 

amount of funds that the Department will 

provide for the development of this project. 

Amendment funds will only be provided in 

exceptional circumstances (e.g., to cover 

increased costs for construction delays due to 

litigation or unforeseen environmental issues 

resulting in a change of sites) that are clearly 

beyond your control. If amendment funds are 

not approved, you are responsible for any 

costs over and above the capital advance 

amount provided by the Department as well 

as any costs associated with any excess 

amenities and design features. 

(1) For independent living projects 

and dwelling units in multifamily 

housing developments, condominium 

and cooperative housing: The capital 

advance amount for the project 

attributable to dwelling use (less the 

incremental development cost and the 

capitalized operating costs associated 

with any excess amenities and design 

features and other costs you must pay 

for) may not exceed: 

Non-elevator structures: 

$45,507 per family unit without a 

bedroom 

$52,470 per family unit with one 

bedroom 

$63,279 per family unit with two 

bedrooms 

$80,998 per family unit with three 

bedrooms 

$90,235 per family unit with four 

bedrooms 

For elevator structures: 

$47,890 per family unit without a 

bedroom 

$54,897 per family unit with one 

bedroom 

$66,755 per family unit with two 

bedrooms 

$86,358 per family unit with three 

bedrooms 

$94,795 per family unit with four 

bedrooms 

(2) For group homes only (the 

development cost limits are capped by 

type of occupancy and number of 

person with disabilities): 

TYPE OF DISABILITY

Residents Physical/developmental 

Chronic mental illness 

2 ................ $172,303 $166,325 

3 ................ 185,287 178,860 

4 ................ 198,273 189,995 

5 ................ 211,257 201,130 

6 ................ 224,228 212,265 

(3) These cost limits reflect those 

costs reasonable and necessary to 

develop a project of modest design that 

complies with HUD minimum property 

standards; the minimum group home 

requirements of 24 CFR 891.310(a) (if 

applicable); the accessibility 

requirements of 24 CFR 891.120(b) and 

891.310(b); and the project design and 

cost standards of 24 CFR 891.120. 

b. Increased development cost limits. 

(1) HUD may increase the 

development cost limits set forth above, 

by up to 140 percent in any geographic 

area where the cost levels require, and 

may increase the development cost 

limits by up to 160 percent on a projectby-project basis. This increase may 

include covering additional costs to 

make dwelling units accessible through 

rehabilitation. 

Note: In applying the applicable high cost 

percentage, the local HUD office may use a 

percentage that is higher or lower than that 

which is assigned to the local HUD office if 

it is needed to provide a capital advance 

amount that is comparable to what it 

typically costs to develop a Section 811 

project in that area. 

(2) If HUD finds that high 

construction costs in Alaska, Guam, the 

Virgin Islands or Hawaii make it 

unfeasible to construct dwellings, 

without the sacrifice of sound standards 

of construction, design, and livability, 

within the development cost limits 

provided in Section IV.E.3.a.(1) and 

IV.E.3.b.(1) above, the amount of capital 

advances may be increased to 

compensate for such costs. The increase 

may not exceed the limits established 

under this section (including any high 

cost area adjustment) by more than 50 

percent. 

(3) For group homes only, local HUD 

offices may approve increases in the 

development cost limits in Section 

IV.E.3.a.(2), above, in areas where you 

can provide sufficient documentation 

that high land costs limit or prohibit 

project feasibility. An example of 

acceptable documentation is evidence of 

at least three land sales that have 

actually taken place (listed prices for 

land are not acceptable) within the last 

two years in the area where your project 

is to be built. The average cost of the 

documented sales must exceed ten 

percent of the development cost limit 

for your project in order for an increase 

to be considered. 

4. Commercial Facilities. A 

commercial facility for the benefit of the 

residents may be located and operated 

in the Section 811 project. However, the 

commercial facility cannot be funded 

with the use of Section 811 capital 

advance or PRAC funds. The maximum 

amount of space permitted for a 

commercial facility cannot exceed 10 

percent of the total project cost. An 

exception to this 10 percent limitation 

is if the project involves acquisition or 

rehabilitation and the additional space 

was incorporated in the existing 

structure at the time the proposal was 

submitted to HUD. Commercial facilities 

are considered public accommodations 

under Title III of the Americans with 

Disabilities Act of 1990 (ADA), and thus 

must comply with all the accessibility 

requirements of the ADA. 

5. Expiration of Section 811 Funds. 

The Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007), requires 

HUD to obligate all Section 811 funds 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11735 

appropriated for FY2007 by September 

30, 2010. Under 31 U.S.C. 1551, no 

funds can be disbursed from this 

account after September 30, 2015. 

Under Section 811, obligation of funds 

occurs for both capital advances and 

project rental assistance upon fund 

reservation and acceptance. If all funds 

are not disbursed by HUD and expended 

by the project Owner by September 30, 

2015, the funds, even though obligated, 

will expire and no further 

disbursements can be made from this 

account. In submitting an application, 

you need to carefully consider whether 

your proposed project can be completed 

through final capital advance closing no 

later than September 30, 2015. 

Furthermore, all unexpended balances, 

including any remaining balance on 

PRAC contracts, will be cancelled as of 

October 1, 2015. Amounts needed to 

maintain PRAC payments for any 

remaining term on the affected contracts 

beyond that date will have to be funded 

from other current appropriations. 

F. Other Submission Requirements 

1. Address for Submitting 

Applications. Applications must be 

submitted electronically through the 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp Web site, unless 

the applicant receives a waiver from the 

electronic submission requirement. See 

the General Section, Application 

Submission and Receipt Procedures and 

Section IV.C. of this NOFA for 

additional information. Refer to HUD’s 

Web site at http://www.hud.gov/offices/ 

adm/grants/fundsavail.cfm for a listing 

of local HUD offices. All applications 

submitted electronically via http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp will be 

downloaded and forwarded to the 

appropriate local HUD office. 

2. For Section 811 applications that 

have more than one applicant, i.e. CoSponsors. The applicants must 

designate a single individual to act as 

the authorized representative for all CoSponsors of the application. The 

designated authorized representative of 

the organization submitting the 

application must be registered with 

Grants.gov, the Federal Central 

Contractor Registry and with the 

credential provider for EAuthentication. Information on the 

Grants.gov registration process is found 

in Section IV.B. of the General Section. 

When the application is submitted 

through Grants.gov, the name of the 

designated authorized representative 

will be inserted into the signature line 

of the application. Please note that the 

designated authorized representative 

must be able to make legally binding 

commitments for each Co-Sponsor to 

the application. 

Each Co-Sponsor must complete the 

documents required of all co-sponsoring 

organizations to permit HUD to make a 

determination on the eligibility of the 

Co-Sponsor(s) has pledged to the 

project. Therefore, each Co-Sponsor 

must submit the following information 

using the scanning and/or faxing 

method described in Section IV. of the 

General Section: Standard Form 424, 

Application for Federal Assistance; 

Standard Form 424 Supplement, Survey 

for Ensuring Equal Opportunity for 

Applicants; Standard Form LLL, 

Disclosure of Lobbying Activities (if 

applicable); Form HUD–92016–CA, 

Section 811 Application for Capital 

Advance, Summary Information; Form 

HUD–92041, Sponsor’s Conflict of 

Interest Resolution; Form HUD–92042, 

and Sponsor’s Resolution for 

Commitment to Project. The forms 

identified above are discussed in the 

Program instructions package and can 

be downloaded from http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. The downloaded 

and completed forms should be saved as 

separate electronic files and attached to 

the electronic application submission 

following the requirements of Section 

IV. 

As stated in Section IV of the General 

Section, scanning documents to create 

electronic files increases the size of the 

file. Therefore, applicants may not 

submit scanned files unless using the 

facsimile method as stated in the 

General Section. If the facsimile method 

does not work, forms and other 

documents from Co-Sponsors may be 

scanned to create an electronic file and 

submitted as an attachment to the 

application. These documents should be 

labeled and numbered so the HUD 

reviewer can identify the file and its 

contents. If the applicant is creating an 

electronic file, the file should contain a 

header that identifies the name of the 

Sponsor submitting the electronic 

application, that Sponsor’s DUNS 

Number, and the unique ID that is found 

at the top of the Facsimile Transmission 

form found in the electronic application 

package. The naming convention for 

each electronic file should correspond 

to the labeling convention used in the 

application Table of Contents found in 

Section IV.B.1. of this NOFA. For 

example, the organizational documents 

of a Co-Sponsor would be included 

under Part II, Exhibit 2(a) of the Section 

811 application. 

The signed documents and other 

information required to be submitted 

with the electronic application should 

be transmitted via fax, using Form 

HUD–96011, Facsimile Transmittal as 

the cover page to the facsimile. The 

Form HUD–96011 is found in the 

electronic application package. CoSponsors should use the Form HUD–

96011 provided by the Sponsor that is 

submitting the electronic application. 

The submitting Sponsor should fill in 

the SF 424 form prior to giving the Form 

96011 to the Co-Sponsors. By following 

these directions, the Form HUD–96011 

will be pre-populated with the 

submitting Sponsor’s organizational 

information exactly as the submitting 

Sponsor has provided it on the 

electronic application. In addition, HUD 

will be using the unique identifier 

associated to the downloaded 

application package as a means of 

matching the faxes submitted with 

applications received via Grants.gov. 

The Facsimile Transmittal form also has 

space to provide the number of pages 

being faxed and information on the type 

of document. Co-Sponsors or the 

submitting applicant can insert the 

document name in the space provided 

labeled Program Component and should 

ensure that the form that is used is the 

cover sheet to the facsimile transmittal. 

Do not insert any additional or other 

cover pages as it will cause problems in 

electronically matching the pieces of the 

application. 

V. Application Review Information 

A. Criteria 

Policy Priorities. HUD encourages 

applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

and which help the Department achieve 

its strategic goals for FY2007. Refer to 

the General Section for information 

regarding HUD’s Strategic Goals and 

Policy Priorities. For the Section 811 

program, applicants who include work 

activities that specifically address the 

policy priorities of encouraging 

accessible design features by 

incorporating visitability standards and 

universal design, ending chronic 

homelessness, removing barriers to 

affordable housing, promoting energy 

efficiency in design and operations, and 

expanding training and employment 

opportunities for low and very lowincome persons and business concerns 

(Section 3 requirements) will receive 

additional points. A Notice pertaining to 

the removal of barriers to affordable 

housing was published in the Federal 

Register and may be downloaded from 

the HUD Web site at http:// 

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

fundsavail.cfm. 

Rating Factors. HUD will rate 

applications that successfully complete 


rwilkins on PROD1PC63 with NOTICES_2
11736 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

technical processing using the Rating 

Factors set forth below and in 

accordance with the application 

submission requirements in this NOFA. 

The maximum number of points an 

application may receive under this 

program is 100 plus 2 bonus points. 

This includes two (2) RC/EZ/EC–II 

bonus points, as described in the 

General Section of the SuperNOFA and 

Section V.A.6 below. 

1. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (30 Points) 

This factor addresses the extent to 

which you have the organizational 

resources to successfully implement the 

proposed activities in a timely manner. 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Exhibits 

3(a), 3(b), 3(e), 5 and 6 of Section IV.B. 

of this NOFA. In rating this factor, HUD 

will consider the extent to which your 

application demonstrates your ability to 

develop and operate the proposed 

housing on a long-term basis, 

considering the following: 

a. (15 points) The scope, extent, and 

quality of your experience in providing 

housing or related services to those 

proposed to be served by the project and 

the scope of the proposed project (i.e., 

number of units, services, relocation 

costs, development, and operation) in 

relationship to your demonstrated 

development and management capacity 

as well as your financial management 

capability. 

b. (10 points) The scope, extent, and 

quality of your experience in providing 

housing or related services to minority 

persons or minority families and your 

ties to the community at large and to the 

minority and disability communities in 

particular. 

(1) (5 points) The scope, extent, and 

quality of your experience in providing 

housing or related services to minority 

persons or families. 

(2) (5 points) The scope, extent, and 

quality of your ties to the community at 

large and to the minority and disability 

communities in particular. 

To earn the maximum number of 

points under subcriteria (b)(1) above, 

you must describe significant previous 

experience in providing housing and/or 

supportive services to minorities 

generally and to minority persons with 

disabilities, in particular. For the 

purpose of this competition, ‘‘significant 

previous experience’’ means that the 

previous housing assistance or related 

services to minorities, i.e., the 

percentage of minorities being provided 

housing or related services in your 

current developments, was equal to or 

greater than the percentage of minorities 

in the housing market area where the 

previous housing or services occurred. 

To earn the maximum number of points 

under subcriteria (b)(2) above, you 

should submit materials that 

demonstrate your efforts to make 

housing available to the community at 

large and the minority and disability 

communities in particular and your 

relationships over time with the 

community, including the minority and 

disability communities. Examples of 

documents that may be submitted to 

earn the maximum number of points 

under subcriteria (b)(2), include letters 

of support from community leaders 

(including minority and disability 

community leaders) that give 

information about applicant’s 

relationship over time with the 

community (including the minority and 

disability community). You may also 

submit copies of your affirmative 

marketing plan and the advertising/ 

outreach materials you utilize to attract 

minority communities (including 

limited English proficient 

communities), disabled community and 

the community at large. Regarding your 

advertising/outreach materials, you 

should identify when advertising/ 

outreach materials are circulated, whom 

they are circulated to, where they are 

circulated, and how they are circulated. 

Descriptions of other advertising/ 

outreach efforts to the minority 

(including limited English proficient 

communities) and disabled 

communities and the dates and places 

of such advertising/outreach efforts 

should also be included. 

c. (¥3 to ¥5 points) HUD will deduct 

(except if the delay was beyond your 

control) 3 points if a fund reservation 

you received under either the Section 

811 program of Supportive Housing for 

Persons with Disabilities or the Section 

202 program of Supportive Housing for 

the Elderly in FY2002 or later has been 

extended beyond 24 months, 4 points if 

beyond 36 months, and 5 points if 

beyond 48 months. Examples of delays 

beyond your control include, but are not 

limited to, initial closing delays that are: 

(1) directly attributable to HUD, (2) 

directly attributable to third party 

opposition, including litigation, and (3) 

due to a disaster, as declared by the 

President of the United States. 

d. (¥3 to ¥5 points). HUD will 

deduct from 3 points to 5 points if HUD 

amendment money was required in 

connection with a fund reservation you 

received under either the Section 202 

Program of Supportive Housing for the 

Elderly or the Section 811 Program of 

Supportive Housing for Persons with 

Disabilities in FY 2002 or later based on 

the following. 

(1) (¥3 points). The amount of the 

amendment money required was 25 

percent or less of the original capital 

advance amount approved by HUD. 

(2) (¥4 points). The amount of the 

amendment money required was 

between 26 percent and 50 percent of 

the original capital advance amount 

approved by HUD. 

(3) (¥5 points). The amount of the 

amendment money required was over 

50 percent of the original capital 

advance amount approved by HUD. 

e. (5 points) You have experience in 

developing integrated housing and/or 

the proposed project will be an 

integrated housing model (applies to 

condominium units scattered within 

one or more buildings or noncontiguous independent living units on 

scattered sites only). 

2. Rating Factor 2: Need/Extent of the 

Problem (13 Points) 

This factor addresses the extent to 

which there is a need for funding the 

proposed activities to address a 

documented problem in the target area. 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Exhibits 

4(a) and 4(b) of Section IV.B. of this 

NOFA. HUD will consider the following 

in evaluating this factor: 

The extent of the need for the project 

in the area based on a determination by 

the local HUD office. In making this 

determination, HUD will consider your 

evidence of need in the area, as well as 

other economic, demographic, and 

housing market data available to the 

local HUD office. The data should 

include but is not limited to: 

• a general assessment of the current 

conditions in the market for the type of 

housing proposed, 

• an estimate of the demand for 

additional housing of the type proposed 

in the applicable housing market area, 

• information on the numbers and 

types of existing comparable Federally 

assisted housing units for persons with 

disabilities (HUD and RHS) and current 

occupancy in such housing and recent 

market experience, 

• comparable assisted housing for 

persons with disabilities under 

construction or for which fund 

reservations have been issued and, 

• In accordance with an agreement 

between HUD and RHS, comments from 

RHS on the demand for additional 

comparable subsidized housing and the 

possible harm to existing projects in the 

same housing market areas. 

The Department also will review more 

favorably those applications which 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11737 

establish a connection between the 

proposed project and the community’s 

Analysis of Impediments to Fair 

Housing Choice (AI) or other planning 

document that analyzes fair housing 

issues and is prepared by a local 

planning or similar organization. You 

must show how the proposed project 

will address an impediment to fair 

housing choice described in the AI or 

meet a need identified in the other type 

of planning document. 

In evaluating this factor, HUD will 

rate your application as follows: 

a. (10 points) If a determination has 

been made that there is sufficient 

sustainable long-term demand for 

additional supportive housing for 

persons with disabilities in the area to 

be served, the project is to be awarded 

10 points. If not, the project is to be 

awarded 0 points. No other point values 

are allowed under this subsection 

V.A.2.a. 

b. (3 points) The extent that a 

connection has been established 

between the project and the 

community’s Consolidated Plan, 

Analysis of Impediments to Fair 

Housing Choice (AI) or other planning 

document that analyzes fair housing 

issues and is prepared by a local 

planning or similar organization. 

3. Rating Factor 3: Soundness of 

Approach (40 Points) 

This factor addresses the quality and 

effectiveness of your proposal, the 

extent to which you involved persons 

with disabilities, including minority 

persons with disabilities, in the 

development of the application and will 

involve them in the development and 

operation of the project, the extent to 

which you coordinated your application 

with other organizations, including 

local independent living centers, with 

which you share common goals and 

objectives and are working toward 

meeting these objectives in a holistic 

and comprehensive manner, whether 

you consulted with Continuum of Care 

organizations to address efforts to assist 

persons with disabilities who are 

chronically homeless as defined in the 

General Section, whether the 

jurisdiction in which your project will 

be located has undertaken successful 

efforts to remove regulatory barriers to 

affordable housing, whether you will 

promote energy efficiency in the design 

and operation of the proposed housing, 

and your plans to expand economic 

opportunities for low and very lowincome persons as well as certain 

business concerns (Section 3). There 

must be a clear relationship between the 

proposed design, the proposed 

activities, the community’s needs and 

purposes of the program funding for 

your application to receive points for 

this factor. Submit information 

responding to this factor in accordance 

with Application Submission 

Requirements in Exhibits 2(d), 3(f), 3(j), 

3(k), 3(l), 3(m), 4(c)(i), 4(c)(ii), 4(d)(iii), 

4(d)(v), 4(d)(vi), 4(e)(i), and 5 of Section 

IV.B. of this NOFA. In evaluating this 

factor, HUD will consider the following: 

a. (14 points) Site approvability—The 

proximity or accessibility of the site to 

shopping, medical facilities, 

transportation, places of worship, 

recreational facilities, places of 

employment, and other necessary 

services to the intended occupants; 

adequacy of utilities and streets, and 

freedom of the site from adverse 

environmental conditions (based on site 

visit for site control projects only); and 

compliance with site and neighborhood 

standards in 24 CFR 891.125(a), (d), and 

(e) and 24 CFR 891.320. Sites where 

amenities are accessible other than by 

project residence or private vehicle will 

be rated more favorably; 

b. (¥1 point) One or more of your 

proposed sites is not permissively zoned 

for the intended use. 

c. (8 points) The suitability of the site 

from the standpoint of promoting a 

greater choice of housing opportunities 

for minorities and persons with 

disabilities and affirmatively furthering 

fair housing. In reviewing this criterion, 

HUD will assess whether the site meets 

the site and neighborhood standards at 

24 CFR 891.125(b) and (c) by examining 

relevant data in your application or in 

the local HUD office. If appropriate, 

HUD may visit the site. 

(1) The site will be deemed acceptable 

if it increases housing choice and 

opportunity by expanding housing 

opportunities in non-minority 

neighborhoods (if located in such a 

neighborhood). The term ‘‘non-minority 

area’’ is defined as one in which the 

minority population is lower than 10 

percent. If the site will be in a minority 

neighborhood, the site will be deemed 

acceptable if it contributes to the 

revitalization of and reinvestment in the 

minority neighborhood, including 

improvement of the level, quality and 

affordability of services furnished to 

minority persons with disabilities. You 

should refer to the Site and 

Neighborhood Standards provisions of 

the regulations governing the Section 

811 Supportive Housing Program (24 

CFR 891.125(b) and (c)) when 

considering sites for your projects. 

(2) For the purpose of this 

competition, the term ‘‘minority 

neighborhood (area of minority 

concentration)’’ is defined as one where 

any one of the following statistical 

conditions exists: 

(a) The neighborhood’s percentage of 

persons of a particular racial or ethnic 

minority is at least 20 percentage points 

higher than the percentage of that 

particular racial or ethnic minority in 

the housing market area; 

(b) The neighborhood’s total 

percentage of minority persons is at 

least 20 percentage points higher than 

the total percentage of minorities for the 

housing market area; or 

(c) In the case of a metropolitan area, 

the neighborhood’s total percentage of 

minority persons exceeds 50 percent of 

its population. 

d. (2 points) Site and Neighborhood 

Standards and Persons with Disabilities: 

The extent to which the proposed 

design of the project (exterior and 

interior) and its placement in the 

neighborhood will meet the individual 

needs of the residents and will facilitate 

their integration into the surrounding 

community and promote their ability to 

live as independently as possible. 

e. (1 point) The extent to which the 

proposed design incorporates 

visitability standards and universal 

design in the construction or 

rehabilitation of the project. Refer to the 

General Section for further information. 

f. (4 points) Your board is comprised 

of persons with disabilities. 

g. (3 points) You involved persons 

with disabilities (including minority 

persons with disabilities) in the 

development of the application, and 

will involve persons with disabilities 

(including minority persons with 

disabilities) in the development and 

operation of the project. 

h. (2 points) The extent to which you 

coordinated your application with other 

organizations (including local 

independent living centers; a list of 

such can be obtained from the local 

HUD office) that will not be directly 

participating in your project, but with 

which you share common goals and 

objectives and are working toward 

meeting these goals and objectives in a 

holistic and comprehensive manner. 

i. (1 point) You consulted with the 

Continuum of Care organizations in the 

community in which your proposed 

project will be located and have 

developed ways in which the proposed 

project will assist persons with 

disabilities who have been experiencing 

chronic homelessness become more 

productive members of society. Refer to 

the General Section for further 

information. 

j. (2 points) The extent to which the 

jurisdiction in which your project will 

be located has undertaken successful 

efforts to remove regulatory barriers to 


rwilkins on PROD1PC63 with NOTICES_2
11738 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

affordable housing. (Note: This is an 

optional requirement, but to receive up 

to 2 points, the applicant must have 

submitted the Form HUD–27300, 

Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers, AND 

provided some form of documentation 

where requested, including point of 

contact and URL references or 

submitted the required documentary 

evidence.) Refer to the General Section 

for further information. 

k. (1 point) The extent to which you 

will promote energy efficiency in the 

design and operation of the proposed 

housing. (Note: Optional, but to receive 

the 1 point, the applicant must have 

adequately addressed their plans to 

promote energy efficiency in the design 

and operation of the proposed project.) 

Refer to Section III.C.4 of this NOFA. 

l. (2 points). The extent to which you 

have described your plans for 

expanding economic opportunities for 

low and very low-income persons 

(provisions of Section 3). Note: This is 

an optional requirement, but to receive 

up to 2 points, the applicant must have 

adequately addressed the following in 

Exhibit 3(m) of the application. Refer to 

the General Section for further 

information. 

(1) (1 point). Provide opportunities to 

train and employ low and very lowincome residents of the project area. 

(2) (1 point). Award substantial 

contracts to persons residing in the 

project area. 

4. Rating Factor 4: Leveraging Resources 

(5 Points) 

This factor addresses your ability to 

secure other funding sources and 

community resources that can be 

combined with HUD’s program 

resources to achieve program purposes. 

Submit information responding to this 

factor in accordance with Application 

Submission Requirements in Exhibits 

3(a), 3(b), 3(c), 3(d), 3(e), and 5(f) of 

Section IV.B. of this NOFA. 

a. (0 point). The application contains 

general support and/or written evidence 

of firm commitments towards the 

development and operation of the 

proposed project (including, financial 

assistance, donation of land, provision 

of services, etc.) from other funding 

sources (e.g., private, local community, 

and government sources) where the 

dollar value totals 5% or less of the 

capital advance amount as determined 

by HUD. 

b. (1 point). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private local 

community and government sources) 

where the dollar value totals between 

6% and 10% of the capital advance 

amount as determined by HUD. 

c. (2 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private local 

community and government sources) 

where the dollar value totals between 

11% and 15% of the capital advance 

amount as determined by HUD. 

d. (3 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals between 

16% and 20% of the capital advance 

amount as determined by HUD. 

e. (4 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals between 

21% and 25% of the capital advance 

amount as determined by HUD. 

f. (5 points). The application contains 

written evidence of firm commitments 

towards the development and operation 

of the proposed project (including, 

financial assistance, donation of land, 

provision of services, etc.) from other 

funding sources (e.g., private, local 

community, and government sources) 

where the dollar value totals over 25% 

of the capital advance amount as 

determined by HUD. 

5. Rating Factor 5: Achieving Results 

and Program Evaluation (12 Points) 

This factor reflects HUD’s goal to 

embrace high standards of ethics, 

management and accountability and, as 

such, emphasizes HUD’s commitment to 

ensuring that you keep the promises 

made in your application. This factor 

requires that you clearly identify the 

benefits or outcomes of your project and 

develop an evaluation plan to measure 

performance, which includes what you 

are going to measure, how you are going 

to measure it, and the steps you will 

have in place to make adjustments to 

your project development timeline 

should you not be able to achieve any 

of the major milestones. Completion of 

Exhibit 8(j), Program Outcome Logic 

Model (HUD–96010), will assist you in 

completing your response to this rating 

factor. This rating factor also addresses 

the extent to which your project will 

implement practical solutions that 

result in residents achieving 

independent living, economic 

empowerment, educational 

opportunities and improved living 

environments. Finally, this factor 

addresses the extent to which the longterm viability of your project will be 

sustained for the duration of the 40-year 

capital advance period. Submit 

information responding to this factor in 

accordance with Application 

Submission Requirements in Exhibits 

3(e), 3(g), 3(h), 3(i), 6(b), and 8(j) of 

Section IV.B. of this NOFA. 

a. (5 points) The extent to which your 

project development timeline is 

indicative of your full understanding of 

the development process and will, 

therefore, result in the timely 

development of your project. 

b. (2 points) The extent to which your 

past performance evidences that the 

proposed project will result in the 

timely development of the project. 

