Part II
[Federal Register: March 13, 2007 (Volume 72, Number 48)][Notices][Page 11433-11772]From the Federal Register Online via GPO Access [wais.access.gpo.gov][DOCID:fr13mr07-119][[Page 11433]]Part IIDepartment of Housing and Urban DevelopmentFiscal Year 2007 SuperNOFA for HUD's Discretionary Programs; Notice[[Page 11434]]DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT[Docket No. FR-5100-N-01A]Fiscal Year 2007 SuperNOFA for HUD's Discretionary ProgramsAGENCY: 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-to-date funding chart that lists the funding opportunities included in today's FY2007 SuperNOFA publication, along with the application deadline.In reviewing Revised Appendix A, applicants should note that the Youthbuild NOFA, Brownfields Economic Development Initiative (BEDI) NOFA, and the Public Housing Neighborhood Networks (PH-NN) NOFA are not part of today's FY2007 SuperNOFA publication. The Youthbuild program was transferred to the U.S. Department of Labor on September 22, 2006, in accordance with Public Law 109-281, and will not be included in the FY2007 SuperNOFA. Persons interested in funding opportunities under the Youthbuild program should contact the U.S. Department of Labor. The BEDI and PH-NN were not funded in FY2007. HUD is also providing NOFAs for three programs that were not contained in its FY2006 SuperNOFA, specifically the Housing Counseling Training Program, Early Doctoral Student Research Grant Program, and the Doctoral Dissertation Research Program NOFAs.HUD is also using today's publication to correct two items contained in the General Section published on January 18, 2007. Initially, HUD noted in section V.A.1. (third column beginning on page 2408 and continuing to page 2409), that: ``For each program NOFA, the points awarded for the rating factors total 100. Depending on the program for which you are seeking funding, the funding opportunity may provide up to four bonus points, as provided below:''In fact, since the FY2007 SuperNOFA offers bonus points only for applicants that certify that their activities or projects are located in, intended to serve the residents of, or are consistent with the strategic plan for an empowerment zone (EZ), utilization plan for an urban or rural renewal community designated by HUD (RC), or strategic plan for an enterprise community designated in round II by the U.S. Department of Agriculture (EZ-II), collectively referred to as ``RC/EZ/ EC-IIs,'' only two bonus points are available. As a result, section V.A.1. (third column beginning on page 2408 and continuing to page 2409), should read: ``For each program NOFA, the points awarded for the rating factors total 100. Depending on the program for which you are seeking funding, the funding opportunity may provide up to two bonus points, as provided below:''HUD is also correcting instructions regarding the completion of the Logic Model form (HUD-96010). In the third sentence of section VI.C.5.b. (middle column, page 2414), HUD stated that applicants should include all activities and outcomes expected per year of the period of performance. To be consistent with and correctly complete the Logic Model forms, applicants are advised that they must include all activities and outcomes expected per year of the period of performance. As a result, the third sentence of section VI.C.5.b. is corrected to read, ``[T]o provide for greater consistency in reporting, applicants must include all activities and outcomes expected per year of the period of performance as defined in the program logic model for the program NOFA that they apply for.''HUD published the General Section of the FY2007 SuperNOFA early to provide its applicant community with the opportunity to become familiar with cross-cutting requirements, and to remind prospective applicants to register or renew their registration in order to successfully submit an application via Grants.gov.Applicants are required to complete a five-step registration process in order to submit their applications electronically and previously registered applicants must annually update their information in the Central Contractor Registration (CCR) for the registration to remain viable. HUD has developed the following brochures and guidance, found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, to assist applicants with the registration, CCR update, and application processes:STEP BY STEP: Your Guide to Registering for Grant Opportunities.[[Page 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 http://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.[[Page 11436]][GRAPHIC] [TIFF OMITTED] TN13MR07.000[[Page 11437]][GRAPHIC] [TIFF OMITTED] TN13MR07.001[[Page 11438]][GRAPHIC] [TIFF OMITTED] TN13MR07.002[[Page 11439]][GRAPHIC] [TIFF OMITTED] TN13MR07.003[[Page 11440]][GRAPHIC] [TIFF OMITTED] TN13MR07.004[[Page 11441]]BILLING CODE 4210-01-CCommunity Development Technical AssistanceOverview InformationA. 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 AnnouncementI. Funding Opportunity DescriptionA. 