Evidence of your past performances 

could include the development of 

previous construction projects, 

including but not limited to Section 202 

or Section 811 projects. 

c. (2 points) The extent to which your 

project will implement practical 

solutions that will result in assisting 

residents in achieving independent 

living, economic empowerment, 

educational opportunities, and 

improved living environments (e.g., 

activities that will improve computer 

access, literacy and employment 

opportunities). 

d. (3 points) The extent to which you 

demonstrated that your project will 

remain viable as housing with the 

availability of supportive services for 

very low income persons with 

disabilities for the 40-year capital 

advance period. 

6. Bonus Points (2 bonus points) 

Location of proposed site in an RC/EZ/ 

EC–II area, as described in the General 

Section. Submit the information 

responding to the bonus points in 

accordance with the Application 

Submission Requirements in Exhibit 

8(h) of Section IV.B. of this NOFA. 

B. Reviews and Selection Process 

1. Review for Curable Deficiencies. 

Upon receipt of the application by HUD 

staff, HUD will screen all applications to 

determine if there are any curable 

deficiencies. For applicants receiving a 

waiver to submit a paper application, 

submitting fewer than the required 

original and four copies of the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11739 

application is not a curable deficiency 

and will cause your application to be 

considered non-responsive to the NOFA 

and returned to you. A curable 

deficiency is a missing Exhibit or 

portion of an Exhibit that will not affect 

the rating of the application. Refer to the 

General Section for additional 

information regarding procedures for 

corrections to deficient applications. 

The following is a list of the only 

deficiencies that will be considered 

curable in a Section 811 application: 

Exhibit Description 

1 ........... Form 92016–CA (Application 

Form)* 

2(a) ....... Articles of Incorporation* 

2(b) ....... By-laws* 

2(c) ....... IRS tax exemption ruling* 

4(c)(iii) .. Description of mixed-financing 

plans for additional units, if applicable 

4(d)(i) ... Evidence of site control 

4(d)(ii) ... Evidence site is free of limitations, 

restrictions or reverters 

4(d)(iv) .. Evidence of compliance with URA 

site notification requirement 

4(d)(vii) Phase I ESA 

4(d)(viii) Asbestos Statement or Survey 

4(d)(ix) .. Letter to the State/Tribal Historic 

Preservation Officer (SHPO/ 

THPO) and a statement that the 

SHPO/THPO failed to respond 

OR the letter from the SHPO/ 

THPO 

4(d)(x) .. Willingness to seek an alternate 

site 

4(d)(xi) .. Exception to project size limit 

4(e)(ii) ... Steps undertaken to identify site 

4(e)(iv) .. Status of the sale of the site 

4(e)(v) .. Whether the site would involve relocation 

5 ........... Supportive Services Plan 

7 ........... Relocation 

8(a) ....... Letter sent to the State Point of 

Contact (SPOC).* 

8(b) ....... Standard Form 424 Supplement, 

Survey on Ensuring Equal Opportunity for Applicants. 

8(c) ....... Standard Form LLL, Disclosure of 

Lobbying Activities (if applicable). 

8(d) ....... Form HUD–2880, Applicant/Recipient Disclosure/Update Report. 

8(e) ....... Form HUD–2991, Certification of 

Consistency with Consolidated 

Plan. 

8(f) ........ Form HUD–92041, Sponsor’s Conflict of Interest Resolution. 

8(g) ....... Form HUD–92042, Sponsor’s Resolution for Commitment to 

Project.* 

8(i) ........ Form HUD–92043, Supportive 

Services Certification. 

8(k) ....... Form HUD–96011 Facsimile 

Transmittal (Required Only for 

Transmittal of Faxes).* 

8(l) ........ Form HUD–2994–A, You Are Our 

Client Grant Applicant Survey 

(optional). 

The local HUD office will notify you 

in writing if your application is missing 

any of the above exhibits or portions of 

exhibits and will provide you with a 

specified deadline to submit the 

information required to cure the noted 

deficiencies. The items identified by an 

asterisk (*) must be dated on or before 

the application submission date. If an 

Exhibit or portion of an Exhibit listed 

above as curable is not discovered as 

missing until technical processing, HUD 

will provide you with a deadline to cure 

the deficiency. 

2. Rating. HUD will review and rate 

your application in accordance with the 

Reviews and Selection Process in the 

General Section except as described in 

‘‘3 Appeal Process’’ found below. Your 

application will be either rated or 

technically rejected at the end of 

technical review. If your application 

meets all program eligibility 

requirements after completion of 

technical review, it will be rated 

according to the rating factors in Section 

V.A. above. 

3. Appeal Process. HUD will not reject 

your application based on technical 

review without notifying you of the 

rejection with all the reasons for 

rejection and providing you an 

opportunity to appeal. You will have 14 

calendar days from the date of HUD’s 

written notice to appeal a technical 

rejection to the local HUD office. In 

HUD’s review of any appeal, it should 

be noted that in conformance with its 

regulations at 24 CFR part 4, subpart B, 

HUD will not consider any unsolicited 

information that you, the applicant, may 

want to provide. The local HUD office 

will make a determination on any 

appeals before making its selection 

recommendations. 

4. Ranking and Selection Procedures. 

Applications that have a total base score 

of 75 points or more (without the 

addition of RC/EZ/EC–II bonus points) 

and meet all of the applicable threshold 

requirements in the General Section and 

this NOFA will be eligible for selection 

and will be placed in rank order in two 

categories; Category A and Category B. 

Category A will consist of approvable 

applications that contain acceptable 

evidence of control of all proposed sites 

and all proposed sites have been found 

approvable. Category B will consist of 

the following approvable applications: 

(a) those that were submitted with 

identified sites; 

(b) those that were submitted with 

evidence of site control where the 

evidence and/or any of the proposed 

sites were found not approvable 

provided you indicate your willingness 

to locate another site(s) should the 

proposed site(s) be found not 

approvable; and 

(c) those that were submitted with a 

combination of sites under control and 

identified sites. Each HUD Multifamily 

Program Center will select applications, 

after adding any bonus points for RC/ 

EZ/EC–II, based on rank order, from 

Category A first that most closely 

approximates the capital advance 

authority available in its allocation. If 

capital advance authority remains after 

selecting all approvable applications 

from Category A, each HUD Multifamily 

Program Center shall then select 

applications, in rank order, from 

Category B that most closely 

approximates the capital advance 

authority remaining in its allocation. 

HUD Multifamily Program Centers will 

not skip over any applications in order 

to select one based on the funds 

remaining. After making the initial 

selections from the applicable category, 

however, HUD Multifamily Program 

Centers may use remaining available 

funds to select the next highest rankordered application in that category by 

reducing the number of units by no 

more than 10 percent, rounded to the 

nearest whole number, provided the 

reduction will not render the project 

unfeasible. For this purpose, however, 

HUD will not reduce the number of 

units in projects of five units or less. 

After the HUD Multifamily Program 

Centers have funded all possible 

projects based on the process above, 

residual funds from all HUD 

Multifamily Program Centers within 

each Multifamily Hub will be combined. 

First, these funds will be used to restore 

units to projects reduced by HUD 

Multifamily Program Centers based on 

the above instructions. Second, 

additional approvable applications 

within each Multifamily Hub will be 

selected in Hub-wide rank order, first 

from Category A, and if sufficient funds 

remain, from Category B, with only one 

application selected per HUD 

Multifamily Program Center. More than 

one application may be selected per 

HUD Multifamily Program Center if 

there are no approvable applications in 

other HUD Multifamily Program Centers 

within the Multifamily Hub. This 

process will continue until there are no 

more approvable applications within 

the Multifamily Hub that can be 

selected with the remaining funds. 

Applications may not be skipped over to 

select one based on funds remaining. 

However, the Multifamily Hub may use 

any remaining residual funds to select 

the next rank-ordered application in the 

applicable category by reducing the 

number of units by no more than 10 

percent rounded to the nearest whole 


rwilkins on PROD1PC63 with NOTICES_2
11740 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

number, provided the reduction will not 

render the project infeasible or result in 

the project being less than 5 units. 

Funds remaining after the Multifamily 

HUB selection process is completed will 

be returned to Headquarters. HUD 

Headquarters will use the residual funds 

first to restore units to projects reduced 

by HUD Multifamily Program Center or 

Multifamily Hub as a result of the 

instructions for using their residual 

funds. Second, HUD Headquarters will 

use these funds for selecting additional 

applications based on HUD Program 

Centers’ rankings, beginning with the 

highest rated application nationwide in 

Category A. Only one application will 

be selected per HUD Multifamily 

Program Center in Category A from the 

national residual amount. Headquarters 

may skip over a higher rated Category A 

application to ensure that only one 

application is selected from each HUD 

Multifamily Program Center. This 

process will continue until the 

remaining available funds are used to 

select Category A applications, to the 

maximum extent possible. If all 

Category A applications are selected, 

Category B applications will then 

become eligible for selection in rank 

order, beginning with the highest rated 

application. Only one Category B 

application per HUD Multifamily 

Program Center will be selected from 

the remaining national residual amount. 

Headquarters may skip over a higher 

rated Category B application in order to 

ensure that only one application is 

selected from each HUD Multifamily 

Program Center. This process will 

continue until the remaining available 

funds are used to select approvable 

applications. If there are no approvable 

applications in Category A in other HUD 

Multifamily Program Centers, then the 

next highest rated application in 

Category B in another HUD Multifamily 

Program Center will be selected. 

5. HUD Error. In the event HUD 

commits an error that, when corrected, 

would have resulted in the selection of 

an otherwise eligible applicant during 

the funding round of this NOFA, HUD 

may select that applicant when 

sufficient funds become available. 

VI. Award Administration Information 

A. Award Notices 

1. Agreement Letter. If you are 

selected to receive a Section 811 fund 

reservation, you will receive an 

Agreement Letter that stipulates the 

terms and conditions for the Section 811 

fund reservation award as well as the 

submission requirements following the 

fund reservation award. The duration of 

the fund reservation award for the 

capital advance is 18 months from the 

date of issuance of the fund reservation. 

Immediately upon your acceptance of 

the Agreement Letter, you are expected 

to begin work towards the submission of 

a Firm Commitment Application, which 

is the next application submission stage. 

You are required to submit a Firm 

Commitment Application to the local 

HUD office within 180 days from the 

date of the Agreement Letter. Initial 

closing of the capital advance and start 

of construction of the project are 

expected to be accomplished within the 

duration of the fund reservation award. 

Final closing of the capital advance is 

expected to occur no later than six 

months after completion of project 

construction. 

2. Non-selection Letter. If your 

application is approvable but unfunded 

due to insufficient funds or receives a 

rating that is below the minimum 

threshold score established for funding 

eligibility, you will receive a letter to 

this effect. 

3. Debriefing. Refer to the General 

Section for further information 

regarding debriefings except that the 

request must be made to the Director of 

Multifamily Housing in the appropriate 

local HUD office. 

B. Administrative and National Policy 

Requirements 

1. Ensuring the Participation of Small 

Businesses, Small Disadvantaged 

Businesses, and Women-Owned 

Businesses. Although the Section 811 

program is not subject to the provisions 

of 24 CFR 85.36(e) as described in the 

corresponding paragraph in the General 

Section you are required to comply with 

Executive Order 12432, Minority 

Business Enterprise Development and 

Executive Order 11625, Prescribing 

Additional Arrangements for 

Developing and Coordinating a National 

Program for Minority Business 

Enterprise as they relate to the 

encouragement of HUD grantees to 

utilize minority business enterprises. 

2. Acquisition and Relocation. You 

must comply with the Uniform 

Relocation Assistance and Real Property 

Acquisition Policies Act of 1970, as 

amended (49 CFR part 24 and 24 CFR 

part 891.155(e)) (URA), which covers 

the acquisition of sites, with or without 

existing structures, and with 24 CFR 

8.4(b)(5) of the Section 504 regulations 

which prohibits discrimination based 

on disability in determining the site or 

location of a federally-assisted facility. 

However, you are exempt from 

complying with the site acquisition 

requirements of the URA if you do not 

have the power of eminent domain and 

prior to entering into a contract of sale, 

option to purchase or any other method 

of obtaining site control, you inform the 

seller of the land in writing: (1) that you 

do not have the power of eminent 

domain and, therefore, you will not 

acquire the property if negotiations fail 

to result in an amicable agreement, and 

(2) of the estimate of the fair market 

value of the property. An appraisal is 

not required to meet this requirement; 

however, your files must include an 

explanation, (with reasonable evidence) 

of the basis for the estimate. Evidence of 

compliance with this advance notice 

requirement must be included in Exhibit 

4(d)(iv) of your application. 

If you had site control as an applicant, 

you must be able to identify all persons 

who were required to move from the site 

within the past 12 months and the 

reason for such a move. You will also 

have to be able to demonstrate that all 

persons occupying the site have been 

issued the appropriate required General 

Information Notice and advisory 

services information receipt required, 

either at the time of the execution of the 

option to acquire the property or at the 

time of application submission. 

3. Flood Disaster Protection Act of 

1973 and Coastal Barriers Resources 

Act. You must comply with the 

requirements under the Flood Disaster 

Protection Act of 1973 (42 U.S.C. 4001–

4128) and the Coastal Barrier Resources 

Act (16 U.S.C. 3601). 

C. Reporting 

1. The Program Outcome Logic Model 

(Form HUD–96010) must be completed 

indicating the results achieved against 

the proposed output goal(s) and 

proposed outcome(s) which you stated 

in your approved application and 

agreed upon by HUD. Based on the 

information you provided in the 

Program Outcome Logic Model. These 

reporting requirements are to be 

submitted to HUD as follows: 

Program Outcome Logic Model. You, 

as the Sponsor, and the Owner, when 

formed, are required to report annually, 

beginning from the date of the 

Agreement Letter, on the results 

achieved against the output goal(s) and 

outcome(s), which you proposed in the 

Program Outcome Logic Model that was 

submitted in your application. HUD is 

considering a new concept for the Logic 

Model. The new concept is a Return on 

Investment (ROI) statement. HUD will 

be publishing a separate notice on the 

ROI concept. 

2. The Regulatory Agreement (Form 

HUD–92466–CA) requires the Owner of 

the Section 811 project to submit an 

annual financial statement for the 

project. This financial statement must 

be audited by an Independent Public 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11741 

Accountant who is a Certified Public 

Accountant or other person accepted by 

HUD and filed electronically with 

HUD’s Real Estate Assessment Center 

(REAC) through the Financial 

Assessment Subsystem for Multifamily 

Housing (MF–FASS). The submission of 

annual financial statements is required 

throughout the 40-year term of the 

mortgage. 

VII. Agency Contact(s) 

Technical Assistance. For technical 

assistance in downloading an 

application package from 

www.grants.gov/Apply, contact the 

Grants.gov help desk at 800–518–Grants 

or by sending an e-mail to 

support@grants.gov. 

Programmatic Information. For 

programmatic information, you may 

contact the appropriate local HUD 

office, or Frank Tolliver at HUD 

Headquarters at (202) 708–3000 (this is 

not a toll-free number), or access the 

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

adm/grants/fundsavail.cfm. Persons 

with hearing and speech impairments 

may access the above number via TTY 

by calling the toll-free Federal Relay 

Service at 800–877–8339. 

VIII. Other Information 

A. Field Office Workshop. HUD 

encourages minority organizations and 

grassroots organizations (e.g., civic 

organizations, faith-communities and 

grassroots faith-based and other 

community-based organizations) to 

participate in this program and strongly 

recommends prospective applicants 

attend the local HUD office workshop. 

At the workshops, HUD will explain 

application procedures and 

requirements, as well as address 

concerns such as local market 

conditions, building codes and 

accessibility requirements, 

contamination identification and 

remediation, historic preservation, 

floodplain management, other 

environmental requirements, 

displacement and relocation, zoning, 

and housing costs. If you are interested 

in attending the workshop, make sure 

that your name, address and telephone 

number are on the appropriate local 

HUD office’s mailing list so that you 

will be informed of the date, time and 

place of the workshop. Persons with 

disabilities should call the appropriate 

local HUD office to assure that any 

necessary arrangements can be made to 

enable their attendance and 

participation in the workshop. 

If you cannot attend the workshop, 

call the appropriate local HUD office if 

you have any questions regarding the 

submission of applications to that 

particular office and to request any 

materials distributed at the workshop. 

B. Satellite Broadcast. HUD will hold 

an information broadcast via satellite for 

potential applicants to learn more about 

the program and preparation of the 

application. It is strongly recommended 

that potential applicants, especially 

those who may be applying for Section 

811 funding for the first time, tune in to 

this broadcast, if at all possible. Copies 

of the broadcast tapes are also available 

from the NOFA Information Center. For 

more information about the date and 

time of the broadcast, you should 

consult the HUD Web site at: http:// 

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

fundsavail.cfm. 

C. Related Programs. Section 811 

funding for tenant-based assistance is 

administered by public housing 

agencies and nonprofit organizations 

through the Mainstream Housing 

Opportunities for Persons with 

Disabilities Program. 

D. Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2502–0462. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB number. 

Public reporting burden for the 

collection of information is estimated to 

average 35.92 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits derived. 


rwilkins on PROD1PC63 with NOTICES_2
11742 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.027</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11743 

BILLING CODE 4210–01–C 

Continuum of Care (COC) Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Community Planning and 

Development. 

B. Funding Opportunity Title: 

Funding Availability for Continuum of 

Care (CoC) Homeless Assistance 

Programs. 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: The 

Federal Register number is FR–5100–

N–14. The OMB Approval number is 

2506–0112. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Numbers: 

1. 14.235, Supportive Housing 

Program (SHP) 

2. 14.238, Shelter Plus Care (S+C) and 

3. 14.249, Section 8 Moderate 

Rehabilitation Single Room Occupancy 

(SRO). 

F. Dates: Applications should be 

submitted no later than June 8, 2007. 

Please see Section IV of this NOFA for 

application submission and timely 

receipt requirements. 

G. Additional Overview Content 

Information 

1. Purpose of the Programs: The 

purpose of the CoC Homeless Assistance 

Programs is to assist homeless persons 

to move to self-sufficiency and 

permanent housing. 

2. Available Funds: Approximately 

$1.25 billion is available for funding. 

3. Eligible Applicants: The program 

summary chart in Section III.A.3 

identifies the eligible applicants for 

each of the three programs under the 

CoC Homeless Assistance Programs. 

4. Match: Matching funds are required 

from local, state, federal or private 

resources. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description 

1. Overview. The purpose of the CoC 

Homeless Assistance Programs is to 

reduce the incidence of homelessness in 

CoC communities by assisting homeless 

individuals and families to move to selfsufficiency and permanent housing. 

CoCs and their projects that sustain 

current successful interventions and 

advance the goals of ending chronic 

homelessness will be scored higher. 

2. The authorizing legislation and 

implementing regulations for all 

programs covered by this NOFA are 

outlined on the chart in Section III.A.3. 

3. Changes for 2007. This list includes 

all major changes to the CoC NOFA: 

a. As in past years, CoCs who would 

like to create new permanent housing 

units may use the ‘‘hold harmless 

reallocation process’’ to do so. With this 

process, eligible CoCs can replace or 

reduce renewal projects with a new 

permanent housing project using the 

same funds. In the past, a CoC risked 

losing the funds that it had 

‘‘reallocated’’ in this way if the CoC did 

not score above the full funding line. 

New this year, CoCs who are in ‘‘hold 

harmless status’’ who seek to use the 

reallocation process to create new 

permanent housing units may do so 

without risk of losing the reallocated 

amount. If a CoC reallocates a portion of 

its pro rata need to an eligible new 

permanent housing project, the project 

will be funded, even if it is a lowerrated eligible project as long as it is in 

a CoC receiving at least 65 points. HUD 

is making this change to make it easier 

for CoCs to choose to fund new 

permanent housing units. For more 

information on hold harmless status and 

the process for reallocating pro rata 

need, see section I.A.8.h of this NOFA 

(the glossary) or the Questions and 

Answers Supplement at: www.hud.gov/ 

offices/adm/grants/fundsavail.cfm. 

b. The ‘‘Questions and Answers 

Supplement’’ contains additional 

information and should be thoroughly 

reviewed. It is now available on the web 

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

fundsavail.cfm. 

4. Developing and Coordinating CoC 

Systems. Developing a CoC system 

should be an inclusive process that 

brings together participants from the 

state, local, private and nonprofit 

sectors to reduce homelessness. This 

NOFA emphasizes HUD’s determination 

to integrate and align plans, including 

jurisdictional state and city ten-year 

plans (jurisdictional ten-year plans) 

encouraged by the U.S. Interagency 

Council on Homelessness and 

Consolidated Plans, into the CoC plans. 

These plans serve as the vehicle for a 

community to comprehensively identify 

each of its needs and to coordinate a 

plan of action for addressing them. For 

a community to successfully address the 

complex and interrelated problems 

related to homelessness, the community 

must marshal its varied resources—

community and economic development 

resources, social service resources, 

business, health care, philanthropy, law 

enforcement, and housing and homeless 

assistance resources—and use them in a 

coordinated and effective manner. 

5. CoC Components. A CoC system 

consists of five basic components, as 

follows: 

a. A system of outreach, engagement, 

and assessment for determining the 

needs and conditions of an individual 

or family who is homeless, and 

necessary support to identify, prioritize, 

and respond to persons who are 

chronically homeless; 

b. Emergency shelters with 

appropriate supportive services to help 

ensure that homeless individuals and 

families receive adequate emergency 

shelter and referral to necessary service 

providers or housing search counselors; 

c. Transitional housing with 

appropriate supportive services to help 

homeless individuals and families 

prepare to make the transition to 

permanent housing and independent 

living; and 

d. Permanent housing, or permanent 

supportive housing, to help meet the 

long-term needs of homeless individuals 

and families. 

e. Prevention strategies play an 

integral role in a community’s plan to 

eliminate homelessness by effectively 

intervening for persons in public 

systems—e.g., corrections, foster care, 

mental health, and other institutions—

so that they do not enter the homeless 

system. By law, prevention activities are 

ineligible activities in the three 

programs for which funds are awarded 

in this competition but are eligible for 

funding under the Emergency Shelter 

Grants block grant program. 

6. CoC Planning Process. A CoC 

system is developed through a 

community-wide or region-wide process 

involving nonprofit organizations 

(including those representing persons 

with disabilities), government agencies, 

public housing agencies, community 

and faith-based organizations, other 

homeless providers, service providers, 

housing developers, private health care 

organizations, businesses and business 

associations, law enforcement and 

corrections agencies, school systems, 

private funding providers, and homeless 

or formerly homeless persons. A CoC 

system should address the specific 

needs of each homeless subpopulation: 

those experiencing chronic 

homelessness, veterans, persons with 

serious mental illnesses, persons with 

substance abuse issues, persons with 

HIV/AIDS, persons with co-occurring 

diagnoses (these may include diagnoses 

of multiple physical disabilities or 

multiple mental disabilities or a 

combination of these two types), victims 

of domestic violence, youth, and any 

others. To ensure that the CoC system 

addresses the needs of homeless 

veterans, it is particularly important that 

you involve veteran service 

organizations with specific experience 

in serving homeless veterans. 

7. CoC Funding is provided through 

the programs briefly described below. 


rwilkins on PROD1PC63 with NOTICES_2
11744 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

Please refer to the CoC Homeless 

Assistance Programs Chart in Section 

III.A.3 for a more detailed description of 

each program: 

a. The Supportive Housing Program 

(SHP) provides funding for the 

development of transitional and 

permanent supportive housing and 

services that help homeless persons 

transition from homelessness to living 

as independently as possible. Some 

services are also funded to assist in 

achieving the goal of self-sufficiency. 

b. The Shelter Plus Care (S+C) 

Program provides funding for rental 

assistance and requires grantees to 

identify service dollars. This gives 

applicants flexibility in devising 

appropriate housing and supportive 

services for homeless persons with 

disabilities. 

c. The Section 8 Moderate 

Rehabilitation Single Room Occupancy 

(SRO) Program provides rental 

assistance on behalf of homeless 

individuals in connection with the 

moderate rehabilitation of SRO 

dwellings. 

8. Glossary of Terms 

a. Annual Renewal Amount. This is 

the amount that an SHP grant receives 

as a renewal each year after the initial 

grant term has ended. This was formerly 

referred to as the Average Yearly 

Amount. It is also used to calculate a 

CoC’s ‘‘hold harmless’’ amount. To 

calculate the Annual Renewal Amount, 

add up the amount of the renewable 

items (such as operating, services, and 

administration costs) for all the years of 

the initial grant, and divide by the 

number of years in the grant term. For 

example, if a grant received a total of 

$60,000 in eligible renewable costs over 

a three-year period, the Annual Renewal 

Amount would be $20,000, or $60,000 

divided by 3. 

b. Applicant. An entity that applies to 

HUD for funds. See the CoC Homeless 

Assistance Programs Chart in Section 

III.A.3 for a list of entities that are 

eligible. An applicant must submit a 

SF–424 (Application for Federal 

Assistance Form). If selected for 

funding, the applicant becomes the 

grantee and is responsible for the overall 

management of the grant, including 

drawing grant funds and distributing 

them to project sponsors. The applicant 

is also responsible for supervision of 

project sponsor compliance with grant 

requirements. The applicant may also be 

a project sponsor. 

c. Applicant Certification. The form, 

required by law, in which an applicant 

certifies that it will adhere to certain 

statutory requirements, such as the Civil 

Rights Act of 1964. 

d. Chronically Homeless Person. An 

unaccompanied homeless individual 

with a disabling condition who has 

either been continuously homeless for a 

year or more OR has had at least four 

(4) episodes of homelessness in the past 

three (3) years. A disabling condition is 

defined as ‘‘a diagnosable substance use 

disorder, serious mental illness, 

developmental disability, or chronic 

physical illness or disability, including 

the co-occurrence of two or more of 

these conditions.’’ In defining the 

chronically homeless, the term 

‘‘homeless’’ means ‘‘a person sleeping in 

a place not meant for human habitation 

(e.g., living on the streets) or in an 

emergency homeless shelter.’’

e. Consolidated Plan. A long-term 

housing and community development 

plan developed by state and local 

governments and approved by HUD. 