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 http://www.hud.gov.B. Description of National TA and Local TA. There are two types of technical assistance (TA) funding available in this NOFA: National TA and Local TA.National TA activities are those that address, at a nationwide level, one or more of the CD-TA program activities and/or priorities identified in Section III.C. of this NOFA. National TA activities may include the development of written products, development of on-line materials, development of training courses, delivery of training courses previously approved by HUD, organization and delivery of workshops and conferences, and delivery of direct TA as part of a national program. Applicants for National TA must also be willing to work in any HUD field office area, although work in the field office areas is likely to be a negligible portion of National TA activities. National TA activities are administered by a Government Technical Representative (GTR) and Government Technical Monitor (GTM) at HUD Headquarters.Local TA activities also must address the CD-TA program activities and/or priorities identified in this NOFA; however the Local TA is targeted to the specific needs of the HUD community development program recipients in the field office area in which the TA is proposed. Local TA activities are limited to the development of need assessments, direct TA to HUD community development program recipients, organization and delivery of workshops and conferences, and customization and delivery of previously HUD-approved trainings. Local TA will be administered by a GTR and GTM in the respective HUD field office.C. Authority. HOME TA is authorized by the HOME Investment Partnerships Act (42 U.S.C. 12781-12783); 24 CFR part 92. CHDO (HOME) TA is authorized by the HOME Investment Partnerships Act (42 U.S.C. 12773); 24 CFR part 92. For the McKinney-Vento Act Homeless Assistance Programs TA, the Supportive Housing Program is authorized under 42 U.S.C. 11381 et seq.; 24 CFR 583.140; Emergency Shelter Grants, Section 8 Moderate Rehabilitation Single Room Occupancy Program, and Shelter Plus Care TA are authorized by the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). HOPWA TA is also authorized under the continuing resolution.II. Award InformationA. 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:ProgramNational TA Local TAHOME.................................... $4,000,000 $6,000,000 CHDO (HOME)............................. 2,000,000 6,000,000 Homeless................................ 3,500,000 3,000,000 HOPWA...................................900,0000The 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 AreaHOMECHDO (HOME) HomelessAlabama.........................................................$75,000$50,000$55,000 Alaska..........................................................45,00050,00030,000 Arkansas........................................................50,00075,00055,000 California--Northern and Arizona, Nevada........................400,000425,000300,000 California--Southern............................................425,000450,000275,000 Caribbean.......................................................125,000100,00040,000 Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming.175,000195,00060,000 Connecticut.....................................................70,00080,00040,000 District of Columbia area.......................................70,00080,00050,000 Florida--Southern...............................................75,00060,00025,000[[Page 11442]]Florida--Northern...............................................125,00076,00085,000 Georgia.........................................................125,000100,00055,000 Hawaii..........................................................65,00065,00045,000 Illinois........................................................180,000175,000160,000 Indiana.........................................................130,00075,00025,000 Kansas and Missouri--Western....................................100,00075,00050,000 Missouri--Eastern...............................................40,00055,00040,000 Kentucky........................................................250,000150,00055,000 Louisiana.......................................................100,000100,00054,000 Maryland, except District of Columbia area......................60,00050,00030,000 Massachusetts, Maine, New Hampshire, Rhode Island, Vermont......310,000300,000200,000 Michigan........................................................175,000225,000150,000 Minnesota.......................................................100,000140,00060,000 Mississippi.....................................................150,000250,00050,000 Nebraska and Iowa...............................................90,00055,00040,000 New Jersey......................................................150,00075,00040,000 New Mexico......................................................200,000275,00060,000 New York--Downstate.............................................200,000425,000210,000 New York--Upstate...............................................125,00075,00040,000 North Carolina..................................................300,000300,00055,000 Ohio............................................................150,000190,00070,000 Oklahoma........................................................55,00040,00015,000 Oregon and Idaho................................................85,00075,00030,000 Pennsylvania--Eastern and Delaware..............................225,000125,00050,000 Pennsylvania--Western and West Virginia.........................150,000100,00049,000 South Carolina..................................................65,00034,00040,000 Tennessee.......................................................150,000175,00040,000 Texas--Northern.................................................150,000175,00085,000 Texas--Southern.................................................85,00040,0000 Virginia, except District of Columbia area......................100,000100,00040,000 Washington......................................................100,00065,00040,000 Wisconsin.......................................................100,000150,00070,000 Houston.........................................................100,000125,00037,000B. Performance Period. Awards will be for a period of up to 36 months. HUD, however, reserves the right to withdraw funds from a specific TA provider if HUD determines that the urgency of need for the assistance is greater in other field office jurisdictions or the need for assistance is not commensurate with the award.C. Terms of Award. HUD will enter into a cooperative agreement with selected applicants for the performance period. Because CD-TA awards are made as cooperative agreements, implementation entails significant HUD involvement. Significant HUD involvement is required in all aspects of TA planning, delivery, and follow-up.In addition to the requirements listed in the General Section, selected applicants are subject to the following requirements:1. Demand-Response System. All CD-TA awardees must operate within the structure of the demand-response system. Under the demand-response system, TA providers are required to:a. When requested by a GTR, market the availability of their services to existing and potential recipients within the jurisdictions in which the assistance will be delivered;b. Respond to requests for assistance from the GTR;c. When requested by a GTR, conduct a needs assessment to identify the type and nature of the assistance needed by the recipient of the assistance;d. Obtain the local HUD field office's approval before responding to direct requests for technical assistance from HOME Participating Jurisdictions (PJs), Community Housing Development Organizations (CHDOs), and McKinney-Vento Act Homeless Assistance and HOPWA grantees; ande. 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; andf. Send trainers to approved ``train-the-trainers'' sessions. The costs associated with attending these required sessions are eligible under the cooperative agreement.3. Field Office Involvement under National TA awards. When National TA providers are undertaking activities in field office jurisdictions, the National TA providers must work cooperatively with HUD field offices. Providers must notify the applicable HUD field office of the planned activities; consider the views or recommendations of that office, if any; follow those recommendations, to the degree practicable; and report to the applicable field office on the accomplishments of the assistance.D. Certification of HOME and CHDO TA Providers Required-Beginning FY2008.Many technical assistance providers have taken the HOME Certified Specialist--Regulations training and[[Page 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 InformationA. Eligible Applicants. The eligible applicants for each of the four CD-TA programs are listed in the chart below. In accordance with the President's faith-based initiative, HUD welcomes the participation of eligible faith-based and other community organizations in the CD-TA programs.ProgramEligible applicantsHOME................................. 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. Other1. Eligible Activities and Priorities. Funds may be used to provide TA to grantees, prospective applicants, and project sponsors of the HOME, CHDO (HOME), Homeless, and HOPWA programs. For each of the TA programs, activities may include but are not limited to written information such as papers, manuals, guides, and brochures; assistance to individual communities; needs assessments; and training. TA should include information needed by the grantee to meet all Fair Housing and section 504 requirements. The priority TA areas for each of the four program areas are:a. HOME TA. HUD has identified four HOME program technical assistance priorities. These priorities that result in measurable performance outputs and outcomes are:(1) Improve the ability of PJs to design and implement housing programs that reflect sound underwriting, management, and fiscal controls; demonstrate measurable outcomes in the use of public funds; and provide accurate and timely reporting of HOME program accomplishments.