The Consolidated Plan contains 

information on homeless populations 

and should be coordinated with the CoC 

plan. It can be a source of information 

for the Unmet Need sections of the 

Housing Activities Chart. The plan 

contains both narratives and maps, the 

latter developed by localities using 

software provided by HUD. 

f. Consolidated Plan Certification. The 

form, required by law, in which a state 

or local official certifies that the 

proposed activities or projects are 

consistent with the jurisdiction’s 

Consolidated Plan and, if the applicant 

is a state or unit of local government, 

that the jurisdiction is following its 

Consolidated Plan. 

g. Continuum of Care (CoC). A 

collaborative funding approach that 

helps communities plan for and provide 

a full range of emergency, transitional, 

and permanent housing and service 

resources to address the various needs 

of homeless persons. 

h. Continuum of Care Hold Harmless 

Amount. This is the total of the one-year 

amount (the total of the annual renewal 

amount) of all SHP projects eligible for 

renewal under this NOFA. CoCs shall 

receive the higher of: (1) the preliminary 

pro rata need (PRN) or (2) the CoC hold 

harmless amount. CoCs receiving the 

CoC hold harmless amount have the 

opportunity to replace or reduce 

projects in their CoC and reallocate their 

PRN funds in order to create new 

permanent supportive housing projects. 

i. Current Inventory. A complete 

listing of the community’s existing beds 

and supportive services. 

j. Homeless Management Information 

Systems (HMIS). An HMIS is a 

computerized data collection 

application designed to capture clientlevel information over time on the 

characteristics and service needs of 

men, women, and children experiencing 

homelessness, while also protecting 

client confidentiality. It is designed to 

aggregate client-level data to generate an 

unduplicated count of clients served 

within a community’s system of 

homeless services. An HMIS may also 

cover a statewide or regional area, and 

include several CoCs. The HMIS can 

provide data on client characteristics 

and service utilization. 

k. Homeless Person means a person 

sleeping in a place not meant for human 

habitation or in an emergency shelter; 

and a person in transitional housing for 

homeless persons who originally came 

from the street or an emergency shelter. 

For a more detailed discussion, see the 

Questions and Answers Supplement 

available on the Web at www.hud.gov/ 

offices/adm/grants/fundsavail.cfm. The 

programs covered by this NOFA are not 

for populations who are at risk of 

becoming homeless. 

l. NOFA. Notice of Funding 

Availability, published in the Federal 

Register to announce available funds 

and application requirements. 

m. Private Nonprofit Status. Private 

nonprofit status is documented by 

submitting either: (1) a copy of the 

Internal Revenue Service (IRS) ruling 

providing tax-exempt status under 

Section 501(c)(3) of the IRS Code; or (2) 

documentation showing that the 

applicant is a certified United Way 

agency; or (3) a certification from a 

designated official of the organization 

that no part of the net earnings of the 

organization inures to the benefit of any 

member, founder, contributor, or 

individual; that the organization has a 

voluntary board; that the organization 

practices nondiscrimination in the 

provision of assistance; and that the 

organization has a functioning 

accounting system that provides for 

each of the following (mention each in 

the certification): 

(1) Accurate, current and complete 

disclosure of the financial results of 

each federally sponsored project. 

(2) Records that identify adequately 

the source and application of funds for 

federally sponsored activities. 

(3) Effective control over and 

accountability for all funds, property 

and other assets. 

(4) Comparison of outlays with budget 

amounts. 

(5) Written procedures to minimize 

the time elapsing between the transfer of 

funds to the recipient from the U.S. 

Treasury and the use of the funds for 

program purposes. 

(6) Written procedures for 

determining the reasonableness, 

allocability and allowability of costs. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11745 

(7) Accounting records, including cost 

accounting records, which are 

supported by source documentation. 

n. Project Sponsor. The organization 

that is responsible for carrying out the 

proposed project activities. A project 

sponsor does not submit a SF–424 

(Application for Federal Assistance), 

unless it is also the applicant. To be 

eligible to be a project sponsor, you 

must meet the same program eligibility 

standards as applicants do, as outlined 

in Section III.A.3, except in the 

Sponsor-based rental assistance (SRA) 

component of the S+C Program. Eligible 

sponsors for the SRA component are 

statutorily precluded from applying for 

S+C funding. 

o. Public Nonprofit Status. Public 

nonprofit status is documented for 

community mental health centers by 

including a letter or other document 

from an authorized official stating that 

the organization is a public nonprofit 

organization. 

p. SF–424, Application for Federal 

Assistance. The application cover sheet 

required to be submitted by applicants 

requesting HUD Federal Assistance. 

q. Safe Haven. A Safe Haven is a form 

of supportive housing funded and 

administered under the Supportive 

Housing Program serving hard-to-reach 

homeless persons with severe mental 

illness and other debilitating behavioral 

conditions who are on the streets and 

have been unwilling or unable to 

participate in supportive services. A 

Safe Haven may be transitional 

supportive housing, or permanent 

supportive housing if it has the 

characteristics of permanent housing 

and requires participants to sign a lease. 

r. Samaritan Housing Initiative. The 

Samaritan Initiative will be integrated 

into this NOFA as part of the larger CoC 

process and is only for projects serving 

exclusively chronically homeless 

persons. It is 15 percent of a CoC’s 

preliminary pro rata need amount or $6 

million, whichever is less. Applicants 

may use no more than 20 percent of this 

bonus for case management costs to 

enable program participants to remain 

successfully housed. See Section 

V.A.2.b(3) for additional information on 

this subject. 

9. Applicant Roles and 

Responsibilities. An applicant will be 

responsible for the overall management 

and administration of a particular grant, 

including drawing down the grant funds 

from HUD, distributing them to the 

project sponsors, overseeing project 

sponsors, reporting to HUD, providing 

performance data to the CoC for 

community-level analysis, and 

collecting information to provide the 

CoC with counts of the homeless 

through HMIS. Applicants can submit 

applications for projects on behalf of 

project sponsors, who will actually 

carry out the proposed project activities. 

Applicants can also carry out their own 

projects. In these cases, the applicant is 

responsible for both administering and 

managing a grant (as the grantee) and 

carrying out the project activities (as the 

project sponsor). 

II. Award Information 

A. Amount Allocated. Approximately 

$1.25 billion is available for this CoC 

competition in FY 2007. Any 

unobligated funds from previous CoC 

competitions or additional funds that 

may become available as a result of 

deobligations or recaptures from 

previous awards or budget transfers may 

be used in addition to FY 2007 

appropriations to fund applications 

submitted in response to this NOFA. 

The FY 2007 HUD Appropriations Act 

requires HUD to obligate all CoC 

homeless assistance funds by September 

30, 2009. These funds will remain 

available for expenditure for either five 

(5) or ten (10) years following that date, 

as provided by statute. The only 

exception is that $20 million will 

remain available until expended for 10- 

year term projects. 

1. Distribution of Funds: HUD will not 

specify amounts for each of the three 

programs. Instead, the distribution of 

funds among the three programs will 

depend largely on locally determined 

priorities and overall demand. 

a. Permanent Housing Requirement. 

Local priorities notwithstanding, the FY 

2007 HUD Appropriations Act requires 

that not less than 30 percent of this 

year’s Homeless Assistance Grants 

(HAG) appropriation, excluding 

amounts provided for one-year renewals 

under the Shelter Plus Care Program, 

must be used for permanent housing 

projects for all homeless populations. 

b. Chronic Homelessness 

Requirement. The Administration has 

established as a policy priority the goal 

of ending chronic homelessness. CoCs 

are strongly encouraged to use the funds 

available in this NOFA to target persons 

experiencing chronic homelessness in 

their communities. HUD encourages 

communities to select projects that will 

contribute to the achievement of this 

important goal. The CoC strategy to end 

chronic homelessness is now referred to 

as the CoC Ten-Year Plan (see Chart N 

in Exhibit 1). CoCs should align and 

integrate their CoC Ten-Year Plans with 

other plans, including jurisdictionally 

led ten-year plans and applicable 

Consolidated Plans. To work towards 

this goal, HUD is targeting the 

Samaritan Initiative for projects that 

exclusively serve individuals who are 

experiencing chronic homelessness. In 

addition, at least 10 percent of the 

appropriation will be awarded to new or 

renewal, transitional or permanent 

housing projects where at least 70 

percent of the project’s clients are 

expected to be chronically homeless (as 

defined by HUD) immediately prior to 

entry into the project. Housing projects 

include: SHP transitional housing, 

permanent housing and Safe Havens; 

S+C; and SRO projects. Since the 

housing funding allocation set-aside 

requirements are expected to continue 

in future competitions and may affect 

project funding selections, you are 

strongly encouraged to begin planning 

for new housing projects, particularly 

those serving individuals experiencing 

chronic homelessness, and include 

them as part of your submission in this 

competition. See Sections V.B.3.a and 

V.B.3.b of this NOFA for additional 

information on the permanent housing 

and chronic homeless requirements. 

c. Lower-rated SHP Renewals. HUD 

reserves the authority to conditionally 

select for one year of funding lowerrated eligible SHP renewal projects that 

are assigned 40 need points in a CoC 

application receiving at least 25 points 

under the CoC scoring factor that would 

not otherwise receive funding for these 

projects. (See Sections V.A.2.a and 

V.A.2.b of this NOFA for information on 

project rating and scoring.) Therefore, 

the projects must receive a minimum 

score of 65 points. Although these 

lower-rated SHP renewal projects will 

have scored below the otherwise 

recognized funding line, their funding 

allows homeless persons to continue to 

be served and move towards selfsufficiency. Not renewing these projects 

would likely result in the closure of 

these projects and displacement of the 

homeless people being served. 

2. Prioritizing Projects for Funding. 

Project priority decisions are best made 

by members of the local community, 

including local government and 

community and faith-based 

organizations, which represent the 

various economic, housing and social 

resources within that community. For 

example, if HUD has funds available 

only to award 8 of 10 proposed projects, 

then it will award funding to the first 8 

eligible projects listed, except as may be 

necessary to achieve the 30 percent 

overall permanent housing and the 10 

percent chronic homelessness 

requirements; see Sections V.B.3.a. and 

V.B.3.b. of this NOFA for additional 

information. In such cases, higher 

priority non-permanent housing projects 

may be de-selected to fund lower 

priority permanent housing projects and 


rwilkins on PROD1PC63 with NOTICES_2
11746 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

housing projects predominantly serving 

those persons experiencing chronic 

homelessness. 

3. Grant Term. See chart in Section 

III.A.3. of this NOFA for information on 

the term of assistance for each of the 

three CoC programs covered in this 

NOFA. 

III. Eligibility Information 

A. Eligible Applicants 

1. Eligible applicants for each 

program are those identified in the 

following chart. 

2. Renewal Applicants. As a project 

applicant, you are eligible to apply for 

renewal of a grant only if you have 

executed a grant agreement for the 

project directly with HUD for SHP or 

S+C programs under a CoC NOFA. If 

you are a project sponsor or subrecipient who has not signed such an 

agreement, you are not eligible to apply 

for renewal of these projects. 

3. Continuum of Care Homeless 

Assistance Programs 

Elements Supportive housing Shelter plus care Section 8 SRO 

Authorizing Legislation ................... Subtitle C of Title IV of the McKinney-Vento Homeless Assistance Act, 42 U.S.C. 11381.Subtitle F of Title IV of the McKinney-Vento Homeless Assistance Act, 42 U.S.C. 11403.Section 441 of the McKinneyVento Homeless Assistance 

Act, 42 U.S.C. 11401. 

Implementing Regulations ............. 24 CFR part 583 ........................... 24 CFR part 582 ........................... 24 CFR part 882, subpart H, except that all persons receiving 

rental assistance must meet the 

McKinney-Vento definition of 

homelessness. 

Eligible Applicant(s) ....................... • States ........................................ • States ........................................ • PHAs. 

• Units of general local government.• Units of general local government.• Private nonprofit organizations. 

• Special purpose units of government, e.g. PHAs.• PHAs. 

• Private nonprofit organizations. 

• Community Mental Health Centers that are public nonprofit organizations. 

Eligible Components ...................... • Transitional housing .................. • Tenant-based housing .............. • SRO housing. 

• Permanent housing for disabled 

persons only.

• Sponsor-based housing. 

• Supportive services not in conjunction with supportive housing.• Project-based housing. 

• Safe Havens ............................. • SRO-based housing. 

• Innovative supportive housing. 

• Homeless Mngt. Info. System 

(HMIS). 

Eligible Activities, See footnotes 1, 

2 and 3.

• Acquisition ................................. • Rental assistance ...................... • Rental assistance. 

• Rehabilitation. 

• New construction. 

• Leasing. 

• Operating costs. 

• Supportive services. 

Eligible Populations, See footnote 

2.

• Homeless individuals and families.• Homeless disabled individuals .. • Homeless individuals. 

....................................................... • Homeless disabled individuals 

& their families. 

Populations Given Special Consideration.• Homeless persons with disabilities.• Homeless persons who are seriously mentally ill.• N/A. 

• Homeless families with children • Have chronic problems with alcohol and/or drugs. 

....................................................... • Have AIDS & related diseases. 

Initial Term of Assistance, See 

footnote 4.

• 2 or 3 years for new SHP ......... • 5 years: TRA, SRA, and PRA 

without rehab.

• 10 years. 

• 1, 2 or 3 years for new HMIS ... • 10 years: SRO, and PRA with 

rehab. 

• 1, 2, or 3 years for new reallocated projects. 

Footnote 1: Homeless prevention activities are statutorily ineligible under these programs. 

Footnote 2: Persons at risk of homelessness are statutorily ineligible for assistance under these programs. 

Footnote 3: Acquisition, construction, rehabilitation, leasing, and operating costs are statutorily ineligible for assistance under Shelter Plus Care 

and Section 8 SRO. 

Footnote 4: The term of a new grant with funds for acquisition, construction or rehabilitation also includes the time to acquire the property, 

complete construction and begin operating the project, which may be no greater than 39 months. 

B. Matching (Cost Sharing). You must 

match Supportive Housing Program 

funds provided for acquisition, 

rehabilitation, and new construction 

with an equal amount of cash from other 

sources. Since SHP by statute can pay 

no more than 75 percent of the total 

operating budget for supportive 

housing, you must provide at least a 25 

percent cash match of the total annual 

operating costs. In addition, for all SHP 

funding for supportive services and 

Homeless Management Information 

Systems (HMIS) you must provide a 20 

percent cash match. This means that of 

the total supportive services budget line 

item, no more than 80 percent may be 

from SHP grant funds. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11747 

You must match rental assistance 

provided through the Shelter Plus Care 

Program in the aggregate with 

supportive services. Shelter Plus Care 

requires a dollar for dollar match; the 

recipient’s match source can be cash or 

in kind. 

Documentation of the match 

requirement must be maintained in the 

grantee’s financial records on a grantspecific basis. 

C. Other 

1. Eligible Activities. Eligible activities 

for the SHP, S+C, and SRO Programs are 

outlined in the preceding CoC Homeless 

Assistance Programs Chart at Section 

III.A.3. 

2. Threshold Requirements 

a. Project Eligibility Threshold. HUD 

will review projects to determine if they 

meet the following eligibility threshold 

requirements. If HUD determines that 

these standards are not met by a specific 

project or activity, the project or activity 

will be rejected from the competition. 

(1) Applicants and sponsors must 

meet the eligibility requirements of the 

specific program as described in 

program regulations and provide 

evidence of eligibility and appropriate 

certifications as specified by the 

attachments in Section VIII. 

(2) The population to be served must 

meet the eligibility requirements of the 

specific program as described in the 

program regulations, and the 

application must clearly establish 

eligibility of program participants to be 

served pertaining to homelessness and 

disability status. 

(3) The only persons who may be 

served by new and renewal permanent 

housing projects are those who come 

from the streets, emergency shelters, or 

transitional housing who originally 

came from the streets or emergency 

shelter. As participants leave currently 

operating projects, participants who 

meet this eligibility standard must 

replace them. 

(4) Projects that involve rehabilitation 

or new construction must meet the 

accessibility requirements of Section 

504 of the Rehabilitation Act of 1973, 

the design and construction 

requirements of the Fair Housing Act 

and the accessibility requirements of the 

Americans with Disabilities Act, as 

applicable. 

(5) The project must be cost-effective, 

including costs associated with 

construction, operations and supportive 

services with such costs not deviating 

substantially from the norm in that 

locale for the type of structure or kind 

of activity. 

(6) For those applicants applying for 

the Innovative component of SHP, 

whether or not a project is considered 

innovative will be determined on the 

basis that the particular approach 

proposed is new and can be replicated. 

(7) Renewal applications should be 

submitted as part of a CoC application, 

and must either be listed on the priority 

list or accompanied by a certification 

from the CoC saying that they have 

determined that the project is still 

needed. 

(8) Under the Sponsor-based rental 

assistance S+C component, an applicant 

must subcontract the funding awarded 

with an eligible sponsor: a private 

nonprofit organization or a community 

mental health agency established as a 

public nonprofit organization that owns 

or leases the housing where participants 

will reside. 

(9) For the Section 8 SRO program, 

only individuals meeting HUD’s 

definition of homeless are eligible to 

receive rental assistance. Therefore, any 

individual occupying a unit at 

commencement of the unit’s 

rehabilitation will not receive rental 

assistance if they return to their unit (or 

any other) upon completion of its 

rehabilitation. 

(10) Applicants agree to participate in 

a local HMIS system when it is 

implemented in their community. 

b. Project Quality Threshold. HUD 

will review projects to determine if they 

meet the following quality threshold 

requirements with clear and convincing 

evidence. A S+C or SHP project renewal 

will be considered as having met these 

requirements through its previously 

approved grant application unless 

information to the contrary is received. 

The housing and services proposed 

must be appropriate to the needs of the 

program participants and the 

community. HUD will assess the 

following: 

(1) The type, scale and general 

location of the housing fit the needs of 

the participants and that the housing is 

readily accessible to community 

amenities. 

(2) That all of the proposed 

participants come from the streets, 

homeless shelters or transitional 

housing for homeless persons. 

(3) The type, scale and location of the 

supportive services fit the needs of the 

participants and the mode of 

transportation to those services is 

described. 

(4) The specific plan for ensuring 

clients will be individually assisted to 

obtain the benefits of the mainstream 

health, social service, and employment 

programs for which they are eligible is 

provided. 

(5) How participants are helped to 

obtain and remain in permanent 

housing is described. 

(6) How participants are assisted to 

both increase their incomes and live 

independently using mainstream 

housing and service programs is 

described. 

(7) Applicants and sponsors must 

evidence satisfactory performance for 

existing grant(s). 

c. Project Renewal Threshold. Your 

local needs analysis process must 

consider the need to continue funding 

for projects expiring in calendar year 

2008. HUD will not fund competitive 

renewals out of order on the priority list 

except as may be necessary to achieve 

the 30 percent overall permanent 

housing requirement and the 10 percent 

requirement for individuals 

experiencing chronic homelessness 

requirement. It is important that SHP 

renewals and S+C non-competitive 

renewals meet minimum project 

eligibility, capacity and performance 

standards identified in this NOFA or 

they will be rejected from consideration 

for either competitive or noncompetitive funding. 

d. Civil Rights Thresholds: Applicants 

and the project sponsors must be in 

compliance with the threshold 

requirements of the General Section. 

3. Program Requirements 

a. Projects funded under this NOFA 

shall operate in a fashion that complies 

with applicable civil rights laws and 

Executive Orders, including the 

requirement to Affirmatively Further 

Fair Housing (AFFH), and does not 

deprive any individual of any right 

protected by the Fair Housing Act (42 

U.S.C. 3601–19), Section 504 of the 

Rehabilitation Act of 1973 (29 U.S.C. 

794), the Americans with Disabilities 

Act of 1990 (42 U.S.C. 12101 et seq.), 

Title VI of the Civil Rights Act of 1964 

(42 U.S.C. 2000d), Section 109 of Title 

I of the Housing and Community 

Development Act of 1974 (42 U.S.C. 

5309), or the Age Discrimination Act of 

1975 (42 U.S.C. 6101). 

b. Local Resident Employment. To the 

extent that any housing assistance 

(including rental assistance) funded 

through this NOFA is used for housing 

rehabilitation (including reduction and 

abatement of lead-based paint hazards, 

but excluding routine maintenance, 

repair, and replacement) or housing 

construction, then it is subject to section 

3 of the Housing and Urban 

Rehabilitation Act of 1968, and the 

implementing regulations at 24 CFR part 

135. Section 3, as amended, requires 

that economic opportunities generated 

by certain HUD financial assistance for 

housing and community development 


rwilkins on PROD1PC63 with NOTICES_2
11748 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

programs shall, to the greatest extent 

feasible, be given to low- and very lowincome persons, particularly those who 

are recipients of government assistance 

for housing, and to businesses that 

provide economic opportunities for 

these persons. 

c. Relocation. The SHP, S+C, and SRO 

programs are subject to the requirements 

of the Uniform Relocation Assistance 

and Real Property Acquisition Policies 

Act of 1970, as amended (URA). These 

requirements are explained in HUD 

Handbook 1378, Tenant Assistance, 

Relocation and Real Property 

Acquisition. Also see General Section. 

d. Environmental Reviews. All CoC 

assistance is subject to the National 

Environmental Policy Act and 

applicable related Federal 

environmental authorities. Conditional 

selection of projects under the CoC 

Homeless Assistance competition is 

subject to the environmental review 

requirements of 24 CFR 582.230, 

583.230 and 882.804(c), as applicable. 

The recipient, its project partners and 

their contractors may not acquire, 

rehabilitate, convert, lease (under S+C/ 

TRA where participants are required to 

live in a particular structure or area as 

described in Section III.C.3.h(3)(a)), 

repair, dispose of, demolish or construct 

property for a project under this CoC 

NOFA, or commit or expend HUD or 

local funds for such eligible activities, 

until the responsible entity has 

completed the environmental review 

procedures required by Part 58 and the 

environmental certification and Request 

for Release of Funds (RROF) have been 

approved or HUD has performed an 

environmental review under Part 50 and 

the recipient has received HUD 

approval of the property. The 

expenditure or commitment of 

Continuum of Care assistance or nonfederal funds for such activities prior to 

this HUD approval may result in the 

denial of assistance for the project under 

consideration. 

e. CoC Geographic Area. In deciding 

what geographic area you will cover in 

your CoC strategy, you should be aware 

that the single most important factor in 

being awarded funding under this 

competition will be the strength of your 

CoC strategy when measured against the 

CoC rating factors described in this 

NOFA. When you determine what 

jurisdictions to include in your CoC 

strategy area, include only those 

jurisdictions that are fully involved in 

the development and implementation of 

the CoC strategy. 

The more jurisdictions you include in 

the CoC strategy area, the larger the pro 

rata need share that will be allocated to 

the strategy area (as described in Section 

V.B.2.b. of this NOFA). If you are a rural 

county, you may wish to consider 

working with larger groups of 

contiguous counties to develop a regionwide or multi-county CoC strategy 

covering the combined service areas of 

these counties. The areas covered by 

CoC strategies should not overlap. 

f. Expiring/Extended Grants. If your 

SHP or S+C Program grant will be 

expiring in calendar year 2008, or if 

your S+C Program grant has been 

extended beyond its original five-year 

term and is projected to run out of funds 

in FY 2008, you may apply as a renewal 

under this CoC NOFA to get continued 

funding. 

g. Participation in Energy Star. In 

keeping with the Administration’s 

policy priority of promoting energy 

efficient housing while protecting the 

environment, applicants applying for 

new construction or rehabilitation 

funding, who maintain housing or 

community facilities or provide services 

in those facilities, are encouraged to 

promote energy efficiency and are 

specifically encouraged to purchase and 

use Energy Star-labeled products. All 

applicants must complete the questions 

on the Energy Star Chart (Chart CoC–

AA) in Exhibit 1. Refer to the General 

Section for detailed information about 

this requirement. 

h. Program-Specific Requirements. 

Please be advised that where an 

applicant for the SHP funding is a state 

or unit of general local government that 

utilizes one or more nonprofit 

organizations to administer the 

homeless assistance project(s), 

administrative funds provided as part of 

the SHP grant must be passed on to the 

nonprofit organization(s) in proportion 

to the administrative burden borne by 

them for the SHP project(s). HUD will 

consider states or units of general local 

government that pass on at least 50 

percent of the administrative funds 

made available under the grant as 

having met this requirement. This 

requirement does not apply to either the 

SRO Program, since only PHAs 

administer the SRO rental assistance, or 

to the S+C Program, since paying the 

costs associated with the administration 

of these grants is ineligible by 

regulation. 

HUD will not award funds to 

rehabilitate leased property. In addition, 

SHP funds may not be used to lease 

units or structures owned by the project 

sponsor, the selectee, or their parent 

organizations. This includes 

organizations that are members of a 

general partnership where the general 

partnership owns the structure. 

(1) SHP—New Projects 

(a) Please note that applicants for new 

grants can request 2 or 3 years’ worth of 

funds for operating, supportive services 

and leasing costs and that the grant term 

will be the 2 or 3 years requested. 

However, if you also request funds for 

acquisition, construction or 

rehabilitation, the grant term will be the 

2 or 3 years, plus the time to acquire the 

property, complete construction and 

begin operating the project (no greater 

than 39 months). 

(b) HUD will require recordation of a 

HUD-approved use and repayment 

covenant (a form may be obtained from 

your field office) for all grants of funds 

for acquisition, rehabilitation or new 

construction. The covenant will enforce 

the use and repayment requirements 

found at section 423(b)(1) and (c) of the 

McKinney-Vento Act and must be 

approved by HUD counsel before 

execution and recordation. Proof of 

recordation must be provided to HUD 

counsel before funds for rehabilitation 

or new construction may be drawn 

down. 