(2) Encourage public-private partnerships that yield an increase in the amount of private dollars leveraged for HOME-assisted projects and result in an increase in the commitment and production of HOME-assisted units.(3) Assist PJs in developing strategies that ameliorate the affordability gap between rapidly increasing housing costs and the less rapid growth in incomes among low-income households, especially among underserved populations (e.g., residents of the Colonias, homeless persons, persons with disabilities, and residents of an empowerment zone (EZ) designated by HUD or the United States Department of Agriculture (USDA), an urban or rural renewal community designated by HUD (RC), or an enterprise community designated in round II by USDA (EC-II).(4) Assist PJs in developing strategies that increase and help sustain homeownership opportunities for low-income households-- particularly low-income, minority households--and directly result in the commitment and completion of HOME-assisted units.Some examples of measurable performance outputs and outcomes are given in Rating Factor 5.b. CHDO (HOME) TA.(1) HUD has identified three CHDO-specific technical assistance priorities. These priorities that result in measurable performance outputs and outcomes are:(a) Assist new CHDOs and potential CHDOs in developing the organizational capacity to own, develop, and sponsor HOME-assisted projects. A new CHDO is defined as a nonprofit organization that within three years of the publication of this NOFA was[[Page 11444]]determined by a PJ to qualify as a CHDO. A potential CHDO is defined as a nonprofit organization that is expected by the PJ to qualify as a CHDO and is expected to enter into a written agreement with that PJ to own, develop, or sponsor HOME-assisted housing within 24 months of the PJ determining the organization qualifies as a CHDO.(b) Improve the HOME program production and performance of existing CHDOs in the areas of:(i) Program design and management, including underwriting, project financing, property management, and compliance; and(ii) Organizational management and capacity, including fiscal controls, board development, contract administration, and compliance systems.(c) Provide organizational support, technical assistance, and training to community groups for the establishment of community land trusts, as defined in section 233(f) of the Cranston-Gonzales National Affordable Housing Act.(2) Additional CHDO (HOME) eligible activities are:(a) Under the ``Pass-Through'' provision, CD-TA providers may propose to fund various operating expenses for eligible CHDOs that own, develop, or sponsor HOME-assisted housing. Such operating expenses may include reasonable and necessary costs for the operation of the CHDO including salaries, wages, and other employee compensation and benefits; employee education, training and travel; rent; utilities; communication costs; taxes; insurance; equipment, materials, and supplies.(b) CD-TA providers must establish written criteria for selection of CHDOs receiving pass-through funds. PJs must designate the organizations as CHDOs; and, generally, the organizations should not have been in existence more than three years.CD-TA providers must enter into an agreement with the CHDO that the agreement and pass-through funding may be terminated at the discretion of HUD if no written legally binding agreement to provide assistance for a specific housing project (for acquisition, rehabilitation, new construction, or tenant-based rental assistance) has been made by the PJ with the CHDO within 24 months of initially receiving pass-through funding. The pass-through amount, when combined with other capacity building and operating support available through the HOME program, cannot exceed the greater of 50 percent of the CHDO's operating budget for the year in which it receives funds, or $50,000 annually.c. Homeless TA. Homeless TA funds are available to provide McKinney-Vento Homeless Assistance Act, HUD-funded grantees, project sponsors, and potential recipients with skills and knowledge needed to develop and operate projects and activities. The assistance may include, but is not limited to, developing and disseminating written information such as papers, monographs, manuals, curriculums, guides, and brochures; and person-to-person exchanges, conferences, training and use of technology. TA activities are focused on these priorities that result in measurable performance outputs and outcomes:(1) Assist CoCs with Homeless Management Information System (HMIS) implementation. National technical assistance will relate to data collection, data quality, data analysis, provider participation, reporting, performance measurement, data warehousing, and HMIS Data and Technical Standards.(2) Maintain and enhance the HMIS Web site portal as the vehicle for collection and dissemination of HMIS information.(3) Support collaboration between metropolitan, regional and statewide HMISs. Assistance may include providing state and/or regional HMIS technical assistance coordinators and/or technology to promote effectuating long-distance meeting, conferencing and networking.(4) Support collaboration between metropolitan, regional, and statewide HMISs for use in disaster preparedness and recovery efforts, utilizing the experience of communities that experienced Hurricanes Katrina and Rita.(5) Improve participation in the Annual Homeless Assessment Report (AHAR) by CoCs and providers in their geographic areas through outreach and capacity building. Develop materials and training for: Reporting bed coverage; extrapolation and data analysis methodologies and documents; data integration; data quality assessments; utilization of AHAR data at the program and/or CoC level; and the collection and analysis of CoC data for Congressionally-directed HMIS-related reports to Congress.d. HOPWA TA. HOPWA funds are available for technical assistance, training, and oversight activities which can be used to provide grantees, project sponsors, and potential recipients with the skills and knowledge to effectively develop, operate, and support HOPWA- eligible project activities that result in measurable performance outputs and outcomes. TA activities are focused on these priorities:(1) Improve the capacity of HOPWA grantees and project sponsors to execute long-term comprehensive housing strategies by developing housing plans that integrate permanent housing and supportive services, thereby promoting HOPWA's national performance goals of increasing housing stability, reducing risks of homelessness, and improving access to care for HOPWA beneficiaries.(2) Develop national models that effectively integrate AIDS housing strategies into consolidated planning and Continuum of Care planning processes.(3) Develop curriculums and related training tools to assist grantees and project sponsors in coordinating HOPWA permanent housing assistance with mainstream medical and supportive service resources, including Ryan White CARE Act, state, local, and private resources.(4) Conduct training activities to improve the capacity of grantees and project sponsors to increase the availability of affordable housing opportunities for eligible persons in high incidence HIV/AIDS communities with substantial unmet housing needs (e.g., emerging populations, in major disaster areas and underserved rural areas.)(5) Develop training materials to promote use of Homeless Management Information Systems in the provision of HOPWA-assisted housing and coordination of supportive services for eligible homeless persons.(6) Develop technical assistance plans in collaboration with HUD field office oversight for local HOPWA-assisted housing programs. It is estimated that up to 40 percent of HOPWA TA funds will be made available for this purpose.2. DUNS Requirement. Refer to the General Section for information regarding the DUNS requirement. Applicants must obtain a DUNS number to receive an award from HUD.3. Other Eligibility Requirements. All applicants requesting funding from programs under this NOFA must be in compliance with the applicable threshold requirements found in the General Section. Applicants that do not meet these requirements will be ineligible for funding.4. False Statements. An applicant's false statement in an application is grounds for denial or termination of an award and grounds for possible punishment as provided in 18 U.S.C. 1001.5. Environmental review. Most activities under the CD-TA program are categorically excluded and not subject[[Page 11445]]to environmental review under 24 CFR 50.19(b)(9) or (13), but in the case of CHDO (HOME) TA eligible activities, a proposal for payment of rent as part of CHDO operational costs will be subject to environmental review by HUD under 24 CFR part 50. If an applicant proposes to assist CHDO operating expenses that include rent, the application constitutes an assurance that the applicant and CHDO will assist HUD to comply with 24 CFR part 50; will supply HUD with all available and relevant information to perform an environmental review for the proposed property to be rented; will carry out mitigating measures required by HUD or select an alternate property; and will not lease or rent, construct, rehabilitate, convert or repair the property, or commit or expend HUD or non-HUD funds for these activities on the property to be rented, until HUD has completed an environmental review to the extent required by 24 CFR part 50. The results of the environmental review may require that the proposed property be rejected.IV. Application and Submission InformationA. Addresses to Request Application Package. Applications must be received and validated by Grants.gov no later than 11:59:59 p.m. Eastern time on the application deadline date. HUD must receive paper copy applications from applicants that received a waiver no later than 11:59:59 p.m. on the application deadline date. See the General Section for application submission and timely receipt procedures and for instructions on how to request a waiver. Paper applications will not be accepted unless the applicant has received a waiver of the electronic submission requirement.B. Content and Form of Application Submission. Applicants must