(c) All project sponsors must meet 

applicant eligibility standards as 

described in Section III.A.3. As in past 

years, HUD will review sponsor 

eligibility as part of the threshold 

review process. Project sponsors for new 

projects are required to submit evidence 

of their eligibility with the application 

(See Section IV.B.1.b.(3)(a) and Section 

I.A.8.n). 

(2) SHP—Renewal Projects 

(a) For the renewal of a SHP project, 

you may request funding for one (1), 

two (2) or three (3) years. 

(b) The total request for each 

renewable project cannot exceed the 

Annual Renewal Amount (formerly 

referred to as the Average Yearly 

Amount) received in your current grant 

for that project. Within that total 

request, the administrative amount must 

be the exact amount awarded in the 

previous grant. An exception to this rule 

is grants being renewed whose original 

expiring award included ‘‘hard’’

development costs (acquisition, new 

construction, and rehab). In the current 

competition, you must recalculate your 

administrative allocation not to exceed 

five percent of the Annual Renewal 

Amount of the activities being renewed. 

To calculate administrative amounts for 

activities in all new projects and 

renewal projects with these ‘‘hard’’

development costs, calculate the 

subtotal of all requested amounts for 

activities. Administrative costs cannot 

exceed 5% of this subtotal. For example, 

if a project requests $60 for supportive 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11749 

services and $40 for operating expenses, 

the maximum amount of administration 

dollars the project can request is $5. 

Only leasing, operating, supportive 

services, and administration costs may 

be renewed. Applicants proposing both 

to renew an existing project and to 

expand the number of units or number 

of participants receiving services in that 

grant must submit a new project 

proposal for the expansion portion of 

the project. HMIS activities being 

renewed should be included on the 

HMIS budget chart. For more 

information on Annual Renewal 

Amount, see section I.A.8.a of this 

NOFA (the glossary). 

(c) HUD will recapture SHP grant 

funds remaining unspent at the end of 

the previous grant period when it 

renews a grant. 

(3) S+C—New Projects 

(a) A project may not include more 

than one component, e.g., combining 

Tenant-based Rental Assistance (TRA) 

with Sponsor-based Rental Assistance 

(SRA) is prohibited within the same 

grant. Under the TRA component, in 

order to help provide supportive 

services or for the purposes of 

controlling housing costs, a grantee may 

require participants to live in a 

particular structure for the first year of 

assistance or to live in a particular area 

for the entire rental assistance period. 

Where this option is exercised, an 

environmental review and clearance 

must be performed prior to any 

commitment to lease a particular 

structure or unit for participant 

occupancy as described in Section 

III.C.3.d, Environmental Reviews. 

(b) S+C/SRO Component. If you are a 

state or a unit of general local 

government, you must subcontract with 

a public housing agency to administer 

the S+C assistance. Also, no single 

project may contain more than 100 

units. 

(c) S+C SRA Component. Project 

sponsors must submit proof of their 

eligibility to serve as a project sponsor. 

(4) S+C Renewal Projects. HUD 

encourages the consolidation of 

appropriate S+C renewal grants when 

the grants are under the same grantee, 

same component and expire in the same 

year. However, renewal requests for 

expiring S+C grants that have not yet 

been combined should still be listed 

individually on the CoC priority list and 

will be awarded as individual renewal 

grants. Where the grantee wishes to 

consolidate the renewal grants, this 

action will be subsequently 

accomplished by the field office at the 

point of renewal grant agreement 

execution. The field office will receive 

instructions for this process in the S+C 

Operating Procedures guidance for 2007 

awards. 

(a) For the renewal of a S+C project, 

including S+C SROs, the grant term will 

be one (1) year, as specified by 

Congress. For the renewal of S+C rental 

assistance that is Tenant-based (TRA), 

Sponsor-based (SRA), Project-based 

(PRA), or Single Room Occupancybased (SRO), you may request up to the 

amount determined by multiplying the 

number of units under lease at the time 

of your application for renewal funding 

by the applicable 2006 Fair Market 

Rent(s) by 12 months. Current FMRs can 

be found at www.hudclips.org. For S+C 

grants having been awarded one year of 

renewal funding in 2005, the number of 

units requested for renewal this year 

must not exceed the number of units 

funded in 2005. As is the case with 

SHP, HUD will recapture S+C grant 

funds remaining unspent at the end of 

the previous grant period when it 

renews a grant. The one-year term of 

non-competitively awarded S+C 

renewal projects may not be extended. 

(b) Under the FY 2007 HUD 

Appropriations Act, eligible S+C 

Program grants whose terms are 

expiring in 2008 and S+C Program 

grants that have been extended beyond 

their original five-year terms but which 

are projected to run out of funds in 

2008, will be renewed for one year 

provided that they are determined to be 

needed by the CoC, either as evidenced 

by their inclusion on the priority chart 

or as accompanied by a certification 

from the CoC. These projects must also 

demonstrate that their applicant and 

sponsor meet eligibility, capacity and 

performance requirements described in 

Section V.A.1 of this NOFA. Noncompetitive S+C renewals should be 

submitted by the application deadline. 

These S+C renewal projects will not 

count against a continuum’s pro rata 

need amount, but, if listed on the CoC 

Priority Chart, should be numbered, 

continuing the priority sequence. On the 

other hand, no community hold 

harmless amount will be computed for 

any CoC using S+C renewal amounts 

since these projects are being funded 

outside of the competition. 

(5) Section 8 Moderate Rehabilitation 

SRO Program—New Projects. As an 

applicant, the following limitations 

apply to the Section 8 SRO program: 

(a) SRO assistance may not be 

provided to more than 100 units in any 

structure. 

(b) Under 24 CFR 882.802, applicants 

that are private nonprofit organizations 

must subcontract with a public housing 

agency to administer the SRO 

assistance. 

(c) Under 24 CFR 882.802, 

rehabilitation must involve a minimum 

expenditure of $3,000 for a unit, 

including its prorated share of work to 

be accomplished on common areas or 

systems, to upgrade conditions to 

comply with HUD’s physical condition 

standards in 24 CFR part 5, subpart G. 

(d) Under section 441(e) of the 

McKinney-Vento Act and 24 CFR 

882.805(d)(1), HUD publishes the SRO 

per unit rehabilitation cost limit each 

year to take into account changes in 

construction costs. This cost limitation 

applies to eligible rehabilitation costs 

that may be compensated for in the 

Housing Assistance Payments (HAP) 

contract rents. For purposes of Fiscal 

Year 2007 funding, the cost limitation is 

raised from $20,500 to $21,000 per unit 

to take into account increases in 

construction costs during the past 12- 

month period. 

(e) The SRO Program is subject to the 

Federal standards at 24 CFR part 882, 

subpart H. 

(f) Individuals assisted through the 

SRO Program must meet the definition 

of homeless individual found at section 

103 of the McKinney-Vento Act. 

(g) Resources outside the program pay 

for the rehabilitation, and rehabilitation 

financing. The rental assistance covers 

operating expenses of the SRO housing, 

including debt service for rehabilitation 

financing. Units may contain food 

preparation or sanitary facilities or both. 

(6) Section 8 Moderate Rehabilitation 

SRO Program—Renewals. This program 

section of the NOFA is not applicable to 

the renewal of funding under the 

Section 8 SRO program. The renewal of 

expiring Section 8 SRO projects is not 

part of the competitive CoC NOFA 

process. Rather, expiring Section 8 

SROs will be identified at the beginning 

of the applicable year by the public 

housing agency and HUD field office. 

One-year renewal funds for expiring 

Section 8 SRO HAP contracts will be 

provided by HUD under a separate, noncompetitive process. For further 

guidance on Section 8 SRO renewals, 

please contact your local HUD field 

office. 

i. Timeliness Standards. As an 

applicant, you are expected to initiate 

your approved projects promptly in 

accordance with Section VI.A of this 

NOFA. In addition, HUD will take 

action if you fail to satisfy the following 

timeliness standards: 

(1) SHP: HUD will deselect your 

award if you do not demonstrate site 

control within one (1) year of the date 

of your grant award letter, as required 

by the McKinney-Vento Act (see 42 

U.S.C. 11386(a)(3)) and implemented in 

program regulations at 24 CFR 


rwilkins on PROD1PC63 with NOTICES_2
11750 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

583.320(a). Subsequent loss of site 

control beyond the 12-month statutory 

limit will be cause for cancellation of 

the award and recapture of funds. HUD 

may deobligate SHP funds if the 

following additional timeliness 

standards are not met: 

(a) You must begin construction 

activities within eighteen (18) months of 

the date of HUD’s grant award letter and 

complete them within thirty-six (36) 

months after that notification. 

(b) For activities that cannot begin 

until construction activities are 

completed, such as supportive service 

or operating activities that will be 

conducted within the building being 

rehabilitated or newly constructed, you 

must begin these activities within three 

(3) months after you complete 

construction. 

(c) You must begin all activities that 

may proceed independent of 

construction activities, including HMIS 

and SSO, within twelve (12) months of 

the date of HUD’s grant award letter. 

HUD may deselect or terminate a grant 

agreement if the applicant is not in 

compliance with this requirement. HUD 

may reduce a grant agreement term to 

one (1) year where implementation 

delays have reduced the amount of 

funds that reasonably can be used in the 

original term. 

(2) S+C Except SRO Component. HUD 

may deselect an award or deobligate 

S+C funds if you do not meet the 

following timeliness standards: 

(a) For Tenant-based Rental 

Assistance, for Sponsor-based Rental 

Assistance, and for Project-based Rental 

Assistance without rehabilitation, you 

must start the rental assistance within 

twelve (12) months of the date of HUD’s 

grant award letter. 

(b) For Project-based Rental 

Assistance with rehabilitation, you must 

complete the rehabilitation within 

twelve (12) months of the date of HUD’s 

grant award letter. 

(3) Section 8 Moderate Rehabilitation 

SRO Program and SRO Component of 

the S+C Program. For the Section 8 SRO 

program and the SRO component of the 

S+C program projects awarded under 

this NOFA, the Annual Contributions 

Contract (ACC) must be executed no 

later than September 30, 2009. The 

rehabilitation work must be completed 

and the HAP contract executed within 

twelve (12) months of execution of the 

Annual Contributions Contract. HUD 

may reduce the number of units or the 

amount of the annual contribution 

commitment if, in HUD’s determination, 

the Public Housing Agency fails to 

demonstrate a good faith effort to adhere 

to this schedule. 

IV. Application and Submission 

Information 

A. Application Package. A checklist of 

forms needed to complete the 

application is provided, as described in 

Section VIII below. Exhibits 1, 2, and 

the Applicant Certifications are 

attachments. The Exhibits, Geographic 

Codes, Preliminary Pro Rata Need 

Amounts, Applicant Certifications, and 

the Questions and Answers Supplement 

can be accessed at http://www.hud.gov/ 

offices/adm/grants/fundsavail.cim. An 

applicant may also obtain a copy of the 

General Section and this NOFA by 

calling the NOFA Information Center at 

1–800–HUD–8929 (voice) (this is a toll 

free number). Persons with hearing and 

speech impairments may access the 

above number via TTY by calling the 

toll-free Federal Relay Service at 800–

877–8339. Please note that all sections 

of the General Section are critical and 

must be carefully reviewed to ensure 

your application can be considered for 

funding. 

B. Content and Form of Application 

Submission. The only option for 

submitting a viable application under 

this NOFA is to submit the entire 

Continuum of Care application, with all 

of its projects, together in a single 

package mailed to HUD. Each 

application will consist of one 

Continuum of Care Exhibit and 

submissions from one or more 

applicants and project sponsors. 

Although HUD will accept an 

application for a project exclusive of 

participation in any community-wide or 

region-wide CoC development process, 

projects will receive few, if any, points 

under the CoC rating factors and are 

very unlikely to be funded. Please note 

that Exhibits 1 and 2 should only 

include the actual application questions 

and responses being provided and 

should not include the HUD application 

instructions or any blank tables and 

charts. The General Section contains 

certifications that the applicant will 

comply with fair housing and civil 

rights requirements, program 

regulations, and other Federal 

requirements, and (where applicable) 

that the proposed activities are 

consistent with the HUD-approved 

Consolidated Plan of the applicable 

state or unit of general local 

government. Section IV of Exhibit 2 of 

this NOFA contains program-specific 

Applicant Certifications. 

1. Application Submission 

Requirements 

a. A completed application will 

include one Exhibit 1 (CoC) and any 

number of Exhibits 2, depending on the 

number of projects and type of programs 

proposed for funding. For example, if 

your CoC were proposing five SHP 

Renewal projects and one S+C New 

project, then you would submit one 

Exhibit 1 and six Exhibits 2, filling out 

the applicable charts in Exhibit 2 for 

each project. Refer to Assembly Order 

below for full assembling instructions. 

b. Assembly Order: Each CoC must 

submit the entire CoC application, with 

all of its parts, in a single package to 

HUD. There are three separate sections 

to a CoC submission: the CoC Exhibit 1, 

all applicant documentation, and all 

project documentation. The application 

must be assembled in the following 

order: 

(1) Section I—Exhibit 1 Narrative and 

Charts 

(a) HUD–40090–1, Exhibit 1, the CoC 

plan with all charts completed as 

applicable; 

(b) HUD–27300, America’s Affordable 

Communities Initiative/Removal of 

Regulatory Barriers, with supporting 

documentation; 

(c) HUD–2993, Acknowledgment of 

Application Receipt; and 

(d) HUD–2994–A, You Are Our 

Client! Grant Applicant Survey 

(optional). 

(2) Section II—Applicant 

Documentation 

(a) SF–424 Application for Federal 

Assistance. Submit one SF–424 for each 

applicant in the Continuum. Attached to 

each SF–424 must be a list of all the 

applicant’s projects in priority number 

order, with project name and requested 

amount. Each SF–424 must also include 

the applicant’s DUNS number. Please 

see the General Section for more 

information on obtaining a DUNS 

number. The SF–424 Supplement, 

Survey on Ensuring Equal Opportunities 

for Applicants, is for private nonprofit 

applicants only and completion/ 

submission of this survey is voluntary. 

Additionally, each applicant must 

attach the following documentation (i–

v) to its SF–424: 

(i) Documentation of Applicant 

Eligibility. Only applicants for new 

projects must include documentation of 

eligibility as defined in the chart in 

Section III.A.3. Also, see Section 

I.A.8.m. & o. of this NOFA for 

information on the documentation 

required to validate non-profit status. 

(ii) SF–LLL, Disclosure of Lobbying 

Activities, where applicable. 

(iii) Applicant Code of Conduct. (New 

applicants and applicants awarded HUD 

funding prior to 2007 who have not 

previously submitted a Code of 

Conduct). 

(iv) HUD 40090–4, Applicant 

Certifications. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11751 

(3) Section III—Project 

Documentation: Each project applying 

under Exhibit 2 must be submitted in its 

priority list order with all Exhibit 2 

required forms, HUD–40090–2, 

completed for every project. The 

following documentation must be 

included after each project submission: 

(a) Documentation of Sponsor 

Eligibility. Only sponsors for new 

projects must include documentation of 

eligibility as defined in the chart in 

Section III.A.3. See also Section I.A.8.n. 

for information on the documentation 

required to validate sponsor eligibility. 

(b) HUD–96010, Program Outcome 

Logic Model (for Logic Model 

instructions, see the General Section of 

the NOFA); 

(c) HUD–2880, Applicant/Recipient 

Disclosure/Update Report; 

(d) HUD–2991, Certification of 

Consistency with the Consolidated Plan; 

and 

(e) SF 424-Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (for private nonprofit 

applicants only—completion of survey 

is voluntary). 

2. Assembly Format 

a. The standard font that should be 

used for narratives is Times New 

Roman, size 12 (pitch). Number all 

pages within each exhibit sequentially 

and insert tabs marking each exhibit. 

b. Please use a two-hole punch to 

insert holes at the top of your 

application. 

c. Please do not bind your 

application, since this impedes 

processing. 

C. Submission Dates and Times 

1. Application Deadline Date. Your 

completed application must be 

submitted on or before June 8, 2007 to 

the addresses shown below. HUD will 

not accept faxed or hand delivered 

applications. 

a. Timeliness. Your application will 

be considered filed in a timely manner 

if your application is postmarked on or 

before 11:59:59 p.m. on the application 

deadline date, and received by HUD on 

or within fifteen (15) days of the 

application deadline date. Applicants 

may use any type of mail service 

provided by the United States Postal 

Service (USPS) to have their application 

package delivered to HUD in time to 

meet the timely submission 

requirements. Applicants using the 

USPS must take their application to a 

post office to get a receipt of mailing 

that provides the date and time the 

package was submitted to the USPS. 

USPS rules now require that large 

packages must be brought to a postal 

facility for mailing. In many areas, the 

USPS has made a practice of returning 

to the sender, large packages that have 

been dropped in a mail collection box. 

If the USPS does not have a receipt with 

a digital time stamp, HUD will accept a 

receipt showing USPS Form 3817, 

Certificate of Mailing with a dated 

postmark. The proof of submission 

receipt provided by the USPS must 

show receipt no later than the 

application deadline. The Certificate of 

Mailing or other USPS receipt will be 

your documentary evidence that your 

application was timely filed. If your 

application is sent by overnight delivery 

or express mail, other than the United 

States Postal Service, your application 

will be timely filed if it is placed in 

transit with the overnight/express mail 

service on or before the application 

submission date. Applicants should 

retain a receipt from these services 

showing that it was submitted for 

delivery by the application deadline 

date and time. Applicants whose 

applications are determined to be late, 

who cannot furnish HUD with a receipt 

from the USPS or other mail carrier that 

verifies the package was submitted prior 

to the submission deadline date and 

time will not receive funding 

consideration. 

b. Field Office Copies. The HUD Field 

Office must also receive one copy of 

your application, with the same due 

date and timely filing requirements as 

described in Section IV.C.1.a above. In 

the rare event that a CoC’s entire 

application is not received at HUD 

Headquarters on time, HUD may 

similarly request proof that the 

Headquarters and Field Office copy was 

filed on time and, if so, may use the 

copy received by the Field Office for 

review. 

D. Intergovernmental Review 

Not applicable. 

E. Funding Restrictions 

Funding Restrictions are outlined in 

Sections V.B.3.a and V.B.3.b. 

F. Other Submission Requirements 

1. Addresses for Submitting 

Applications: 

a. To HUD Headquarters. Once you 

have downloaded the forms from the 

web site and completed the application 

and all documentation, submit your 

original completed application (the 

application with the original signed 

documentation) and one additional 

copy of Exhibit 1 only to: HUD 

Headquarters, Robert C. Weaver 

Building, 451 Seventh Street, SW, Room 

7270, Washington, DC 20410, Attention: 

Continuum of Care Programs. 

b. To the Appropriate CPD Field 

Office. Also submit one copy of your 

completed application to the 

Community Planning and Development 

Division of the appropriate HUD Field 

Office for your jurisdiction. Please see 

the following web site for Field Office 

addresses: http://www.hud.gov/ 

localoffices.cfm. 

2. Security Procedures. HUD 

recommends that applications be mailed 

or shipped express using the United 

States Postal Service (USPS). However, 

applications shipped via United Parcel 

Service (UPS), FedEx, DHL, or Falcon 

Carrier will also be accepted. Due to 

HUD security regulations, no other 

delivery service is permitted into HUD 

Headquarters without escort. You must, 

therefore, use one of the four carriers 

listed above. 

V. Application Review Information 

A. Criteria. Your application will 

receive a higher score under the CoC 

scoring factors if the application 

demonstrates the achievement of four 

basic goals: 

—One, that you have successfully 

identified and developed partnerships 

with nonprofit organizations 

(including those representing persons 

with disabilities), government 

agencies, jurisdictional ten-year 

planning bodies, public housing 

agencies, faith-based and other 

community-based organizations, other 

homeless providers, housing 

developers and service providers, 

private businesses and business 

associations, law enforcement 

agencies, funding providers, and 

homeless or formerly homeless 

persons, and that your CoC structure 

and decision-making processes are 

inclusive of all of these parties. Also, 

other jurisdictional ten-year plans 

within your CoC’s geographic area 

must be aligned and integrated with 

the CoC plan; 

—Two, that you have created, 

maintained, and built upon a 

community-wide inventory of 

housing and services for homeless 

families and individuals (both HUD 

and non-HUD funded); identified the 

full spectrum of needs of homeless 

families and individuals; and 

coordinated efforts to fill gaps 

between the current inventory and 

existing needs. This coordinated effort 

must appropriately address all aspects 

of the continuum, especially 

permanent housing; 

—Three, that you have instituted a CoCwide strategy to achieve the CoC’s 

goals, especially to end chronic 

homelessness. This can be 

accomplished through careful 


rwilkins on PROD1PC63 with NOTICES_2
11752 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

planning, coordination with other 

state and local ten-year plans, and 

through leveraging resources from 

multiple sources; and 

—Four, that your Continuum is working 

toward the HUD/national 

performance objectives (the objectives 

listed in Section VI.B.1 below and on 

Chart N in Exhibit 1, the CoC 10-Year 

Plan, Objectives, and Action Steps 

Chart), that you are reporting on 

progress toward the CoC’s goals, and 

that you are coordinating homeless 

assistance with mainstream health, 

social services, and employment 

programs. 

1. Applicant and sponsor eligibility, 

capacity and performance. HUD will 

review applications to ensure that the 

applicant and project sponsor meet the 

eligibility and capacity standards 

outlined in this section. If HUD 

determines these standards are not met, 

the project will be rejected from the 

competition. The eligibility, capacity 

and performance standards are as 

follows: 

a. You must be eligible to apply for 

the specific program. 

b. You must demonstrate ability to 

carry out the project(s). With respect to 

each proposed project, this means that, 

in addition to knowledge of and 

experience with homelessness in 

general, the organization carrying out 

the project, its employees, or its 

partners, must have the necessary 

experience and knowledge to carry out 

the specific activities proposed, such as 

housing development, housing 

management, and service delivery. 

c. If you or the project sponsor is a 

current or past recipient of assistance 

under a HUD McKinney-Vento Act 

program, there must have been no delay 

in meeting applicable program 

timeliness standards unless HUD 

determines the delay in project 

implementation is beyond your or the 

project sponsor’s control, there are no 

serious unresolved HUD monitoring 

finding, and no outstanding audit 

finding of a material nature regarding 

the administration of the program. 

2. Review, Rating and Conditional 

Selection. HUD will use the same 

review, rating, and conditional selection 

process for all three programs (SHP, S+C 

and SRO). The standard factors for 

award identified in the General Section 

have been modified in this NOFA as 

described below. Only the factors 

described in this NOFA—Continuum of 

Care and Need—will be used to assign 

points. Parts 2a and 2b in this section 

describe selection factors. Up to 100 

points will be assigned using these 

factors, including rating points for 

HUD’s policy priority of ending chronic 

homelessness; and the policy priority 

for removing regulatory barriers to 

affordable housing (see Section V.B.3.b. 

and V.A.2.a.(4)g. below on both policy 

priorities). There are no bonus points for 

proposing projects in an RC/EZ/EC–IIs. 

a. Continuum of Care. HUD will 

award up to 60 points as follows: 

(1) Organizational Structure: HUD 

will award up to 8 points based on the 

extent to which your application 

demonstrates: 

(a) The existence of a coordinated, 

inclusive, and outcome-oriented 

community process, including 

organizational structure(s) and decisionmaking processes for developing and 

implementing a CoC strategy; 

(b) That this process includes 

nonprofit organizations (such as 

veterans service organizations, 

organizations representing persons with 

disabilities, faith-based and other 

community-based organizations, and 

other groups serving homeless and other 

low-income persons), state and local 

governmental agencies, public housing 

agencies, housing developers and 

service providers, school systems, law 

enforcement, hospital and medical 

entities, funding providers, local 

businesses and business associations, 

and homeless or formerly homeless 

persons; and 

(c) That the CoC has a process in 

place to achieve fair and impartial 

project review and selection, with 

representation and input from diverse 

parties such as those outlined under 

Criteria for Application Review. 

(2) CoC Housing and Service Needs: 

HUD will award up to 12 points based 

on the extent to which your application 

demonstrates: 

(a) That a well-defined and 

comprehensive strategy has been 

developed which addresses the 

components of a CoC system (i.e., 

outreach, intake and assessment; 

emergency shelter; transitional housing; 

permanent supportive housing; and 

prevention), and that the strategy has 

been designed to serve all homeless 

subpopulations in the community (e.g., 

seriously mentally ill, persons with 

multiple diagnoses, veterans, persons 

with HIV/AIDS), including those 

persons living in emergency shelters, 

supportive housing for homeless 

persons, or in places not designed for, 

or ordinarily used as, a regular sleeping 

accommodation for human beings. 

Having high-quality data is important, 

and your application in this section 

must demonstrate the CoC’s data 

collection methods. 

(b) HMIS Implementation. Of these 12 

points, HUD will award up to 5 points 

based upon the extent to which your 

application demonstrates progress in the 

planning, implementation and operation 

of an HMIS system covering at a 

minimum all street outreach, emergency 

shelters and transitional housing 

programs so that a reliable, 

unduplicated count of homeless persons 

on the street and in shelters may be 

conducted. 

(3) CoC Strategic Planning: HUD will 

award up to 10 points based on the 

extent to which your application 

demonstrates: 

(a) The existence of a performancebased 10-year strategy for ending 

chronic homelessness that establishes 

specific action steps to achieve the five 

objectives listed in Chart N, the CoC 10- 

Year Plan, Objectives, and Action Steps 

Chart, with measurable achievements. It 

should be integrated with other ten-year 

plans in the community to eliminate 

chronic homelessness (if applicable), 

the local HUD Consolidated Plan, and 

other state and local plans related to 

homelessness; 

(b) Your Continuum’s progress in 

working with the appropriate local 

government entity to develop and 

implement a discharge policy for 

persons leaving publicly funded 

institutions or systems of care (such as 

health care facilities, foster care or other 

youth facilities, or correction programs 

and institutions) in order to prevent 

such discharge from immediately 

resulting in persons entering the 

homeless system; 

(c) Proposes projects that are 

consistent with identified unmet needs 

and correctly completes the priority 

chart (note: if you do not provide a 

Project Priority Chart in Exhibit 1, all 

proposed projects may lose up to 30 

points of the 40-point Need total); 

(d) Provides estimates of renewal 

funds needed through 2012 for SHP and 

S+C projects; and 

(e) Demonstrates leveraging of funds 

requested under this NOFA with other 

resources, including private, other 

public, and mainstream services and 

housing programs, for proposed projects 

and ongoing efforts (Leveraging 

Supplemental Resources). 

(4) CoC Performance: HUD will award 

up to 18 points based upon the CoC’s 

progress in reducing homelessness, 

including chronic homelessness. Please 

note that HUD reserves the right to 

award at least a minimum score of half 

of the full points in this section, for each 

completed chart in Part IV, CoC 

Performance, to continuums located in 

areas affected by Hurricanes Katrina and 

Rita that President Bush has declared to 

be major disaster areas under Title IV of 

the Robert T. Stafford Act. CoC 

Performance will be measured by 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11753 

demonstrating: That the CoC has taken 

specific action steps and made progress 

toward achieving its goals; That the CoC 

has increased the number of permanent 

housing beds for the chronically 

homeless and made progress toward 

eliminating chronic homelessness; 

Program participants’ success in 

moving to and maintaining permanent 

housing as reported in the most recent 

Annual Progress Report (APR); 

The extent to which participants 

successfully become employed and 

access mainstream programs. These 

measures emphasize HUD’s 

determination to assess grantees’

performance in the prior program year 

and to determine if they are meeting the 

overall goal of the homeless assistance 

grants under which they are funded. 

Both housing and supportive services 

only projects will be assessed, using the 

data submitted in Exhibit 1, Charts W 

and X; 

That the CoC has no unexecuted 

grants; 

That projects within the CoC have 

policies and practices in place to hire, 

and have hired, low and very lowincome employees and subcontractors, 

under Section 3 of the Housing and 

Urban Development Act of 1968 (HUD 

will award up to 2 points for this chart, 

within the 18 points for this rating 

factor); and 

Removal of Regulatory Barriers to 

Affordable Housing: As provided for in 

the General Section, HUD will award up 

to 2 points, within the 18 points for this 

rating factor, based on the extent that 

the CoC’s application demonstrates a 

local plan and/or existing policy to 

remove regulatory barriers to the 

production of affordable housing. 

Applicable activities include the 

support of state and local efforts to 

streamline processes, eliminate 

redundant requirements, statutes, 

regulations, and codes that impede the 

availability of affordable housing. The 

response (one questionnaire per CoC) 

should be submitted for consideration 

as a completed HUD Form 27300, 

Questionnaire for HUD’s Removal of 

Regulatory Barriers. The Continuum 

should submit the questionnaire for the 

local jurisdiction where the majority of 

its CoC assistance will be provided. 

Please identify the name of the 

jurisdiction reported on the top of the 

first page of the returned questionnaire. 

The completed questionnaire (Part A or 

B, NOT both) must include some form 

of documentation, where requested, and 

identify a point of contact. This 

questionnaire can be found in the 

attachments to the General Section and 

should be submitted with Exhibit 1. 

(5) Emphasis on Housing Activities: 

HUD will award up to 12 points based 

upon the relationship between funds 

requested for housing activities (i.e., 

transitional and permanent) and funds 

requested for supportive service 

activities among projects assigned 40 

need points (including S+C renewals). 

Points will be awarded on a sliding 

scale with the Continuums with the 

highest percentage of approvable 

requests for funds for housing activities 

receiving the highest points. HUD will 

count as housing activity all approvable 

requests for funds for rental assistance 

and approvable requests for funds for 

acquisition, rehabilitation, construction, 

leasing and operations when used in 

connection with housing. HMIS costs 

and administrative costs will be 

excluded from this calculation. 

b. Need: HUD will award up to 40 

points for need. There is a three-step 

approach to determining the need scores 

to be awarded to projects. 

(1) Step 1—HUD’s Determination of 

preliminary pro rata need: To determine 

the homeless assistance need of a 

particular jurisdiction, HUD will use 

nationally available data, including the 

following factors as used in the 

Emergency Shelter Grants (ESG) 

program; data on poverty, housing 

overcrowding, population, age of 

housing, and growth lag. Applying those 

factors to a particular jurisdiction 

provides an estimate of the relative need 

index for that jurisdiction compared to 

other jurisdictions applying for 

assistance under this NOFA. 

(2) Step 2—Determining CoC hold 

harmless pro rata need: In CoCs where 

the total amount needed to fund, for one 

year, all SHP grants eligible for renewal 

in this competition exceeds the 

preliminary pro rata need amount for 

that CoC, the CoC will receive this 

higher amount, referred to as the CoC 

hold harmless amount. SHP grants 

eligible for renewal are those that expire 

between January 1, 2008 and December 

31, 2008. No adjustment will be made 

for S+C renewals. To provide 

communities with maximum flexibility 

in addressing current needs, CoCs have 

the discretion to not fund or to reduce 

one or more SHP renewal project 

applications and still receive the benefit 

of the hold harmless amount if the CoC 

proposes to use that amount of reduced 

renewal funds for new permanent 

supportive housing projects. As in past 

years, CoCs who would like to create 

new permanent housing units may use 

the ‘‘hold harmless reallocation 

process’’ to do so. With this process, 

eligible CoCs can replace or reduce 

renewal projects with a new permanent 

housing project using the same funds. In 

the past, a CoC risked losing the funds 

that it had ‘‘reallocated’’ in this way if 

the CoC did not score above the full 

funding line. New this year, if a CoC 

reallocates a portion of its pro rata need 

to an eligible new permanent housing 

project, the project will be funded, as 

long as it is in a CoC receiving at least 

65 points. HUD is making this change to 

make it easier for CoCs to choose to 

fund new permanent housing units. For 

more information on hold harmless 

status and the process for reallocating 

pro rata need, see section I.A.8.g of this 

NOFA (the glossary) or the Questions 

and Answers Supplement at 

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

fundsavail.cfm. 

(3) Step 3—Samaritan Housing 

Initiative: Formerly referred to as the 

Permanent Housing Bonus, this special 

incentive to promote permanent 

supportive housing for the chronically 

homeless is provided to CoC systems 

that place an eligible, new permanent 

supportive housing project in the 

number one priority position on the 

priority list. If the number one priority 

project qualifies as an eligible, new 

permanent housing project exclusively 

serving the chronically homeless, then 

the full amount of that project’s eligible 

housing activities, up to a maximum 15 

percent of the CoC’s preliminary pro 

rata need, will be added to the pro rata 

need amount for the Continuum. The 

only eligible activities that will be 

counted toward this bonus are housing 

activities and for SHP, case 

management, and administration. 

Applicants may use no more than 20 

percent of this bonus for case 

management costs. Please note: any 

amount of the proposed project that 

exceeds the limitations described above 

will be applied against the pro rata need 

for the CoC. For the SHP program, 

housing activities are acquisition, new 

construction, rehabilitation, leasing of 

housing and operating costs when used 

in connection with housing. S+C and 

SRO rental assistance are defined as 

housing activities and are eligible under 

the incentive as well. HMIS costs will 

be excluded from this calculation. 

(4) Step 4—Final Pro Rata Need: The 

dollar amount determined after 

application of each of these steps, as 

applicable, is referred to as the ‘‘final 

pro rata need amount.’’ Please be 

advised that the final funding amount 

awarded to Shelter Plus Care or Section 

8 SRO projects may be different from 

the requested amount due to changes in 

the FMRs. HUD will apply FMR changes 

after selection. 

(5) Step 5—Awarding need points to 

projects: Once HUD establishes the final 

pro rata need, HUD will apply it against 


rwilkins on PROD1PC63 with NOTICES_2
11754 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

the priority project list in the 

application. Starting from the highest 

priority project, HUD will proceed 

down the list to award need points to 

each project. Any project not falling 

fully within the 40 point need range 

will receive 10 need points. Thereafter, 

HUD will proceed further down the 

priority project list and award 10 points 

for need to each project if it falls fully 

within the ‘‘second level’’ of pro rata 

need amount for that CoC. The ‘‘second 

level’’ is the amount between the pro 

rata need and twice the pro rata need for 

the CoC. Remaining projects each 

receive 5 points. If the projects for the 

Continuum are not prioritized, then all 

projects will receive 0 points for Need. 

B. Reviews and Selection Process 

1. Review, Rating, and Ranking. HUD 

may employ rating panels to review and 

rate applications. See the General 

Section for more information on rating 

panels. Two types of reviews will be 

conducted—threshold review and 

selection factor (CoC and Need) rating. 

Applicant and Sponsor Eligibility and 

Capacity as well as Project Eligibility 

and Project Quality are threshold 

reviews. Threshold reviews are 

explained in Section III.C.2 of this 

NOFA, which covers eligible applicants 

and projects. HUD will add the score for 

the CoC to the Need score to obtain a 

total score for each project. The projects 

will then be ranked nationally from 

highest to lowest according to the total 

combined score. 

2. Conditional Selection and 

Adjustments to Funding 

a. Conditional Selection. Whether a 

project is conditionally selected, as 

described in Section VI.A, will depend 

on its overall ranking compared to 

others, except that HUD reserves the 

right to select lower rated eligible 

projects in order to meet the 30 percent 

overall permanent housing requirement, 

as well as the 10 percent chronic 

homeless requirement. Projects that are 

included in the 10 percent chronic 

homeless requirement may also be part 

of the 30 percent overall permanent 

housing requirement. (See Section V.B.3 

below for additional selection 

considerations regarding these 

requirements.) 

When insufficient funds remain to 

fund all projects in the competition 

having the same total score, HUD will 

first fund permanent housing projects if 

necessary to achieve the 30 percent 

overall permanent housing requirement. 

HUD will then fund non-permanent 

housing, safe haven-TH and transitional 

housing projects that predominantly 

serve individuals experiencing chronic 

homelessness in order to achieve the 10 

percent chronic homeless requirement. 

HUD will then break ties among the 

remaining projects with the same total 

score by comparing scores received by 

the projects for each of the following 

scoring factors, in the order shown: 

Need, Overall CoC score, CoC 

Organizational Structure, CoC Housing 

and Service Needs, CoC Strategic 

Planning, CoC Performance, Housing 

Emphasis and Performance. The final 

tie-breaking factor is the priority 

number of the competing projects on the 

applicable CoC priority list(s). 

HUD has determined that the 

Congressional goal of enhancing 

homeless data collection at the CoC 

level is best achieved by assisting CoCs 

seeking dedicated Homeless 

Management Information Systems 

(HMIS) to receive Supportive Housing 

Program funds. To this end, HUD 

reserves the right to fund for at least one 

year lower rated eligible dedicated 

HMIS projects receiving 40 need points 

and at least 25 Continuum points. 

b. Adjustments to Funding: HUD has 

determined that geographic diversity is 

an appropriate consideration in 

selecting homeless assistance projects in 

the competition. HUD believes that 

geographic diversity can be achieved 

best by awarding grants to as many CoCs 

as possible. To this end, in instances 

where any of the 50 States, the District 

of Columbia, the Commonwealth of 

Puerto Rico, Guam, the Northern 

Mariana Islands, the Virgin Islands, and 

American Samoa does not have at least 

one funded CoC, HUD reserves the right 

to fund eligible project(s) receiving 40 

Need points in the CoC with the highest 

total score in that jurisdiction. To 

qualify for funding, the total score for 

these first-level projects on the CoC 

priority list must be at least 65 points. 

In the case of two or more CoCs with the 

same total score, HUD will use the tiebreaking rules described above. In 

addition, if the highest priority project 

passing threshold requirements within a 

CoC fails to meet the criteria for 

receiving 40 Need points, HUD reserves 

the right to reduce the total requested 

amount for that project to allow it to 

qualify for 40 Need points. If you do not 

submit clear project priority 

designations for the Continuum or if 

HUD, at its sole discretion, cannot 

determine the CoC’s priority 

designations, then HUD will give all 

such projects 0 Need points. If the CoC 

requests a new permanent housing 

project as the highest priority, and HUD 

determines that it is not a permanent 

housing project, HUD reserves the right 

to not award funds to that project rather 

than reclassify the component. The 

intent of this provision is to preserve 

PRN for lower ranking projects. Finally, 

if the total amount that would be 

awarded for first level projects in a CoC 

exceeds the final pro rata need amount 

for that CoC, the lowest priority first 

level project being selected for funding 

will be reduced to the amount that is 

wholly within the higher need level. 

HUD may otherwise adjust funding of 

applications in accordance with the 

provisions of the General Section. 

In addition, HUD reserves the right to 

ensure that a project that is applying for, 

and eligible for, selection under this 

competition is not awarded funds that 

duplicate activities. If the geography 

included in your CoC strategy 

substantially overlaps that of another 

application, projects within the CoC 

application that receive the highest CoC 

score will be eligible for up to 40 Need 

points. Projects in the competing CoC 

application with the lower CoC score 

will receive 0 need points. In no case 

will the same geographical area be used 

more than one time in assigning Need 

points. The local HUD Field Office can 

help you determine if any of the areas 

proposed for inclusion by your CoC 

system is also likely to be claimed under 

another CoC system in this competition. 

3. Additional Selection 

Considerations. HUD also will apply the 

limitations on funding described below 

in making conditional selections. 

a. Thirty Percent Permanent Housing 

Requirement. In accordance with the 

appropriation for homeless assistance 

grants in the Fiscal Year 2007 HUD 

Appropriations Act, HUD will use not 

less than 30 percent of the total FY 2007 

Homeless Assistance Grants 

appropriation, excluding amounts 

provided for renewals under the S+C 

Program, to fund projects that meet the 

definition of permanent housing. 

Projects meeting the definition of 

permanent housing for this purpose are: 

(1) New and renewal projects under 

the SHP that are designated as either 

permanent housing for homeless 

persons with disabilities or Safe Haven 

projects designated as having the 

characteristics of permanent housing for 

homeless persons with disabilities, 

including having leases with all 

program participants. All such 

permanent housing projects chosen for 

this purpose must have received at least 

10 Need points, and must be submitted 

as part of a CoC application receiving at 

least 25 points under the CoC scoring 

factor. However, no CoC applicant may 

receive more than 30 percent of its pro 

rata need, up to $3 million, for ‘‘second 

level’’ permanent housing projects 

assigned 10 Need points that are 

selected for funding under this 

procedure. (See Section V.A.2.b(5) for 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11755 

definition of ‘‘second level.’’) HUD will 

award no less than 30 percent of the 

total FY 2007 Homeless Assistance 

Grants appropriation, excluding 

amounts for S+C renewals, for 

permanent housing projects unless an 

insufficient number of approvable 

permanent housing projects are 

submitted. In order to meet this 

permanent housing funding requirement 

and stay within the total funding 

amount available, initially selected 

Supportive Service Only (SSO) and nonpermanent housing projects will be 

deselected if necessary to add an 

adequate number of permanent housing 

projects, even if they are lower scoring 

housing projects. HUD will, if 

necessary, first proceed to de-select new 

SSO projects initially selected, starting 

with lowest scoring new projects and 

proceeding to higher scoring new SSO 

projects initially selected. If the funding 

line is still exceeded, HUD will proceed 

to de-select the lowest scoring new nonpermanent housing projects initially 

selected and proceed to higher scoring 

new non-permanent housing projects. 

Finally, if the funding line is still 

exceeded HUD will proceed to de-select 

SSO and then other non-permanent 

housing renewal projects until all 

selected projects are within the funding 

line. 

(2) New S+C projects; and 

(3) SRO projects. 

b. Ten Percent Housing for Chronic 

Homeless Requirement: HUD has 

implemented a requirement that at least 

10 percent of the appropriation must be 

awarded for projects predominantly 

serving individuals experiencing 

chronic homelessness. To be considered 

predominantly serving chronically 

homeless people, at least 70 percent of 

the persons served in this project must 

meet HUD’s definition of chronic 

homelessness. Permanent housing, 

transitional and safe haven housing 

projects, whether new or renewal, that 

commit to predominantly serving 

persons experiencing chronic 

homelessness will be counted for this 

purpose. To meet this requirement, 

HUD will also include permanent 

housing projects selected for the 30 

percent requirement that predominantly 

serve chronically homeless persons. 

S+C renewals will then be screened to 

count projects predominantly serving 

chronically homeless persons. If the 10 

percent requirement is not yet met, 

permanent, transitional and safe haven 

housing projects below the funding line 

that predominantly serve chronically 

homeless persons will also be selected 

to achieve this requirement. 

c. Distribution of Selections: In 

accordance with section 429 of the 

McKinney-Vento Act, HUD will award 

Supportive Housing Program funds as 

follows: not less than 25 percent for 

projects that primarily serve homeless 

families with children; not less than 25 

percent for projects that primarily serve 

homeless persons with disabilities; and 

not less than 10 percent for supportive 

services not provided in conjunction 

with supportive housing. After projects 

are rated and ranked, based on the 

factors described above, HUD will 

determine if the conditionally selected 

projects achieve these minimum 

percentages. If not, HUD will skip 

higher-ranked projects in order to 

achieve these minimum percentages. 

In accordance with section 463(a) of 

the McKinney-Vento Act, at least 10 

percent of S+C funds will be awarded 

for each of the four components of the 

program: Tenant-based Rental 

Assistance; Sponsor-based Rental 

Assistance; Project-based Rental 

Assistance; and Single Room 

Occupancy (provided there are 

sufficient numbers of approvable 

projects to achieve these percentages). 

After projects are rated and ranked, 

based on the factors described above, 

HUD will determine if the conditionally 

selected projects achieve these 

minimum percentages. If necessary, 

HUD will skip higher-ranked projects in 

order to achieve these minimum 

percentages. 

In accordance with section 455(b) of 

the McKinney-Vento Act, no more than 

10 percent of the assistance made 

available for S+C in any fiscal year may 

be used for programs located within any 

one unit of general local government. In 

accordance with section 441(c) of the 

McKinney-Vento Act, no city or urban 

county may have SRO Section 8 projects 

receiving a total of more than 10 percent 

of the assistance made available under 

this program. HUD is defining the 10 

percent availability this fiscal year as 

$10 million for S+C and $10 million for 

Section 8 SRO. However, if the amount 

awarded under either of these two 

programs exceeds $100 million, then the 

amount awarded to any one unit of 

general local government (for purposes 

of the S+C Program) or city or urban 

county (for the purposes of the Section 

8 SRO Program) cannot exceed 10 

percent of the actual total amount 

awarded for that program. 

Lastly, HUD reserves the right to 

reduce the amount of a grant if 

necessary to ensure that no more than 

10 percent of assistance made available 

under this NOFA will be awarded for 

projects located within any one unit of 

general local government or within the 

geographic area covered by any one 

Continuum of Care. If HUD exercises a 

right it has reserved under this NOFA, 

that right will be exercised uniformly 

across all applications received in 

response to this NOFA. 

4. Corrections to Deficient 

Applications. The General Section 

provides the procedures for corrections 

to deficient applications. 

VI. Award Administration Information 

A. Award Notices 

1. Action on Conditionally Selected 

Applications. HUD will notify 

conditionally selected applicants in 

writing. HUD may subsequently request 

them to submit additional project 

information, which may include 

documentation to show the project is 

financially feasible; documentation of 

firm commitments for cash match; 

documentation showing site control; 

information necessary for HUD to 

perform an environmental review; a 

copy of your Code of Conduct; and such 

other documentation as specified by 

HUD in writing to the applicant, that 

confirms or clarifies information 

provided in the application. HUD will 

notify SHP, SRO, S+C and S+C/SRO 

applicants of the deadline for 

submission of such information. If an 

applicant is unable to meet any 

conditions for fund award within the 

specified timeframe, HUD reserves the 

right not to award funds to the applicant 

and add them to funds available for the 

next competition for the applicable 

program. 

2. Applicant Debriefing: See the 

General Section for applicant debriefing 

procedures. 

3. Appeals Process: Applicants may 

appeal the results of HUD’s review and 

selection process if they believe a HUD 

error has occurred. Appeals must be 

submitted in writing to the Assistant 

Secretary for Community Planning and 

Development and must state what HUD 

error the applicant believes has 

occurred. 

B. Administrative and National Policy 

Requirements 

1. Administrative and Other Program 

Requirements 

a. The Government Performance and 

Results Act (GPRA) require Federal 

agencies to measure the performance of 

their programs. HUD captures this 

information not only from monitoring 

visits and APRs, but also on the data 

gathered in annual competitions. For 

example, the description of methods 

used in determining the project priority 

order submitted in Exhibit 1, CoC-Q, 

Project Priorities Chart, provides 

verification that projects are performing 

satisfactorily and are effectively 


rwilkins on PROD1PC63 with NOTICES_2
11756 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

addressing the needs for which they 

were designed. HUD’s homeless 

assistance programs are measured in 

2007 by the objective to ‘‘end chronic 

homelessness and to move homeless 

families and individuals to permanent 

housing.’’ This objective has a number 

of measurable indicators, five of which 

relate directly to the Continuum of Care 

homeless assistance programs. These 

five indicators are: 

(1) Create new permanent housing 

beds for chronically homeless persons. 

This information is collected in Exhibit 

1, Chart V, CoC Chronic Homeless 

Progress Chart; 

(2) At least 395 functioning CoC 

communities will have a functional 

Homeless Management Information 

System (HMIS) by Fiscal Year 2007. 

This information is collected via Exhibit 

1, Chart CoC-M, HMIS Charts; 

(3) The percentage of formerly 

homeless individuals who remain 

housed in HUD permanent housing 

projects for at least 6 months will be at 

least 71 percent. Stability in this 

permanent housing is addressed in 

Exhibit 1, Chart CoC-W, CoC Housing 

Project Performance Chart; 

(4) The percentage of homeless 

persons who have moved from HUD 

transitional housing into permanent 

housing will be at least 61.5 percent. 

The success of transitional housing is 

addressed in Exhibit 1, Chart CoC-W, 

CoC Housing Project Performance Chart; 

and 

(5) The employment rate of persons 

exiting HUD homeless assistance 

projects will be at least 18 percent. 

Obtaining employment is addressed in 

Exhibit 1, Chart CoC-X, CoC Mainstream 

Programs and Employment Project 

Performance Chart. 

b. To achieve this objective and each 

of these measurable indicators, HUD 

needs your community’s help. The 

emphasis in this year’s competition on 

housing chronically homeless persons, 

using HUD funds for transitional and 

especially permanent housing, helping 

clients access mainstream service 

programs and jobs, and implementing 

HMIS are all aligned with this GPRA 

objective and its performance 

indicators. 

c. Executive Order 13202, 

‘‘Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects.’’ Please 

see the General Section for further 

information. 

d. Procurement of Recovered 

Materials. Please see the General 

Section for further information. 

e. Please reference the General 

Section of the NOFA for other 

administrative requirements. 

2. Sanctions. Should HUD determine, 

in its sole discretion, that sufficient 

evidence exists to confirm that the 

entity responsible for convening and 

managing the CoC process in a 

community has failed to follow locally 

established or accepted procedures 

governing the conduct of that process or 

has failed to provide for a fair process, 

including a project priority selection 

process that gives equal consideration to 

projects proposed by nonprofit 

organizations, HUD reserves the 

authority to impose sanctions up to and 

including a prohibition on that entity 

and the individuals comprising that 

entity from participating in that capacity 

in the future. In making this 

determination, HUD will consider as 

evidence court proceedings and 

decisions, or the determinations of other 

independent and impartial review 

bodies. This authority cannot be 

exercised until after a description of 

procedural safeguards, including an 

opportunity for comment and appeal, 

and the specific process and procedures 

for imposing a prohibition or 

debarment, have been published in the 

Federal Register. 

C. Reporting 

Once conditionally selected 

applications advance to full award and 

execution of a grant agreement, grantees 

are required to submit an APR and a 

completed Logic Model showing 

outputs and outcomes achieved for the 

year to both HUD Headquarters and the 

respective Field Office each year. 

Grantees must also respond to the 

management questions contained in the 

Logic Model. For FY 2006, HUD is 

considering a new concept for the Logic 

Model. The new concept is a Return on 

Investment (ROI) statement. HUD will 

be publishing a separate notice on the 

ROI concept. 

In addition, applicants must report 

race and ethnicity data for beneficiaries 

of HUD programs in conformity with 

form 27061 HUD Race and Ethnic Data 

Reporting Form. CoC applicants may 

report this data as part of their Annual 

Performance Report submission to HUD. 

Also, Grantees who expend $500,000 

or more in a year in Federal awards are 

reminded they must have a single or 

program-specific audit for that year in 

accordance with the provisions of 24 

CFR 45 and OMB Circular No. A–133. 

VII. Agency Contacts 

A. For Further Information. You may 

contact the HUD Field Office serving 

your area, at the telephone number 

shown in the General Section, or you 

may contact the NOFA Information 

Center at 1–800–483–8929. Individuals 

who are hearing- or speech-impaired 

should use the Information Relay 

Service at 1–800–877–8339 (these are 

toll-free numbers). 

B. For Technical Assistance. Before 

the application deadline, HUD staff will 

be available to provide you with general 

guidance. HUD staff, however, cannot 

provide you with guidance in actually 

preparing your application. HUD Field 

Office staff also will be available to help 

you identify organizations in your 

community that are involved in 

developing the CoC system. Following 

conditional selection of applications, 

HUD staff will be available to assist 

selected applicants in clarifying or 

confirming information that is a 

prerequisite to the offer of a grant 

agreement or Annual Contributions 

Contract by HUD. However, between the 

application deadline and the 

announcement of conditional selections, 

HUD will accept no information that 

would improve the substantive quality 

of your application pertinent to HUD’s 

funding decision. 

C. Satellite Broadcast. HUD will hold 

one or more information broadcasts via 

satellite for potential applicants to learn 

more about the program and preparation 

of the application. Viewing of these 

broadcasts, which will provide critical 

information on the application process, 

is highly recommended. For more 

information about the date and time of 

the broadcast, you should consult the 

HUD web site at http://www.hud.gov/ 

offices/adm/grants/fundsavail.cfm. 