submit a separate application for each National TA and Local TA area program for which they are applying. For example, an applicant for National TA for HOME and for Local TA in three field office jurisdictions would submit four separate and distinct applications.A completed application consists of an application submitted by an authorized official of the organization and contains all relevant sections of the application, as shown in the checklist below in Section IV.B.4.1. Number of Copies. This information will be included in approval letters to applicants submitting a waiver request.2. Page Limitation. Narratives addressing Factors 1-5 are limited to no more than 25 typed pages. That is, reviewers will not review more than 25 pages for all five factors combined, except that the page limit does not include the Form HUD-96010, Logic Model.3. Prohibition on Materials Not Required. Materials other than what is requested in this NOFA are prohibited. Reviewers will not consider r[eacute]sum[eacute]s, charts, letters, or any other documents attached to the application.4. Checklist for Application Submission. Applicants submitting electronic copies should follow the procedures in Sections IV.B. and F. of the General Section. The following checklist is provided as a guide to help ensure that you submit all the required elements. For applicants receiving a waiver of the electronic submission, the paper submission must be in the order provided below. All applicants should enter the applicant name, DUNS number, and page numbers on the narrative pages of the application. All forms are available when you download the application and instructions from https://apply.grants.gov/forms_apps_idx.html .--SF-424, Application for Federal Assistance (see General Section) --An Application Cover Page indicating in bold (a) the type of TA proposed in the application whether HOME National, CHDO National, CHDO Local, Homeless National, Homeless Local, or HOPWA National (b) the amount of funds requested; and (c) for Local TA, the jurisdiction proposed in the application. --A one-page Summary describing (a) each major component of the proposed TA approach; (b) the proposed cost of each major component; and (c) whether the component is integrally related to another component in order to be successful. --Narrative addressing Factors 1-5 --HUD-96010, Logic Model --HUD-424-CB, Grant Application Detailed Budget Form (see General Section) --HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects (see General Section) --If applying for CHDO (HOME) TA, statement as to whether the organization proposes to pass through funds to new CHDOs. --If applying for the CHDO (HOME) TA, a certification as to whether the organization qualifies as a primarily single-state provider under section 233(e) of the Cranston-Gonzales Affordable Housing Act. --SF-LLL, Disclosure of Lobbying Activities (see General Section) --HUD-2880, Applicant/Recipient Disclosure/Update Report (see General Section) --SF-424, Supplement, Survey on Equal Opportunity for Applicants --HUD-96011, Facsimile Transmittal (required for electronic submissions of third party documents)C. Submission Dates and Times. Your completed application must be received and validated electronically by Grants.gov no later than 11:59:59 p.m. eastern time on the deadline date.D. Intergovernmental Review. Intergovernmental review is not applicable to CD-TA applications.E. Funding Restrictions. An organization may not provide assistance to itself. An organization may not provide assistance to another organization with which it contracts or sub-awards funds to carry out activities under the TA award.Funding from HOME and from CHDO (HOME) TA to any single eligible organization (excluding funds for organizational support and housing education ``passed through'' to CHDOs), whether as an applicant or sub- recipient is limited to not more than 20 percent of the operating budget of the recipient organization for any one-year period of each cooperative agreement. In addition, funding under either HOME or CHDO (HOME) TA to any single organization is limited to 20 percent of the $18,000,000 made available for HOME and CHDO (HOME) TA in FY2007.Not less than 40 percent of the approximately $8,000,000 for CHDO (HOME) shall be made available for eligible TA providers that have worked primarily in one state. HUD will consider an applicant as a primarily single state TA provider if it can document that more than 50 percent of its past activities in working with CHDOs or similar nonprofit and other organizations (on the production of affordable housing, revitalization of deteriorating neighborhoods, and/or the delivery of technical assistance to these groups) was confined to the geographic limits of a single state.No fee or profit may be paid to any recipient or sub-recipient of an award under this CD-TA NOFA.F. Other Submission Requirements. The General Section describes application submission procedures and how applicants may obtain proof of timely submission.Waiver of Electronic Submission Requirements. Applicants interested in applying for