VIII. Other Information 

A. Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been submitted for 

approval by the Office of Management 

and Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and the OMB approval number is 

2506–0112. In accordance with the 

Paperwork Reduction Act, HUD may not 

conduct or sponsor, and a person is not 

required to respond to, a collection of 

information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 200 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, semi-annual 

reports and final report. The 

information will be used for grantee 

selection and monitoring the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11757 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

B. Attachments. This final section 

lists the attachments that are critical to 

the application process. Please see 

Section IV.B.1.b of this NOFA for a 

complete description of the forms and 

certifications required and the order of 

assembly. In addition to applicant and 

sponsor documentation of eligibility, 

please provide: 

1. Forms to complete for Exhibit 1, 

Continuum of Care. 

Form HUD–40090–1. Exhibit 1, 

Continuum of Care Application. All of 

the following charts comprise this form: 

A: CoC Lead Organization Chart 

B: CoC Geography Chart 

C: CoC Groups and Meetings Chart 

D: CoC Planning Process Organizations 

Chart 

E: CoC Governing Structure Chart 

F: CoC Project Review and Selection 

Chart 

G: Written Complaints Chart 

H: CoC Services Inventory 

I: Housing Inventory Charts 

J: Housing Inventory Data Sources and 

Methods Chart 

K: CoC Point-in-Time Homeless 

Population and Subpopulations Chart 

L: CoC Homeless Population and 

Subpopulations Data Sources and 

Methods Chart 

M: CoC HMIS Charts 

N: CoC 10-Year Plan, Objectives, and 

Action Steps Chart 

O: CoC Discharge Planning Policy Chart 

P: CoC Coordination Chart 

Q: CoC Project Priorities Chart 

R: CoC Pro Rata Need (PRN) 

Reallocation Chart 

S: CoC Project Leveraging Chart 

T: CoC Current Funding and Renewal 

Projections Chart 

U: CoC Achievements Chart 

V: CoC Chronic Homeless (CH) Progress 

Chart 

W: CoC Housing Performance Chart 

X: Mainstream Programs and 

Employment Project Performance 

Chart 

Y: Enrollment and Participation in 

Mainstream Programs Chart 

Z: Unexecuted Grants Awarded Prior to 

the 2005 CoC Competition Chart 

AA: CoC Participation in Energy Star 

Chart 

AB: Section 3 Employment Policy Chart 

Form HUD–27300 Questionnaire for 

HUD’s Removal of Regulatory Barriers 

Form HUD–2993 Acknowledgment of 

Application Receipt 

Form HUD–2994–A You Are Our 

Client! Grant Application Survey 

2. Forms to complete for each applicant. 

These include: 

Form SF–424 Application for Federal 

Assistance 

Form HUD–40090–4 Applicant 

Certifications 

Form HUD–2880 Applicant/Recipient 

Disclosure/Update Report 

Form SF–424 Supplement Survey on 

Ensuring Equal Opportunities for 

Applicants 

3. Forms to complete for each project 

(Exhibit 2). These include: 

Form HUD–40090–2 Exhibit 2, 

Continuum of Care Project Application 

Form HUD–96010 

Logic Model 

Form HUD–2991 

Certification of Consistency with the 

Consolidated Plan 

Note: This year, the Questions and 

Answers Supplement can be accessed at: 

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

fundsavail.cfm. 


rwilkins on PROD1PC63 with NOTICES_2
11758 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.028</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11759 

The Early Doctoral Student Research 

Grant Program and Doctoral 

Dissertation Research Grant Program 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of Policy Development and 

Research, Office of University 

Partnerships. 

B. Funding Opportunity Title: The 

Early Doctoral Student Research Grant 

(EDSRG) Program and the Doctoral 

Dissertation Research Grant (DDRG) 

Program. 

C. Announcement Type: Initial 

announcement. 

D. Funding Opportunity Number: FR–

5100–N–27; OMB Approval Numbers 

are: 

1. Early Doctoral Student Research 

Grant Program is 2528–0216. 

2. Doctoral Dissertation Research 

Grant Program is 2528–0213. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number(s): The 

CFDA Numbers for the programs in this 

NOFA are as follows: 

1. Early Doctoral Student Research 

Grant Program is 14.517 

2. Doctoral Dissertation Research 

Grant Program is 14.516 

F. Dates: The application deadline 

date is May 2, 2007. Applications must 

be received and validated by Grants.gov 

by the deadline date. Please be sure to 

read the General Section for electronic 

submission and receipt requirements. 

G. Optional, Additional Overview 

Content Information 

1. Purpose of the University Partnership 

Dissertation Programs 

a. Early Doctoral Student Research 

Grant (EDSRG) Program. To enable 

doctoral students enrolled at 

institutions of higher education 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education to 

cultivate their research skills through 

the preparation of research manuscripts 

that focus on policy-relevant housing 

and urban development issues. 

b. Doctoral Dissertation Research 

Grant (DDRG) Program. To enable 

doctoral candidates enrolled at 

institutions of higher education 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education to 

complete their research and 

dissertations on policy-relevant housing 

and urban development issues. 

2. Award Information. In Fiscal Year 

(FY) 2007, approximately $405,000 has 

been made available for the following 

Office of University Partnerships (OUP) 

dissertation programs. 

a. Early Doctoral Student Research 

Grant Program. Approximately $105,000 

is available for funding. The maximum 

grant performance period is 12 months. 

The maximum amount that can be 

requested by a doctoral student is 

$15,000. 

b. Doctoral Dissertation Research 

Grant Program. Approximately $300,000 

is available for funding. The maximum 

grant performance period is 24 months. 

The maximum amount that can be 

requested by a doctoral student is 

$25,000. 

If funding remains after all eligible 

EDSRG doctoral students have been 

selected for award, the remaining funds 

will be made available to fund eligible 

DDRG doctoral students. If funding 

remains after all eligible DDRG doctoral 

students have been selected for award, 

the remaining funds will be made 

available to fund eligible EDSRG 

doctoral students. 

3. Eligible Applicants. Eligible 

applicants are institutions of higher 

education accredited by a national or 

regional accrediting agency recognized 

by the U.S. Department of Education 

that sponsor doctoral students who meet 

the following program requirements: 

a. Early Doctoral Student Research 

Grant Program. Doctoral students 

sponsored for funding under this 

program must meet the following 

requirements: 

(1) Be a U.S. citizen or lawful 

permanent resident (recipient of an 

Alien Registration Recipient Card-Form 

I–551, commonly referred to as a Green 

Card) currently enrolled as a full-time 

student in an accredited doctoral 

program; 

(2) Have a major or concentration 

within a field related to housing and 

urban development; 

(3) Have not taken the preliminary/ 

comprehensive examinations; 

(4) Completed at least two semesters 

or three terms of a doctoral studies 

program (depending on the course 

structure of the institution); and 

(5) Have an assigned faculty advisor 

to supervise the research manuscript. 

b. Doctoral Dissertation Research 

Grant Program. Doctoral students 

sponsored for funding under this 

program must meet the following 

requirements: 

(1) Be a U.S. citizen or lawful 

permanent resident (recipient of an 

Alien Registration Recipient Card-Form 

I–551, commonly referred to as a Green 

Card) currently enrolled an accredited 

doctoral program; 

(2) Have an approved dissertation 

proposal; 

(3) By the application deadline date, 

the student’s dissertation proposal will 

be accepted by the full dissertation 

committee; 

(4) The student will have an assigned 

dissertation advisor; and 

(5) By September 1, 2007, the student 

will have satisfactorily completed all 

other written and oral doctoral degree 

requirements, including all 

examinations and defense of the 

proposal, except the dissertation. 

Full Text Of Announcement 

I. Funding Opportunity Description 

A. Early Doctoral Student Research 

Grant (EDSRG) Program 

The purpose of the EDSRG program is 

to enable doctoral students enrolled at 

an institution of higher education 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education to 

cultivate their research skills through 

the preparation of research manuscripts 

that focus on policy-relevant housing 

and urban development issues. The 

FY2007 EDSRG program seeks to fund 

research studies that may impact federal 

problem solving and policymaking and 

that are relevant to HUD’s policy 

priorities and annual goals and 

objectives. (See the General Section for 

discussion of these priorities and annual 

goals and objectives.) 

B. Doctoral Dissertation Research Grant 

(DDRG) Program 

The purpose of the DDRG program is 

to enable doctoral candidates enrolled at 

institutions of higher education 

accredited by a national or regional 

accrediting agency recognized by the 

U.S. Department of Education to 

complete their research and 

dissertations on policy-relevant housing 

and urban development issues. The 

FY2007 DDRG program seeks to fund 

research studies that may impact federal 

problem solving and policymaking and 

that are relevant to HUD’s policy 

priorities and annual goals and 

objectives. (See the General Section for 

discussion of these priorities and annual 

goals and objectives.) 

C. Topics 

Examples of topics addressing these 

issues (applicable to both the EDSRG 

and DDRG programs) include but are 

not limited to: 

1. Increase Homeownership 

Opportunities 

a. Increase Minority Homeownership. 

b. Simplify the Home Buying Process 

(RESPA reform) and Reduce Settlement 

Costs. 

c. Set Appropriate Housing Goals for 

the GSEs. 


rwilkins on PROD1PC63 with NOTICES_2
11760 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

d. Counter Predatory Lending. 

e. Help Low-Income Homeowners 

Avoid Default and Foreclosure. 

f. Evaluate Housing Counseling. 

2. Promote Decent Affordable Housing 

a. Reduce Regulatory Barriers to the 

Development of Affordable Housing, as 

well as All Forms of Multifamily 

Housing. 

b. Develop Creative Strategies for 

Expanding the Availability of 

Affordable Housing. 

c. Strengthen the Delivery of HUDFunded Rental Assistance and 

Assistance Provided Through the LowIncome Housing Tax Credit. 

d. Promote Self-Sufficiency Among 

Residents of Public and Assisted 

Housing. 

e. Meet the Housing-Related Needs of 

the Elderly. 

f. Meet the Housing-Related Needs of 

Persons with Disabilities. 

g. Improve Housing Quality and 

Affordability through Technology and 

Design. 

3. Strengthen Communities 

a. End Chronic Homelessness. 

b. Prevent Homelessness. 

c. Strengthen Cities. 

d. Meet the Housing and Community 

and Economic Development Needs of 

Residents of High-Needs Areas, 

including areas affected by Hurricane 

Katrina, Appalachia, the Mississippi 

Delta, and Indian Country. 

4. Ensure Equal Opportunity in Housing 

a. Reduce Housing Discrimination. 

b. Improve Housing Accessibility for 

Persons with Disabilities. 

5. Embrace High Standards of Ethics, 

Management, And Accountability 

a. Reduce Fraud, Waste, and Abuse in 

HUD-Funded Programs. 

b. Improve the Effectiveness of HUD 

Programs Through Program Evaluations 

and Performance Measurement. 

6. Promote Participation of Faith-Based 

and Community Organizations 

a. Strengthen the Capacity of FaithBased and Community Organizations. 

D. Authority 

HUD’s authority for making funding 

available under this NOFA is the 

Revised Continuing Appropriations 

Resolution, 2007 (Pub. L. 110–5; 

approved February 15, 2007). These 

programs are undertaken under HUD’s 

research authority under Title V of the 

Housing and Urban Development Act of 

1970. They are being implemented 

through this NOFA and the policies 

governing their operation are contained 

herein. 

E. Modifications 

Listed below are major modifications 

from the Fiscal Year (FY) 2005 programfunding announcement: 

1. A support letter from the doctoral 

student’s assigned faculty advisor is no 

longer required. 

2. A support letter from the doctoral 

student’s institution is no longer 

required to be submitted with the 

application, but must be on file at the 

time of application submission. This is 

a threshold requirement. HUD will 

require students chosen to proceed to 

the next step in the selection process to 

submit the support letter from the 

institution seven (7) calendar days after 

initial contact from the OUP. OUP will 

provide specific instructions on how the 

letter must be submitted at that time. 

OUP must receive the support letter 

within the allotted timeframe or the 

application will not be funded. 

3. All applicants submitting electronic 

applications must attach their narrative 

response to Rating Factors 1–4 as one 

attachment. 

4. The appendix section of an 

application must not exceed five (5) 

pages in length (excluding forms, budget 

narrative, and assurances). An applicant 

SHOULD NOT submit resumes, 

commitment letters, memoranda of 

understanding and/or agreements, or 

other back-up material. Each page must 

include the applicant’s name and be 

numbered. HUD will not consider the 

information on any excess page. 

II. Award Information 

In Fiscal Year (FY) 2007, 

approximately $405,000 has been made 

available for the Office of University 

Partnerships (OUP) dissertation 

programs as follows: 

A. Early Doctoral Student Research 

Grant Program. Approximately $105,000 

will be made available for funding 

under this program. The maximum 

grant performance period is 12 months. 

The maximum amount that can be 

requested by a doctoral student is 

$15,000. 

B. Doctoral Dissertation Research 

Grant Program. Approximately $300,000 

will be made available for funding 

under this program. The maximum 

grant performance period is 24 months. 

The maximum amount that can be 

requested by a doctoral student is 

$25,000. If funding remains after all 

eligible EDSRG doctoral students have 

been selected for award, the remaining 

funds will be made available to fund 

eligible DDRG doctoral students. If 

funding remains after all eligible DDRG 

doctoral students have been selected for 

award, the remaining funds will be 

made available to fund eligible EDSRG 

doctoral students. 

III. Eligibility Information 

A. Eligible Applicants. Eligible 

applicants are institutions of higher 

education accredited by a national or 

regional accrediting agency recognized 

by the U.S. Department of Education 

that sponsor doctoral students who meet 

the following program requirements: 

1. Early Doctoral Student Research 

Grant Program. Doctoral students 

applying for funding under this program 

must meet the following requirements: 

a. Be a U.S. citizen or lawful 

permanent resident (recipient of an 

Alien Registration Recipient Card—

Form I–551, commonly referred to as a 

Green Card) currently enrolled as a fulltime student in an accredited doctoral 

program; 

b. Have not taken the preliminary/ 

comprehensive examinations; 

c. Have completed at least two 

semesters or three terms of a doctoral 

studies program (depending on the 

course structure of the institution); 

d. Have an assigned faculty advisor to 

supervise the research manuscript. 

2. Doctoral Dissertation Research 

Grant Program. Doctoral students 

applying for funding under this program 

must meet the following requirements: 

a. Be a U.S. citizen or lawful 

permanent resident (recipient of an 

Alien Registration Recipient Card—

Form I–551, commonly referred to as a 

Green Card) currently enrolled in an 

accredited doctoral program; 

b. Have an approved dissertation 

proposal; 

c. By the application deadline date, 

the student’s dissertation proposal has 

been accepted by the full dissertation 

committee and the student has been 

assigned a dissertation advisor; and 

d. By September 1, 2007, the student 

will have satisfactorily completed all 

other written and oral doctoral degree 

requirements, including all 

examinations and defense of the 

proposal, except the dissertation. 

B. Cost Sharing or Matching 

None Required 

C. Other 

1. Eligible Activities. Grant funds 

awarded under this NOFA must be used 

to support direct costs incurred in the 

timely completion of the research 

product. Eligible costs include stipends, 

computer software, purchase of data, 

travel expenses to collect data, 

transcription services, and 

compensation for interviews. 

2. Threshold Requirements 

Applicable to All Applicants. All 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11761 

applicants and doctoral students must 

comply with the threshold requirements 

as defined in the General Section and 

the requirements listed below. 

Applications that do not meet these 

requirements will be considered 

ineligible for funding and will be 

disqualified. 

a. The doctoral student must meet the 

eligibility requirement for the program 

for which they are requesting funding as 

defined in Section III.A; 

b. University sponsorship. The 

university shall enter into a Grant 

Agreement with HUD that provides for 

payment of the grant by HUD to the 

university and from the university to the 

approved doctoral student, and that 

further provides all required 

certifications and assurances. The 

University shall agree to provide, as the 

Principal Investigator under the Grant 

Agreement, a faculty advisor or 

chairperson of the doctoral student’s 

dissertation committee who shall 

supervise the student’s work under the 

Grant Agreement; 

c. The student’s institution must 

provide a letter agreeing to support the 

student. The letter must outline the 

specific type of support the institution 

will provide as part of this grant. This 

support may not replace support or 

assistance the institution would 

otherwise provide to students. A 

support letter from the doctoral 

student’s institution is no longer 

required at the time of application 

submission, but must be on file at the 

time of application submission. 

Students chosen to proceed to the next 

step in the selection process will be 

required to submit the support letter 

from the institution seven (7) calendar 

days after initial contact from the OUP 

office. OUP will provide specific 

instructions on how the letter must be 

submitted at that time. If OUP does not 

receive the support letter within the 

allotted timeframe, the application will 

not be funded and the funding will be 

made available to the next eligible 

applicant. 

d. The applicant has requested no 

more funding than the grant maximum 

allocated for the program for which they 

are requesting funding as outlined in 

Section II; 

e. Only one application package can 

be submitted per doctoral student. 

Students who have received funding in 

the past are not eligible to receive 

funding under the same program; 

f. Applications must receive a 

minimum score of 75 points to be 

considered for funding; 

g. The University (the official 

applicant on behalf of the student) must 

have a DUNS number to receive HUD 

grant funds (See the General); and 

h. Electronic applications must be 

received and validated by Grants.gov no 

later than 11:59:59 p.m. eastern time on 

the application dateline date. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package 

Applicants may download the 

instructions to the application found on 

the Grants.gov Web site at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information you 

may call the Grants.gov Support Desk 

toll free 800–518–GRANTS or e-mail 

your questions to Support@Grants.gov. 

Applicants must be registered to submit 

an application via Grants.gov. See the 

General Section for information 

regarding the registration process or ask 

for registration information from the 

Grants.gov Support Desk. 

B. Content and Form of Application 

Submission 

1. Forms. The following forms are 

required for submission, except where 

otherwise noted. 

a. SF–424, Application for Federal 

Assistance; 

b. SF–424 Supplement, Survey on 

Ensuring Equal Opportunities for 

Applicants (‘‘Faith Based EEO Survey 

(SF–424 SUPP)’’ on Grants.gov); 

c. HUD–424–CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov); 

d. SF–LLL, Disclosure of Lobbying 

Activities; 

e. HUD–27300, Questionnaire for 

HUD’s Removal of Regulatory Barriers 

(‘‘HUD Communities Initiative Form’’

on Grants.gov), if applicable; 

f. HUD–2880, Applicant/Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

g. HUD–96010, Program Outcome 

Logic Model; 

h. HUD–2994–A, You Are Our Client! 

Grant Applicant Survey (Optional) 

i. HUD–2993, Acknowledgement of 

Applicant Receipt. Complete this form 

only if you have received a waiver to the 

electronic application submission 

requirement. Applicants submitting 

electronically are not required to 

include this form; and 

j. HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). This form must be used as 

the cover page to transmit third party 

documents and other information. 

Applicants are advised to download the 

application package, complete the SF–

424 first and it will pre-populate the 

Transmittal Cover page. The Transmittal 

Cover page will contain a unique 

identifier embedded in the page that 

will help HUD associate your faxed 

materials to your application. Please 

download the cover page and then make 

multiple copies to provide to any of the 

entities responsible for submitting faxed 

materials to HUD on your behalf. Please 

do not use your own fax cover sheet. 

HUD will not read any faxes that are 

sent without the HUD–96011 fax 

transmittal cover page. 

2. Certifications and Assurances. 

Please read the General Section for 

detailed information on all 

Certifications and Assurances. All 

applications submitted through 

Grants.gov constitute an 

acknowledgement and agreement to all 

required certifications and assurances. 

Please include in your application 

each item listed below. Applicants 

submitting paper copy applications 

should submit the applications in the 

following order: 

a. SF–424, Application for Federal 

Assistance. Please remember the 

following: 

(1) The name of the applicant for 

these programs is the University. Please 

make sure that the University’s address 

is listed on this form (not the student’s 

information); 

(2) Include the name, title, address, 

telephone number, facsimile number, 

and e-mail address of the designated 

contact person. This is the University 

contact that will receive all information 

pertinent to this grant including 

notification for the support letter from 

the University if required; therefore 

please ensure the accuracy of the 

information; 

(3) The total grant amount requested 

for the total performance period of the 

grant; 

(4) The University’s Employer 

Identification/Tax ID; 

(5) The DUNS Number; 

(6) The Catalog of Federal Domestic 

Assistance Number for the program 

from which you are requesting funding; 

(a) Early Doctoral Student Research 

Grant Program is 14.517 

(b) Doctoral Dissertation Research 

Grant Program is 14.516. 

(7) The signature of the Authorized 

Organization Representative (AOR) who 

by virtue of submitting an application 

via Grants.gov has been authenticated 

by the credential provider to submit 

applications on behalf of the Institution 

and approved by the eBusiness Point of 

Contact to submit an application via 

Grants.gov. The AOR must be able to 


rwilkins on PROD1PC63 with NOTICES_2
11762 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

make a legally binding agreement with 

HUD. See the General Section for 

further information. 

b. Table of Contents. 

c. Application Checklist. Doctoral 

students should use the checklist to 

ensure that they have all the required 

components of the application. Students 

submitting an electronic application do 

not have to submit the checklist. 

Students who receive a waiver of the 

electronic application submission 

requirement must include a copy of the 

checklist in their application. The 

checklist can be located in Appendix A. 

d. Executive Summary (700 words or 

less). The Executive Summary should, 

at a minimum, include a summary of 

the proposed research project that 

addresses the following information: 

(1) Specific purpose of the 

manuscript/dissertation; 

(2) Methodology being used; and 

(3) How the student meets the 

eligibility criteria for the program from 

which she/he is requesting funding. 

In addition, include the following 

information: 

(1) Student’s address, telephone 

number, facsimile number, and e-mail 

address at the university; and 

(2) The faculty advisor’s name, title, 

department, address, telephone number, 

facsimile number, and e-mail address. 

This person will serve as the Principal 

Investigator for this grant. 

e. Narrative statement addressing the 

Rating Factors. HUD will use the 

narrative response to the ‘‘Rating 

Factors’’ to evaluate, rate, and rank 

applications. The narrative statement is 

the main source of information. 

Therefore, it is very important that the 

student becomes fully familiar with the 

rating factors for the program from 

which he/she is requesting funding. The 

narrative should be numbered in 

accordance with each factor and 

subfactor. Please do not repeat material 

in response to the four factors; instead, 

focus on how well the proposal 

responds to each of the factors. Make 

sure to address each factor and subfactor 

and provide sufficient information 

about every element. The application 

narrative, bibliographies, and any 

supporting references must not exceed 

15 pages in length (excluding forms, 

assurances, budget narrative, Table of 

Contents, and Executive Summary) and 

must be submitted on 81⁄2 by 11-inch 

paper, double-spaced on one side of the 

paper, with one inch margins (from the 

top, bottom, left, and right side of the 

document) and printed in standard 

Times New Roman 12-point font. Each 

page must be numbered and the name 

of the student and university must be on 

each page. The double-spacing 

requirement applies to the narrative 

section of the application (excluding 

references, and bibliographies ). Note 

that although submitting pages in excess 

of the page limit will not disqualify the 

application, HUD will not consider the 

information on any excess page. This 

exclusion may result in a lower score or 

failure to meet a threshold requirement. 

All applicants submitting electronic 

applications must attach their narrative 

response to Rating Factors 1–4 as one 

attachment. Please do not attach your 

response to each factor separately. 

Please follow the instructions on file 

extension and file names in the General 

Section. 

f. University Support Letter. This 

letter must provide a statement from the 

appropriate official at the university that 

describes in detail the type of support 

the University will be providing. Please 

remember that this support may not 

replace support or assistance that the 

institution would otherwise provide the 

student. Doctoral students are not 

required to submit this letter with their 

application but it must be on file at the 

time of application submission. 

Students chosen to proceed to the next 

step in the selection process will be 

required to submit the support letter 

from the institution seven calendar days 

after initial contact from the OUP. OUP 

will provide specific instructions on 

how the letter must be submitted at that 

time. If OUP does not receive the 

support letter within the allotted 

timeframe, the application will not be 

funded and the funding will be made 

available to the next eligible applicant. 

g. Budget. The budget submission 

must include the following: 

(1) HUD–424–CB, ‘‘Grant Application 

Detailed Budget.’’ This budget form 

shows the total budget by year and by 

line item for the program activities to be 

carried out with the proposed HUD 

grant. Each year of the program should 

be presented separately. Make sure that 

the amount shown on the SF–424, the 

HUD–424–CB and on all other required 

program forms is consistent and the 

budget totals are correct. Remember to 

check addition in totaling the categories 

on the Form HUD–424–CB so that all 

items are included in the total. The 

budget form must be fully completed. If 

there is any inconsistency between any 

required forms, the HUD–424–CB will 

be used. If this correction puts an 

application over the grant maximum, 

the doctoral student will not be able to 

correct the amount requested and the 

application will be disqualified. If an 

application is selected for award, the 

applicant may be required to provide 

greater specificity to the budget during 

grant agreement negotiations. 

(2) Budget Narrative. A narrative must 

be submitted that explains how the 

doctoral student arrived at the cost 

estimates. The proposed cost estimates 

should be reasonable for the work to be 

performed and consistent with rates 

established for the level of expertise 

required to perform the work proposed. 

h. Appendix. Doctoral students 

receiving a waiver of the electronic 

submission requirements and 

submitting a paper copy of the 

application must place all required 

forms in this section. The appendix 

section of an application must not 

exceed five (5) pages in length 

(excluding forms, budget narrative and 

assurances). Each page must include the 

applicant’s name and be numbered. An 

applicant SHOULD NOT submit support 

letters, resumes, or other back-up 

materials. If this information is 

included, it will not be considered 

during the review process. The 

additional items will also slow the 

transmission of your application. 

C. Submission Dates and Times 

A complete application package must 

be received and validated electronically 

by the Grants.gov portal no later than 

11:59:59 p.m. eastern time on or before 

the application deadline date. In an 

effort to address any issues with 

transmission of your application, 

applicants are strongly encouraged to 

submit their applications at least 48 to 

72 hours prior to the application 

deadline. This will allow an applicant 

enough time to make the necessary 

adjustments to meet the deadline in the 

event Grants.gov rejects the application. 

Please see the General Section for 

further instructions. Electronic faxes 

using the Facsimile Transmittal Cover 

Sheet (Form HUD–96011) contained in 

the electronic application must be 

received no later than 11:59:59 p.m. 

eastern time on the application deadline 

date. 

D. Intergovernmental Review 

These programs are excluded from an 

Intergovernmental Review. 

E. Funding Restrictions 

1. Funding may only be provided to 

doctoral students who meet the 

standards for eligible applicants 

outlined in Section III. A. under the 

program for which they are requesting 

funding. 

2. Grant funds awarded for programs 

under this NOFA may not be used to 

pay for tuition, computer hardware, or 

meals. 

3. Early Doctoral Student Research 

Grant (EDSRG) Program. Three 

thousand dollars of the grant funds will 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11763 

be held until the doctoral student’s 

research manuscript has been 

completed and accepted for 

presentation at a conference or 

publication in a refereed journal by the 

end of the grant period, or a committee 

of three faculty members (including the 

faculty sponsor, as the principal 

investigator of the grant) has determined 

and certified to HUD that the 

manuscript is of high quality and 

worthy of submission to conferences or 

journals, and two copies of the research 

product are submitted to HUD in its 

final version. 

4. Doctoral Dissertation Research 

Grant (DDRG) Program. Six thousand 

dollars of the grant funds will be held 

until the doctoral student’s dissertation 

has been completed, approved by the 

committee, and two final copies are 

submitted to HUD in its final version. 

5. Institutions that have had 

previously awarded grants under these 

programs terminated for nonperformance and have outstanding 

funds owed to HUD resulting from the 

termination, will be excluded from 

competition until the outstanding funds 

are repaid. (Applicants must comply 

with the Delinquent Federal Debt 

Requirement as defined in the General 

Section). 

F. Other Submission Requirements 

1. Application Submission and 

Receipt Procedure. Please read the 

General Section carefully and 

completely for the electronic 

submission and receipt procedures for 

all applications because failure to 

comply may disqualify a doctoral 

student’s application. 

2. Waiver of Electronic Submission 

Requirements. Applicants should 

submit their waiver requests in writing 

using e-mail or fax. Waiver requests 

must be submitted no later than 15 days 

prior to the application deadline date 

and should be submitted to: Susan 

Brunson, Office of University 

Partnerships, Email: 

Susan_S._Brunson@hud.gov, FAX: (202) 

708–0309. 

Paper applications will not be 

accepted from applicants that have not 

been granted a waiver. If an applicant is 

granted a waiver, the Office of 

University Partnerships will provide 

instructions for submission. All 

applicants submitting applications in 

paper format must have received a 

waiver to the electronic application 

submission requirement and the 

application must be received by HUD on 

or before the application deadline date. 

V. Application Review Information 

A. Criteria 

1. Rating Factor 1. Capacity to do the 

Research (25 Points). In reviewing this 

factor, HUD will determine the extent to 

which the doctoral student clearly 

addresses the following: 

a. Describe the skills and expertise 

you possess to conduct research. 

Research skills and expertise will be 

judged in terms of how recent they are. 

Research skills and expertise developed 

within the last two (2) years will be 

considered recent. 

b. Describe the knowledge and 

experience you posses to undertake the 

proposed research hypotheses. 

Knowledge and experience will be 

judged in terms of how relevant it is to 

the research proposed (e.g., course 

work, teaching, research projects, and 

presentations). Knowledge and 

experience developed within the last 

five (5) years in the area of the proposed 

research will be considered relevant. 

c. Provide a detailed list that outlines 

the preliminary steps that were taken 

(e.g., literature review, research 

hypotheses, questions to be answered) 

to identify the proposed manuscript/ 

dissertation topic/hypotheses. 

2. Rating Factor 2. Need for the 

Research (15 Points). This factor 

addresses the extent to which there is a 

need for funding the proposed research. 

HUD encourages doctoral students to 

undertake research that will assist the 

Department in implementing its policy 

priorities and which help the 

Department achieve its goals and 

objectives in FY 2007. In reviewing this 

factor, HUD will determine the extent to 

which the doctoral student clearly 

addresses the following: 

a. Describe the need for funding your 

proposed research manuscript/ 

dissertation. 

b. Express the impact your proposed 

research manuscript/dissertation may 

have in producing information that will 

be generally accepted in the relevant 

research community. 

c. Explain the direct relationship 

between your proposed manuscript/ 

dissertation and at least one of HUD’s 

annual goals and objectives (i.e., the 

research that will be produced could 

have an effect on HUD’s strategic goals 

and programs and policies to achieve 

these goals). For a full list and 

explanation of the annual goal and 

objectives, please refer to the General 

Section. 

3. Rating Factor 3. Soundness of 

Approach (50 Points). This factor 

addresses the quality and effectiveness 

of the proposed research and 

methodology and the actions regarding 

HUD’s policy priorities. This factor will 

be evaluated based on the extent to 

which the proposed work plan will 

demonstrate the following: 

a. (25 Points) Quality of Research. 

(1) Describe in detail the proposed 

research design and methodology that 

will be used to complete the proposed 

manuscript/dissertation. (2). Describe 

how the research design and 

methodology proposed will produce 

data and information that will 

successfully answer the research 

hypothesis. 

b. (20 Points) Specific Activities. The 

work plan must identify all the major 

tasks involved in completing the 

proposed research; 

(1) Indicate the sequence in which 

these tasks will be performed; 

(2) The sequence and duration of this 

effort should be presented in quarterly 

(3 month) intervals for the entire life of 

the grant (use of a milestone chart to 

present this information is 

recommended); and 

(3) Identify any key individuals 

assisting in the proposed activities. 

Efforts on the part of the doctoral 

student who proposes extremely 

complex and time-consuming data 

collection efforts (e.g., major 

longitudinal studies or a very large 

number of site visits within the grant 

period) will be determined less feasible 

for completion within the allotted grant 

performance period. For example, if the 

proposed methodology is based on 

information that may not be publicly 

available until after the end of the grant 

period (e.g., Census information), or a 

data collection plan that will take longer 

than the allotted grant performance 

period, zero points will be awarded for 

this factor. 

c. (2 Points) HUD Policy Priorities. As 

described in the General Section, to earn 

points under this subfactor, HUD 

requires applicants to undertake specific 

activities that will assist the Department 

in implementing its policy priorities 

and that help the Department achieve its 

goals and objectives in FY2008, when 

the majority of grant recipients will be 

reporting programmatic results and 

achievement. In addressing this 

subfactor, HUD will evaluate the extent 

to which a program will further and 

support HUD priorities. The quality of 

the responses provided to one or more 

of HUD’s priorities will determine the 

score an applicant can receive. 

Applicants must describe how each 

policy priority is addressed. Applicants 

that just list a priority will receive no 

points. 

The total number of points an 

applicant can receive under this 

subfactor is two (2). Each policy priority 


rwilkins on PROD1PC63 with NOTICES_2
11764 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

addressed has a point value of one (1) 

point, with the exception of the policy 

priority related to removal of regulatory 

barriers to affordable housing, which 

has a value of up to two (2) points. To 

receive these two (2) points, an 

applicant must: (1) Complete either Part 

A or Part B (not both), (2) include 

appropriate documentation, (3) identify 

a point of contact, (4) indicate how this 

priority will be addressed and (5) 

submit the completed questionnaire, 

(HUD–27300) ‘‘HUD’s Initiative on 

Removal of Regulatory Barriers ‘‘ found 

in the General Section along with 

required documentation. It is up to the 

applicant to determine which of the 

policy priorities they elect to address to 

receive the available two (2) points. 

d. (3 Points) Dissemination Strategies. 

In reviewing this subfactor, HUD will 

assess the doctoral student’s ability to 

disseminate results of the research. 

Describe your plan to disseminate the 

research. 

4. Rating Factor 4. Achieving Results 

and Program Evaluation (10 Points) This 

factor reflects HUD’s goal to embrace 

high standards of management and 

accountability. It measures the student’s 

commitment to assess their performance 

to complete their proposed research 

within the grant performance period. 

Students are required to develop an 

effective, quantifiable, outcome oriented 

evaluation plan for measuring 

performance and determining the 

outputs to achieve their proposed 

outcome(s). The Logic Model is a 

summary of the narrative statements 

presented in Factors 1–3. Therefore, the 

information submitted on the logic 

model should be consistent with the 

information contained in the narrative 

statements. 

‘‘Outcomes’’ are ultimate goals. A 

student must clearly identify the 

outcomes to be measured and achieved. 

Examples of outcomes are the 

completion of the research manuscript/ 

dissertation, the cultivation of research 

skills to the student, the plan to 

disseminate the research, and the 

benefits of the research study to HUD’s 

policy priorities and annual goals and 

objectives. 

In addition, a student must establish 

interim benchmarks and outputs that 

lead to the ultimate achievement of the 

outcomes. ‘‘Outputs’’ are the direct 

benchmarks and indicators that will 

allow a student to measure their 

performance. Performance indicators 

should be objectively quantifiable and 

measure actual achievements. At a 

minimum, an applicant must address 

the following activities in the evaluation 

plan: 

(1) Identify benchmarks that will be 

used to track the progress of your study; 

(2) Indicate the sequence in which 

tasks will be performed; and 

(3) Identify potential obstacles in 

meeting the objectives, and discuss how 

the obstacles will be handled; 

This information must be included 

under this section on a HUD–96010, 

Program Logic Model form. HUD has 

developed a new approach to 

completing this form. Please carefully 

read the General Section for 

instructions, training is available. (Form 

HUD–96010 will be excluded from the 

page count.) If an applicant utilizes 

‘‘other’’ from the Logic Model 

categories, then the applicant should 

describe briefly this ‘‘other’’ category 

within the Rating Factor 4 narrative. If 

a narrative is provided, those pages will 

be included in the page count. 

B. Review and Selection Process 

1. Application Selection Process. Two 

types of reviews will be conducted: 

a. A threshold review to determine an 

applicant’s basic eligibility; and 

b. A technical review for all 

applications that pass the threshold 

review to rate and rank the application 

based on the ‘‘Rating Factors’’ listed in 

Section V.A above. Only those 

applications that pass the threshold 

review will receive a technical review 

and be rated and ranked. 

2. Rating Panels. To review and rate 

applications, HUD may establish panels 

which may include experts or 

consultants not currently employed by 

HUD. These individuals may be 

included to obtain certain expertise. 

3. Ranking. In order to be funded, an 

application must receive a minimum 

score of 75 points out of a possible 100 

for Factors 1 through 4. The RC/EZ/EC–

II communities two bonus points 

described in the General Section do not 

apply to this NOFA. HUD will fund 

applications under each program in 

rank order, until all available program 

funds are awarded. If two or more 

applications have the same number of 

points, the application with the higher 

points for Factor 3, shall be selected. If 

there is still a tie, the application with 

the higher points for Factor 2, shall be 

selected. HUD reserves the right to 

reduce the amount of funding requested 

in order to fund as many highly ranked 

applications as possible. Additionally, if 

funds remain after funding the highest 

ranked applications, HUD may fund 

part of the next highest-ranking 

application. If an applicant turns down 

the award offer, HUD will make the 

same determination for the next highestranking application. 

4. Correction to Deficient 

Applications. See the General Section. 

C. Anticipated Announcement and 

Award Dates 

Announcements of awards are 

anticipated on or before September 30, 

2008. 

VI. Award Administration Information 

A. Award Notices 

After all selections have been made, 

HUD will notify all winning applicants 

in writing. HUD may require winning 

applicants to participate in additional 

negotiations before receiving an official 

award. 

B. Administrative and National Policy 

Requirements 

Refer to the General Section. 

1. Debriefing. The General Section 

provides the procedures for requesting a 

debriefing. All requests for debriefings 

must be made in writing and submitted 

within 30 days of receipt of comments 

to Susan Brunson, Office of University 

Partnerships, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW., Room 8106, Washington, 

DC 20410–6000. Applicants may also 

write to Ms. Brunson via e-mail at 

Susan_S._Brunson@hud.gov. 

2. Environmental Requirements. The 

provision of assistance under these 

programs is categorically excluded from 

environmental review under the 

National Environmental Policy Act of 

1969 (42 U.S.C. 4321) and not subject to 

compliance actions for related 

environmental authorities under 24 CFR 

50.19(b)(1) and (b)(9). 

3. Administrative. Grants awarded 

under this NOFA will be governed by 

the provisions of 24 CFR part 84 (Grants 

and Agreements with Institutions of 

Higher Education, Hospitals and Other 

Non-Profit Organizations), A–21 (Cost 

Principles for Educational Institutions) 

and A–133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations). Applicants can access 

the OMB circulars at the White House 

Web site at: www.whitehouse.gov/omb/ 

circulars/index.html. 

C. Reporting Requirements 

All doctoral students that receive 

grant funds under this program NOFA 

are required to submit a report, halfway 

through the grant period, on the 

progress to date that has been made 

toward completion of the research 

product and the likelihood that it will 

be completed on time. 

At the end of the grant performance 

period doctoral students must submit 

two copies of the approved manuscript/ 

dissertation to HUD in its final version. 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11765 

Titles of the manuscript/dissertation 

must not be changed from the title 

awarded unless prior approval has been 

received from HUD. 

VII. Agency Contacts 

Doctoral students may contact Susan 

Brunson, Office of University 

Partnerships at (202) 708–3061, 

extension 3852 or Sherone Ivey at (202) 

708–3061, extension 4200. Persons with 

speech or hearing impairments may call 

the Federal Information Relay Service 

TTY at 800–877–8339. Except for the 

‘‘800’’ number, these telephone numbers 

are not toll-free. Students may also 

reach Ms. Brunson via e-mail at 

Susan_S._Brunson@hud.gov and/or 

Sherone Ivey at 

Sherone_E._Ivey@hud.gov. 

VIII. Other Information 

Paperwork Reduction Act 

The information collection 

requirements contained in this 

document have been approved by the 

Office of Management and Budget 

(OMB) under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB control number 2528–

0216 (for the Early Doctoral Student 

Research Grant Program) and 2528–0213 

(for the Doctoral Dissertation Research 

Grant Program). In accordance with the 

Paperwork Reduction Act, HUD may not 

conduct or sponsor, and a person is not 

required to respond to, a collection of 

information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 44 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, semi-annual 

reports, and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

Appendix A—Application Checklist 

EDSRG and DDRG 

This checklist identifies application 

submission requirements. Doctoral students 

are requested to use this checklist when 

preparing an application to ensure 

submission of all required elements. Students 

submitting an electronic application do not 

have to submit the checklist. Students that 

receive a waiver of the electronic application 

submission requirement must include a copy 

of the checklist in their application. 

Check off to ensure these items have been 

included in the application: 

lllSF–424 ‘‘Application for Federal 

Assistance 

lllTable of Contents 

lll_Application Checklist (if applicable) 

lllExecutive Summary (700 words or 

less) 

Indicate the page number where each of 

the Rating Factors are located: 

lllNarrative Statement Addressing the 

Rating Factors. The application narrative 

must not exceed 15 pages in length 

(excluding required forms, assurances, 

table of contents, executive summary, 

budget narrative, commitment letters, 

memorandum of understanding, and 

agreements) double-spaced on one side 

of the paper, with one-inch margins 

(from top, bottom, left and right) printed 

in standard Times New Roman 12 point 

font). Applicants that submit 

applications via Grants.gov should 

review the General Section for 

information about file names and 

extensions. File names should not 

contain spaces or special characters. 

lllFactor I 

lllFactor II 

lllFactor III 

lllFactor IV 

Check off to ensure these items have been 

included in the application: Appendix. The 

appendix section of an application must not 

exceed five (5) pages in length (excluding 

forms, budget narrative, and assurances). 

lllBudget 

lllGrant Application Detailed Budget, 

(HUD–CB) (‘‘HUD Detailed Budget 

Form’’ on Grants.gov 

lllBudget Narrative (No form provided 

and must be submitted for the total grant 

period) 

Appendix B—All Required Forms 

The following forms are required for 

submission. All required forms are contained 

in the electronic application package. 

lllApplication for Federal Assistance 

(SF–424) 

lllSurvey on Ensuring Equal Opportunity 

for Applicants (SF–424 Supplement) 

(‘‘Faith Based EEO Survey (SF–424 

SUPP)’’ on Grants.gov) 

lllGrant Application Detailed Budget 

(HUD–424–CB) (‘‘HUD Detailed Budget 

Form’’ on Grants.gov) 

lllDisclosure of Lobbying Activities (SF–

LLL); if applicable 

lllQuestionnaire for HUD’s Removal of 

Regulatory Barriers (HUD–27300) (‘‘HUD 

Communities Initiative Form’’ on 

Grants.gov), if applicable 

lllApplicant/Recipient Disclosure/ 

Update Report (HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

lllClient Comments and Suggestions 

(HUD–2994), if applicable 

lllYou Are Our Client! Grant Applicant 

Survey (HUD–2994–A) 

lllProgram Outcome Logic Model (HUD–

96010) 

lllHUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov) 


rwilkins on PROD1PC63 with NOTICES_2
11766 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 


rwilkins on PROD1PC63 with NOTICES_2EN13MR07.029</GPH>
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11767 

Housing Counseling Training 

Overview Information 

A. Federal Agency Name: Department 

of Housing and Urban Development, 

Office of the Assistant Secretary for 

Housing—Federal Housing 

Commissioner. 

B. Funding Opportunity Title: 

Housing Counseling Training. 

C. Announcement Type: Initial 

Announcement. 

D. Funding Opportunity Number: FR–

5100–N–23; OMB approval number is 

2502–0261. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number: Housing 

Counseling Training Program 14.316. 

F. Dates: The application deadline 

date is May 17, 2007. Applications 

submitted through http:// 

www.grants.gov must be received and 

validated by grants.gov no later than 

11:59:59 p.m. eastern time on the 

application deadline date. See Section 

IV of the General Section, regarding 

application submission procedures and 

timely filing requirements. 

Full Text of Announcement 

I. Funding Opportunity Description 

Program Purpose. Funds are available 

to provide, under cooperative 

agreements with HUD, training 

activities designed to improve and 

standardize the quality of counseling 

provided by housing counselors 

employed by HUD-approved housing 

counseling agencies. 

Authority. HUD’s Housing Counseling 

Program, and the training of this NOFA 

are authorized by Section 106 of the 

Housing and Urban Development Act of 

1968 (12 U.S.C. 1701x), with guidance 

provided in HUD Handbook 7610.1, 

REV–4, CHG–1, dated October 27, 1997. 

II. Award Information 

A. Available Funds: This NOFA 

announces the availability of 

approximately $3.0 million. 

B. Anticipated Awards: HUD’s goal is 

to fund an organization to deliver the 

full spectrum of activities eligible for 

funding under this NOFA. Should this 

not be possible, HUD reserves the right 

to make multiple awards under this 

NOFA. 

C. Award Instrument: HUD expects to 

use a cooperative agreement, but 

reserves the right to use the award 

instrument it determines to be most 

appropriate. All awards will be made on 

a cost reimbursement basis in 

accordance with, and subject to, the 

requirements in OMB Circular A–87, 

Cost Principles for State, Local, and 

Indian Tribal Governments; or OMB 

Circular A–122, Cost Principles for NonProfit Organizations, as applicable to 

your organization. These awards are 

also subject to the administrative 

requirements established in OMB 

Circular A–102, implemented at 24 CFR 

part 85 (Administrative Requirements 

for Grants and Cooperative Agreements 

to State, Local, and Federally 

Recognized Indian Tribal Governments); 

OMB Circular A–110, implemented at 

24 CFR part 84 (Grants and Agreements 

with Institutions of Higher Education, 

Hospitals and Other Non-Profit 

Organizations); and OMB Circular A–

133 (Audits of States, Local 

Governments, and Non-Profit 

Organizations), implemented at 24 CFR 

parts 84 and 85. If you receive an award, 

you must comply with and are required 

to ensure that any subrecipients also 

comply with the above requirements. 

OMB circulars can be found at http:// 

www.whitehouse.gov/omb/circulars/ 

index.html. 

Awards made as cooperative 

agreements will entail significant HUD 

involvement including but not limited 

to the following items: 

• Review and approval of proposed 

courses, including course materials; 

• Review and approval of evaluation 

instruments and methodology for 

determining value of courses and 

impacts; and 

• Review and Approval of training 

locations. HUD reserves the right to 

review and approve training locations as 

well as the type of training and courses 

offered. 

• Targeting based on special needs 

1. Award Adjustments. HUD reserves 

the right to adjust funding levels for 

each applicant. Once applicants are 

selected for award, HUD will determine 

the total amount to be awarded to any 

grantee, based upon the scope and 

geographic coverage of services to be 

provided and funds available. 

2. Award Period. Cooperative 

agreements will be for a period of up to 

twelve (12) months. 

III. Eligibility Information 

A. Eligible Applicants 

1. Eligible Applicants. Applicants 

must be public or private nonprofit 

organizations with at least two years of 

experience providing all types of 

housing counseling training services 

nation wide listed under Section III.C.2 

of this NOFA. The only exception to 

this requirement is public or nonprofit 

organizations with at least 2 years 

experience providing Home Equity 

Conversion Mortgage (HECM) 

counseling training nationwide. 

A consortium of organizations may 

apply for funding under this NOFA, but 

one organization must be designated as 

the primary applicant. Furthermore, 

applicants may utilize in-house staff, 

sub-grant recipients or consultants, and 

networks of local organizations with 

requisite experience and capacity. 

B. Cost Sharing or Matching 

Cost sharing or matching is not 

required. 

C. Other 

1. Geographic Coverage: Applicants 

must propose to provide the housing 

counseling trainings nationwide. 

2. Eligible Activities. Applicants must 

propose to develop and implement a 

comprehensive and ongoing training 

program for housing counselors. The 

training program must contain both 

basic and advanced courses. The 

majority of the training services must be 

conducted as place-based activities. 

Some training services may be provided 

through satellite broadcast, or through 

computer training software. 

An applicant must be capable of 

providing training on all the training 

topics listed below. The only exception 

to this requirement is an applicant 

proposing to provide HECM counseling 

training exclusively. 

a. General Housing Counseling. Teach 

counselors the principles and 

applications of housing counseling from 

the industry’s and the counselor’s point 

of view. Review the skills and tools 

needed to be an effective housing 

counselor. Provide overviews of the 

industry from a national perspective as 

well as, information about pre- and 

post-purchase counseling for 

homeowners, delinquency, and default 

counseling. 

b. Credit Counseling for Prospective 

Homeowners. Train counselors in 

conducting results-oriented individual 

counseling sessions for prospective 

homebuyers, including triaging 

customers, developing corrective action 

plans and timelines for success, and 

facilitating progress as customers 

overcome obstacles and move toward 

mortgage-readiness. Train counselors 

regarding state-of-the-art software 

designed specifically for credit 

rebuilding, debt reduction, automated 

budgeting, and downpayment savings 

accumulation. Use sample customer 

cases to identify obstacles and simulate 

counseling sessions. 

c. Matching Clients with Loan 

Products. Train counselors in industry 

practices, analysis of financials, risk 

elements, and general concepts affecting 

conventional and government-insured 

mortgage loan decisions. Provide 

counselors with effective procedures 

and techniques that will translate into 


rwilkins on PROD1PC63 with NOTICES_2
11768 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

appropriate loans and satisfied housing 

counseling clients. Review case studies 

to illustrate the functional areas of the 

underwriting process, from the 

application to the loan sale. 

d. Homebuyer Education Programs. 

Teach counselors how to deliver a 

comprehensive homebuyer education 

program to turn prospective 

homebuyers into satisfied homeowners. 

Teach counselors to use the best 

materials and methods to train 

homebuyers how to shop for a home, get 

a mortgage loan, improve their budget 

and credit profiles, and maintain their 

home and finances after purchase. 

e. Section 8 Homeownership. Train 

counselors in how to effectively 

approach and partner with Public 

Housing Authorities (PHAs) in the 

implementation of a Section 8 

Homeownership Program. Review the 

unique characteristics of the program 

and the voucher holders as they relate 

to the counseling component. Share 

effective and proven implementation 

strategies. 

f. Helping Homeowners Avoid 

Delinquency and Predatory Lending. 

Teach counselors to conduct 

educational seminars and advise clients 

regarding how to avoid predatory 

lenders and common lending pitfalls. 

Give counselors the knowledge and 

tools to help unwary borrowers avoid 

inflated appraisals, unreasonably high 

interest rates, unaffordable repayment 

terms, and other conditions that can 

result in a loss of equity, increased debt, 

default, and foreclosure. Train 

counselors to help clients manage debt, 

avoid predatory lenders, and avoid 

mortgage default. Teach counselors how 

to read the warning signs of debt 

problems and how to recognize 

predatory lenders, as well as identify 

available resources to help keep 

homeowners out of financial trouble. 

Review state and federal regulations, 

including the Real Estate Settlement 

Procedures Act of 1974 (12 U.S.C. 2601 

et seq.) (RESPA) and the Truth in 

Lending Act (15 U.S.C. 1501 et seq.). 

g. Foreclosure Prevention. Train 

counselors on the protocol for 

counseling homeowners in financial 

distress. Address all aspects of default 

and delinquency, including reasons for 

default, ways to maximize income and 

reduce expenses, calculating 

delinquencies, understanding the 

players in the mortgage marketplace, 

loss-mitigation options for FHA-insured 

and other loans, information about 

foreclosure laws and timelines, tips on 

effectively intervening with lenders and 

servicers, managing multiple mortgages 

or liens, and the pros and cons of 

refinancing. 

h. Home Equity Conversion Mortgages 

(HECM). Train counselors about reverse 

mortgages for elderly homeowners. 

Teach them to understand products and 

programs, analyze plans and compare 

their costs and benefits, and identify 

alternatives. Also, review relevant 

counseling skills and ethics. 

i. Home Maintenance and Financial 

Management for New Homeowners. 

Train counselors in how to advise 

individuals and conduct workshops 

aimed at ensuring the long-term success 

of new homebuyers, including home 

maintenance and repair, financial 

management, insurance, and record 

keeping. 

j. Counseling Individuals and 

Families Who are Homeless or at Risk 

of Becoming Homeless. Train 

counselors about the various social 

services available to which they should 

be referring homeless and potentially 

homeless families and individuals. 

Provide information on federal, state, 

and local homeless programs and how 

clients can access these programs. Share 

strategies on how to partner with local 

public service providers to ensure that 

clients receive attention and assistance 

quickly and efficiently. Review the 

unique characteristics of the homeless 

population to help counselors 

understand the types of financial, 

physical, and social problems facing the 

families and individuals who seek their 

assistance. 

k. Disaster Victims Counseling. Train 

counselors about the unique 

circumstances faced by disaster victims 

including: counseling homeowners in 

financial distress, mortgage related 

counseling, default and delinquency, 

loss-mitigation options for FHA-insured 

and other loans, information about 

foreclosure laws and timelines, 

alternative housing, FEMA services and 

emergency housing (HUD homes). 

l. HUD’s Housing Counseling Program 

Requirements. Train counselors about 

the basic requirements of HUD’s 

Housing Counseling Program, including 

the delivery of homeownership 

counseling and education for local, 

national, regional and state housing 

counseling agencies, how to fill out 

form HUD–9902, Housing Counseling 

System (HCS), biennial reviews, and 

record keeping. 

m. Rental Housing: Securing and 

maintaining residence in rental housing, 

tenant/landlord responsibilities, state/ 

county laws, budgeting. 

n. Federal Housing Administration: 

Train housing counselors about FHAinsured financing, including, minimum 

requirements of FHA loans, loan limits, 

advantages of financing through FHA, 

HUD foreclosed properties, FHA 

appraisal requirements, 203k, 203b, 

203h, and Home Equity Mortgage 

(HECM). 

3. Threshold Requirements. 

Applicants and proposed grantees must 

meet the following Threshold 

Requirements: 

a. Compliance with Fair Housing and 

Civil Rights Laws. See the General 

Section. 

b. Debarment and Suspension. See 

General Section. 

c. Delinquent Federal Debt. See 

General Section. 

d. False Statements. See General 

Section. 

e. Additional requirements: Agencies 

selected as grantees or sub-grantees 

must also comply with the following 

requirements: 

(1) Salary Limitation for Consultants. 

See General Section. 

(2) Accessibility. All grant recipients 

and subrecipients must use training 

facilities and services reasonably 

accessible to persons with a wide range 

of disabilities or provide other means of 

accommodation for disabled persons. In 

addition, counseling training must train 

counselors in the accessibility 

requirements applicable to eligible 

counseling activities and accessibility 

requirements under the Fair Housing 

Act, including requirements for 

reasonable modification. All training 

materials must be compliant with 

Section 508 of the Rehabilitation Act 

(Section 508). See the Accessible 

Technology Requirements in the 

General Section. 

(3) Reports. All grant recipients will 

be required to report to HUD on a 

quarterly basis, unless otherwise 

specified in the cooperative agreement. 

(4) Code of Conduct. Entities that are 

subject to 24 CFR parts 84 and 85 

(including most nonprofit organizations 

and state, local, and tribal governments 

or government agencies or 

instrumentalities that receive federal 

awards of financial assistance) are 

required to develop and maintain a 

written code of conduct (See Sections 

84.42 and 85.36(b)(3)). The code of 

conduct must prohibit real and apparent 

conflicts of interest that may arise 

among employees, officers, or agents; 

prohibit the solicitation and acceptance 

of gifts or gratuities by your officers, 

employees and agents for their personal 

benefit in excess of minimal value; and 

outline administrative and disciplinary 

actions available to remedy violations of 

such standards. Self-recusal will not 

eliminate a potential or apparent 

conflict of interest. Prior to entering into 

an agreement with HUD, the applicant 

will be required to submit a copy of its 

code of conduct and describe the 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11769 

methods it will use to ensure that all 

officers, employees, and agents of the 

organization are aware of the code of 

conduct. 

(5) Financial Management Systems. 

Applicants selected for funding must 

provide documentation demonstrating 

that the applicant’s financial 

management systems satisfy the 

requirements in the applicable 

regulations at 24 CFR 84.21(b) and 

85.20. Consistent with the requirements 

of the Single Audit Act Amendments of 

1996 (31 U.S.C. 7501–07), if the 

applicant expended $500,000 or more in 

federal awards in its most recent fiscal 

year, such documentation must include 

a certification from or most recent audit 

by the applicant’s independent public 

accountant that the applicant maintains 

internal controls over federal awards, 

complies with applicable laws, 

regulations, and contract or grant 

provisions, and prepares appropriate 

financial statements. The applicant will 

have at least 30 calendar days to 

respond to this requirement. If an 

applicant does not respond within the 

prescribed time or responds with 

insufficient documentation, then HUD 

may determine that the applicant has 

not met this requirement and may 

withdraw the grant offer. 

If an applicant selected for funding 

expended less than $500,000 in federal 

funds in the last fiscal year and 

therefore does not fall under the 

requirements of the Single Audit Act, 

HUD will conduct a review of the 

applicant’s financial management 

system to ensure that the accounting 

system meets federal requirements. 

HUD reserves the right not to fund an 

applicant that has an accounting system 

that does not meet federal requirements 

or require an applicant to attain the 

services of an organization acceptable to 

HUD that can manage the financial 

records of the applicant. 

(6) Indirect Cost Rate. Applicants 

must also submit documentation 

establishing the organization’s indirect 

cost rate. Such documentation may 

consist of a certification from the most 

recent audit or indirect cost rate 

agreement by the cognizant federal 

agency or an independent public 

accountant. If the organization does not 

have an established indirect cost rate, 

the organization will be required to 

develop and submit an indirect cost 

proposal to HUD or the cognizant 

federal agency as applicable, for 

determination of an indirect cost rate 

that will govern an award. Applicants 

that do not have a previously 

established indirect cost rate with a 

federal agency shall submit an initial 

indirect cost rate proposal immediately 

after the applicant is advised that it will 

be offered a grant. If an applicant does 

not have an established indirect cost 

rate, and there is no other cognizant 

federal agency, or HUD is the cognizant 

federal agency, HUD will set the rate 

based upon the submission of an 

acceptable indirect cost rate proposal. If 

a proposal is not submitted within three 

months of award, HUD may suspend 

work or terminate for noncompliance 

with requirements. OMB Circular A–122 

sets forth the requirements to determine 

allowable direct and indirect costs and 

the preparation of indirect cost 

proposals. The circular can be found at 

http://www.whitehouse.gov/omb. 

(7) Name Check Review. See the 

General Section. 

(8) Participation in HUD-Sponsored 

Program Evaluation. See the General 

Section. 

(9) Ensuring the Participation of 

Small Businesses, Small Disadvantaged 

Businesses, and Women-Owned 

Businesses. See the General Section. 

(10) Executive Order 13166, 

Improving Access to Persons With 

Limited English Proficiency (LEP). See 

the General Section. 

(11) Executive Order 13279, Equal 

Protection of the Laws for Faith-Based 

and Community Organizations. HUD is 

committed to full implementation of 

Executive Order 13279 in the operation 

of its programs. See the General Section. 

(12) The Americans with Disabilities 

Act of 1990 (42 U.S.C. 1201 et seq.), the 

Age Discrimination Act of 1974 (42 

U.S.C. 6101 et seq.), and Title IX of the 

Education Amendments Act of 1972 (20 

U.S.C. 1681 et seq.). 

(13) Affirmatively Furthering Fair 

Housing. See the General Section. 

IV. Application and Submission 

Information 

A. Addresses to Request Application 

Package 

All applications submitted in 

response to this NOFA must be 

submitted electronically. The 

information required to submit an 

application is contained in the General 

Section. Applications can be 

downloaded from the following web 

site: www.grants.gov/applicants/ 

apply_for_grants.jsp. If you have 

difficulty accessing the information you 

may call the Grants.gov helpline tollfree at (800) 518–GRANTS (4726) from 

Monday to Friday from 7 a.m. to 9 p.m. 

eastern time, or send an e-mail to 

3Support@grants.gov. 

If you do not have Internet access and 

need to obtain a hard copy of this NOFA 

or the General Section, you can contact 

HUD’s NOFA Information Center tollfree at (800) HUD–8929. Persons with 

hearing or speech impairments may 

access any of these numbers via (TTY) 

by calling the toll-free Federal 

Information Relay Service at (800) 877–

8339. 

B. Content and Form of Application 

Submission 

1. Application Checklist. Use the 

checklist below to organize the 

application. Unless indicated below, all 

applicants must submit the following: 

a. Forms. The standard forms, 

certifications, and assurances are listed 

below. (The forms referred to as the 

‘‘standard forms’’). All of the standard 

forms required for this NOFA are 

available on the Grant.gov Web site. 

(Please note that forms may vary slightly 

in appearance on the Grants.gov Web 

site.) 

(1) SF–424, Application for Federal 

Assistance 

(2) SF–424 Supplement, Survey on 

Ensuring Equal Opportunity for 

Applicants (optional) (‘‘Faith Based EEO 

Survey (SF–424 SUPP)’’ on Grants.gov) 

(3) SF–LLL, Disclosure of Lobbying 

Activities (if applicable) 

(4) HUD–96010, Program Outcome 

Logic Model 

(5) HUD–2880, Applicant Recipient 

Disclosure/Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

(6) SF–424 CB, Grant Application 

Detailed Budget (‘‘HUD Detailed Budget 

Form’’ on Grants.gov) 

(7) HUD–2880, Applicant Recipient 

Disclosure Update Report (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov) 

(8) HUD–2994, You Are Our Client 

Grant Applicant Survey (optional) 

(9) HUD–96011, Third Party 

Documentation Facsimile Transmittal. 

(For use with electronic applications as 

the cover page to provide third party 

documentation.) (‘‘Facsimile 

Transmittal Form’’ on Grants.gov) 

b. Nonprofit Status. Each applicant is 

required to submit, for itself and for any 

organization with which it is partnering 

for the purpose of this NOFA, a legible 

copy of the document that supports the 

applicant’s claim to be a nonprofit 

organization (for example, a 501(c) letter 

issued by the IRS). The documentation 

must contain the official name, address, 

and telephone number of the legal 

authority that granted the nonprofit 

status. These documents must be 

scanned, attached to the attachment 

form, which is part of the Grants.gov 

package, and submitted electronically to 

Grants.gov, or faxed using the fax cover 

sheet in the Grants.gov application 

package. Please read the General Section 


rwilkins on PROD1PC63 with NOTICES_2
11770 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

for information about submitting 

documents as attachments or using the 

facsimile solution, and acceptable file 

formats. 

c. Narrative Statements. Provide 

narrative statements addressing the 

Rating Factors in section V below. 

Responses to the rating factors should 

provide HUD with detailed quantitative 

and qualitative information and relevant 

examples regarding the housing 

counseling training and other work of 

the organization that is related to the 

proposed activities. These narrative 

statements will be the basis for 

evaluating the application. Applicants 

should clearly label each narrative with 

the Factor Title and number related to 

the response. When creating file names, 

please follow the directions in the 

General Section. 

d. Prohibition Against Lobbying 

Activities. See the General Section. 

C. Submission Dates and Time: Your 

completed application must be received 

and validated by Grants.gov no later 

than 11:59:59 p.m. eastern time on the 

application deadline date. Please note 

that validation may take up to 72 hours. 

Applicants should carefully read the 

section titled ‘‘APPLICATION and 

SUBMISSION INFORMATION’’ in the 

General Section. 

D. Intergovernmental Review 

This NOFA is excluded from the 

requirement of an Intergovernmental 

Review. 

F. Other Submission Requirements 

Electronic delivery via Grants.gov is 

HUD’s required method for application 

submission. Applicants interested in 

applying for funding under this NOFA 

must submit their applications 

electronically or request a waiver from 

the electronic submission requirement. 

Applicants must submit their waiver 

requests in writing using e-mail. Waiver 

requests must be submitted no later than 

15 days prior to the application 

deadline date and should be submitted 

to Miriam_Torres@hud.gov. If granted a 

waiver, the notification will provide 

instructions on where to submit the 

application and how many copies are 

required. Paper copy applications must 

be received by the deadline date. HUD 

will not accept a paper application 

without a waiver being granted. See the 

General Section for detailed submission 

and timely receipt instructions. 

V. Application Review Information 

A. Criteria 

Applications will be evaluated 

competitively according to the Factors 

for Award described below, and ranked 

against all other applicants. All 

applications will be scored and ranked 

in HUD Headquarters. 

1. Factors For Award Used To Rate and 

Rank Applications 

a. The factors for award, and 

maximum points for each factor, are 

outlined below. These factors will be 

used to evaluate applications. The 

maximum score is 100 for all applicants. 

b. HUD may rely on other 

information, such as performance 

reports, financial status information, 

monitoring reports, audit reports and 

other information available to HUD in 

making score determinations under any 

Rating Factor. 

2. Rating Factor 1: Capacity of the 

Applicant and Relevant Organizational 

Staff (40 points) 

HUD uses responses to this rating 

factor to evaluate the readiness and 

ability of an applicant to begin the 

proposed work program immediately, as 

well as the potential for an applicant to 

cost-effectively and successfully 

implement the proposed activities 

indicated under Rating Factor 3. 

a. Relevant Staff (15 points). In rating 

this section, HUD will consider the 

degree to which the applicant and, if 

applicable, partnering organizations, 

have sufficient personnel with the 

relevant knowledge and experience to 

implement the proposed activities in a 

timely and effective fashion. 

Specifically, scoring will be based on 

the number of years of relevant and 

recent housing counseling training, 

housing counseling material production, 

and other related experience of program 

managers and staff. 

Submit the names and titles of 

employees, including subcontractors 

and consultants, who would perform 

the activities proposed in Rating Factor 

3. Clerical staff should not be listed. 

Describe each employee’s, 

subcontractor’s, or consultant’s relevant 

professional background and 

experience. Experience is relevant if it 

corresponds directly to projects of a 

similar scale and purpose. Provide the 

number of years of experience for each 

position listed, and indicate when each 

position was held. Individual 

descriptions should be limited to one 

page. List recent and relevant training 

received. 

b. Experience (20 points). Applicants 

should carefully document recent 

experience, and the experience of 

organizations with which it is 

partnering, in providing the eligible 

activities listed in Section III of this 

NOFA that it is proposing to offer 

through this NOFA. Indicate the types 

and complexity of the services provided 

and the outcomes for counselors as a 

result of the training and other services. 

Describe the level of effort and time 

required to provide the services and to 

meet the needs of the counselors. 

Indicate the number of counselors 

that have participated in your training 

program or otherwise benefited from the 

relevant services you provided. 

c. Performance/Grant Requirements (5 

points). In scoring this section, HUD 

will evaluate how well the applicant has 

satisfied the requirements, including 

reporting, on HUD grants received. If an 

applicant has not received a HUD grant, 

the applicant should base its response 

on activities and requirements under 

other sources of funding, such as other 

federal, state, local, or other awards. 

An applicant should characterize 

performance with regard to the 

timeliness and completeness with 

which the applicant satisfied reporting 

requirements (such as Form HUD 9902) 

and quarterly and final reports. 

Also, indicate whether or not an 

applicant fully expended grant awards 

during the specified award periods. If 

not fully expended, provide an 

explanation as to the reason why the 

funds were not fully expended on time 

and the steps taken to ensure that future 

funding will be expended in a timely 

manner. 

3. Rating Factor 2: Need/Extent of the 

Problem (5 points) 

This factor addresses the extent to 

which there is a need to fund proposed 

activities described in response to 

Rating Factor 3. 

Describe and document the national 

need, such as the number of housing 

counselors and areas of housing 

counseling training the application 

intends to address with the services 

proposed in Rating Factor 3. Responses 

will be evaluated based on how well 

they demonstrate a grasp of the 

elements of the problems this NOFA is 

intended to address. Include applicable 

statistics and analyses, if available, 

contained in data sources that are sound 

and reliable. Sources for all data 

provided must be clearly cited. 

4. Rating Factor 3: Soundness of 

Approach/Scope of Housing Counseling 

Services (35 points) 

This factor addresses the quality and 

effectiveness of the proposed work plan. 

In rating this factor, HUD will evaluate 

the extent to which the applicant 

presents a detailed and sound approach 

for providing the proposed services. 

HUD will also evaluate the extent to 

which the applicant demonstrates the 

cost-effectiveness of its activities, and 


rwilkins on PROD1PC63 with NOTICES_2
Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 11771 

convincingly explains how the 

proposed activities will yield long-term 

results. 

a. Work Plan (20 points). 

Applicants should provide a work 

plan that lists the major objectives and 

activities it intends to undertake, and 

how it plans to provide those services. 

Include administrative and project 

tasks. 

The Work Plan must include all the 

housing counseling training topics 

listed in section III. The only exception 

to this requirement is organizations 

proposing to provide Home Equity 

Conversion Mortgage (HECM) 

counseling exclusively. Indicate if any 

of the listed trainings will be provided 

by organizations with which an 

applicant has partnered. The proposed 

program must be national in scope. All 

proposals to provide training must 

include a description of the 

methodology for measuring the success 

of the training program. The proposals 

must also include a scholarship 

element, detailing the full or partial 

costs to be covered, including travel, 

hotel, and tuition expenses. Applicants 

must also indicate the total number of 

tuition, travel, and lodging scholarships 

they estimate can be offered, and 

describe plans for determining how the 

various types of scholarship assistance 

will be equitably distributed. 

b. Proposed Budget (15 points). 

For the work plan proposed above, 

indicate the Grant amount in line 18a of 

form SF–424. Describe and explain a 

proposed budget, utilizing the HUD–

424–CB. If applicable, the budget should 

highlight portions being proposed as 

sub-grants to partnering organizations. 

Make a case for why the proposed 

budget is cost effective in achieving 

proposed results. Responses will be 

evaluated based on the quality, 

thoroughness, and reasonableness of the 

cost estimates provided. 

5. Rating Factor 4: Leveraging Resources 

(10 Points) 

Although HUD funding through this 

NOFA may fully fund an organization’s 

proposed program, applicants are 

encouraged to secure the use of other 

resources to supplement the HUD grant. 

In scoring this factor, applicants will 

be evaluated based on their ability to 

obtain additional resources for their 

proposed training and other related 

eligible activities, including direct 

financial assistance and in-kind 

contributions, which may include 

services, equipment, office space, labor, 

etc. Resources may be provided by 

governmental entities, public or private 

nonprofit organizations, for-profit 

private organizations, or other entities 

committed to providing the applicant 

assistance. 

Additionally, resources provided by 

the applicant, recorded as ‘‘applicant 

match’’ and ‘‘program income’’ on form 

SF–424, will count as leveraged 

resources. 

Points for this factor will be awarded 

based on the ratio of requested HUD 

funds to total budget for the proposed 

activities. 

Percentage Points 

01–15 ........................................ 10 

16–23 ........................................ 9 

24–29 ........................................ 8 

30–35 ........................................ 7 

36–41 ........................................ 6 

42–47 ........................................ 5 

48–53 ........................................ 4 

54–59 ........................................ 3 

60–65 ........................................ 2 

66–99 ........................................ 1 

6. Rating Factor 5: Achieving Results 

and Program Evaluation (10 Points) 

Outcomes are benefits accruing to 

recipients of the service to be offered 

(e.g., increase in the number of 

counselors demonstrating proficiency 

after training. Outputs are units of 

service or activity (e.g., instructional 

units developed, number of counselors 

trained, number tested). Outputs and 

outcomes must be objectively 

quantifiable. The purpose of this factor 

is for the applicant to identify program 

outputs and outcomes that will allow an 

applicant and HUD to measure actual 

achievements against anticipated 

achievements. For this NOFA, HUD will 

give particular weight to an applicant’s 

ability to demonstrate change in 

counselors’ knowledge and skills as a 

result of the training offered. Applicants 

should therefore emphasize a rigorous 

and objective testing protocol as part of 

their performance evaluation strategy. 

Submission Requirements for Factor 

5. Applicants must submit an effective, 

quantifiable, and outcome-oriented 

evaluation plan. The plan must be in 

narrative form and must also be 

presented utilizing HUD’s (Logic Model, 

form 96010) for measuring performance 

and determining that output and 

outcome goals have been met. An 

applicant must submit a program 

evaluation plan that demonstrates how 

it will measure its own program 

performance. The evaluation plan 

should identify what an applicant is 

going to measure, how an applicant is 

going to measure it, and the steps in 

place to make adjustments to its work 

plan if performance targets are not met 

within established timeframes. 

Specifically, the plan must identify: 

—Outputs. Outputs are the direct 

products of an applicant’s activities 

that lead to the ultimate achievement 

of outcomes. Examples of outputs are 

the number of training sessions to be 

provided and the number of 

counselors to be trained. Identify 

interim and full grant term projected 

outputs and timeframes for 

accomplishing these goals. The plan 

must show how an applicant will 

measure actual accomplishments 

against anticipated achievements. 

—Work Plan Adjustments. Describe 

steps in place to make adjustments to 

the work plan if outputs are not met 

within established timeframes or if a 

grantee begins to fall short of 

established outputs or timeframes. 

—Outcomes. Outcomes are benefits 

accruing to the counselors as a result 

of participation in an applicant’s 

program. Outcomes are performance 

indicators an applicant expects to 

achieve or goals an applicant hopes to 

meet over the term of its proposed 

grant. An example of an outcome is 

the percentage of counselors who, 

following training, can demonstrate 

competence in the areas of training. 

Another example of an outcome is an 

instructional module, which when 

administered to counselors, produces 

a measurable increase in counselors’

knowledge or skills. An applicant 

should identify how it will determine 

that a counselor has demonstrated 

competence following training, and 

provide projected outcomes of the 

number of counselors trained and the 

number of counselors demonstrating 

competence following training for the 

full grant term, as well as timeframes 

for accomplishing these goals. The 

plan must show how an applicant 

will measure actual accomplishments 

against anticipated achievements. 

—Information Collection. An applicant 

should describe its strategy for 

collecting outcome information. 

B. Review and Selection Process 

1. General. HUD will review each 

application to determine whether it 

meets the threshold and the eligibility 

requirements found in Section III of this 

NOFA. Only applicants that meet all of 

the eligibility and threshold 

requirements will be rated and ranked. 

2. Rating Panels. To review and rate 

applications, HUD may establish panels 

which may include persons not 

currently employed by HUD. HUD may 

include these non-HUD employees to 

obtain certain expertise and outside 

points of view, including views from 

other federal agencies. 

3. Corrections To Deficient 

Applications. See the General Section. 


rwilkins on PROD1PC63 with NOTICES_2
11772 Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices 

4. Rating and Ranking. 

a. Applications that earn a score of 75 

points or more will be considered 

eligible for funding. 

b. HUD intends to award the entire 

amount available under this NOFA to 

the highest scoring application. 

However, HUD reserves the right to 

make multiple awards. 

c. If an applicant turns down an 

award offer, HUD may make an offer to 

the next highest-ranking application. 

d. In the event HUD commits an error 

that, when corrected, would result in 

selection of an otherwise eligible 

applicant during the funding round of 

this NOFA, HUD may select that 

applicant when sufficient funds become 

available. 

5. Award Size. All grantees will 

receive the lower of either the award 

amount determined by HUD or the 

amount actually requested by the 

applicant. 

6. Award Adjustments. HUD reserves 

the right to adjust funding levels for 

each applicant as indicated in Section II 

C. of this NOFA. HUD reserves the right 

to fund less than the full amount 

requested in an application. 

7. Ineligible Activities. HUD will not 

fund any portion of an application that: 

is not eligible for funding under this 

program’s statutory or regulatory 

requirements; does not meet the 

requirements of this NOFA; or may be 

duplicative of other funded programs or 

activities from prior year awards or 

other selected applicants. Only the 

eligible portions of an application 

(including non-duplicative portions) 

may be funded. Funds from this 

program may not be used for real 

property acquisition, disposition, 

leasing, rehabilitation, alteration, 

demolition, or new construction. 

VI. Award Administration Information 

A. Award Notices 

After all eligible applications have 

been rated and ranked and selections 

have been made, HUD will notify 

applicants regarding the disposition of 

their application. 

B. Administrative and National Policy 

Requirements 

1. Environmental Requirements. 

Activities funded through this program 

are categorically excluded under 24 CFR 

50.19(b)(9) from the requirements of the 

National Environmental Policy Act of 

1969 (42 U.S.C. 4321) and are not 

subject to review under the related laws 

and authorities. 

2. Procurement of Recovered 

Materials. Please see the General 

Section for this requirement. 

C. Reporting: Grant recipients will be 

required to submit quarterly progress 

reports, comparing actual 

accomplishments with the goals and 

objectives established for the period, 

explaining why established goals were 

not met, and highlighting any problems, 

delays, or adverse conditions that 

materially impaired the ability to meet 

the objectives of the awards. Each 

recipient is also required to submit a 

completed Logic Model showing 

accomplishments against proposed 

outputs and outcomes as part of their 

quarterly reporting requirement to HUD. 

Recipients shall use quantifiable data to 

measure performance against goals and 

objectives outlined in their Logic Model. 

For FY2007, HUD is considering a new 

concept for the Logic Model. The new 

concept is a Return on Investment (ROI) 

statement. HUD will be publishing a 

separate notice on the ROI concept. 

D. Debriefing. HUD will provide a 

debriefing to a requesting applicant 

related to its application. See the 

General Section for more information. 

VII. Agency Contact 

For further information about this 

NOFA or application requirements, 

applicants should contact Miriam 

Torres, HUD Headquarters, Single 

Family Housing, Program Support 

Division, at (202) 708–0317 x2618 (this 

is not a toll-free number). Persons with 

hearing or speech impairments may 

access any of these numbers via (TTY) 

by calling the toll-free Federal 

Information Relay Service at (800) 877–

8339. For technical help with the 

electronic submission procedure, 

applicants may e-mail 

support@grants.gov or call (800) 518–

4726 (800) 518-GRANTS). The 

Grants.gov Customer Support Center is 

open from 7 a.m. to 9 p.m. Eastern 

Time. 

VIII. Other Information 

Paperwork Reduction Act. The 

information collection requirements 

contained in this document have been 

approved by OMB under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501–

3520) and assigned OMB control 

number 2502–0261. In accordance with 

the Paperwork Reduction Act, HUD may 

not conduct or sponsor, and a person is 

not required to respond to, a collection 

of information unless the collection 

displays a currently valid OMB control 

number. Public reporting burden for the 

collection of information is estimated to 

average 68 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

collecting, reviewing, and reporting the 

data for the application, semi-annual 

reports, and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

[FR Doc. 07–974 Filed 3–12–07; 8:45 am] 

BILLING CODE 4210–01–P 


rwilkins on PROD1PC63 with NOTICES_2