funding under this NOFA must submit their applications electronically or request a waiver from the Community Development Technical Assistance program. Applicants should[[Page 11446]]submit their waiver requests in writing by e-mail. Waiver requests must be submitted no later than 15 days prior to the application deadline date and should be submitted to 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 InformationA. Criteria. The maximum number of points to be awarded for a CD-TA application is 100. The minimum score for an application to be considered for funding is 75 with a minimum of 20 points on Factor 1. The CD-TA program is not subject to bonus points, as described in the General Section.Points are assigned on five factors. When addressing Factors 2-5, applicants should discuss the specific TA activities that will be carried out during the term of the cooperative agreement. Applicants should provide relevant examples to support the proposal, where appropriate. Applicants should also be specific when describing the communities, populations, and organizations that they propose to serve and the specific outcomes expected as a result of the TA.Factor 1 relates to the capacity of the applicant and its relevant organizational experience. Rating of the ``applicant'' or the ``applicant's organization and staff'' includes in-house staff and any sub-contractors and sub-recipients which are firmly committed to the project. In responding to Factor 1, applicants should specify the experience, knowledge, skills, and abilities of the applicant's organization and staff, and any persons and organizations firmly committed to the project.Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (30 points) (Minimum for Funding Eligibility--20 points)a. (10 points) Recent and successful experience of the applicant's organization in providing TA in eligible activities and to eligible entities for the HOME, CHDO (HOME), Homeless, or HOPWA. CD-TA programs, as applicable.In rating this factor, HUD will consider the extent to which the application demonstrates successful experience within the last four years of providing TA related to the applicable CD-TA program.b. (10 points) Depth of experience in managing multiple TA tasks, to multiple entities, and in more than one geographic area.In rating this factor, HUD will consider the extent to which the application demonstrates ability to manage TA assignments effectively.c. (10 points) Knowledgeable key personnel skilled in providing TA in one or more of the eligible activities for HOME, CHDO (HOME), Homeless, and/or HOPWA programs, as applicable; a sufficient number of staff or ability to procure qualified experts or professionals with the knowledge, skills, and abilities to deliver the proposed level of TA in the proposed service area in a timely and effective fashion; and an ability to provide CD-TA in a geographic area larger than a single city or county.In rating this factor, HUD will consider the extent to which the application demonstrates the organization has an adequate number of key staff or ability to procure individuals with the knowledge of effective TA approaches and knowledge of HOME, CHDO (HOME), Homeless, or HOPWA, as applicable.Rating Factor 2: Need/Extent of the Problem (10 points)a. For National TA applications: Sound and extensive understanding of need for TA in relation to the priorities listed in Section III C of this NOFA as demonstrated by objective information and/or data, such as information from HOME Snapshots, current census data, the American Housing Survey, or other relevant data sources.b. For Local TA applications: Sound and extensive understanding of high priority needs for TA in the jurisdiction as demonstrated by objective information and/or data, such as information from HOME Snapshots, current census data, the American Housing Survey, or other relevant data sources.In rating this factor, HUD will evaluate the extent to which the application demonstrates an understanding of the specific needs for TA and supports the description of need with reliable, program-specific, quantitative information. Applicants for HOME should, at a minimum, draw on HOME Snapshot information to demonstrate PJs' needs, in an area or nationwide, for additional training and capacity building. See http://www.hud.gov/offices/cpd/affordablehousing/programs/home/snapshot/index.cfm .Rating Factor 3: Soundness of Approach (40 points)a. (25 points) (1) For National TA applications: A sound approach for addressing the need for eligible TA activities in relation to the priorities listed in Section III C of this NOFA that will result in positive outcomes.(2) For Local TA applications: A sound approach for addressing high priority needs for TA in the jurisdiction that will result in positive outcomes.In rating this factor, HUD will evaluate the extent to which the application presents and supports a detailed, feasible, practical approach for addressing TA needs (Local TA applications) or CD-TA program priorities (National TA applications), including techniques, timeframes, goals, and intended beneficiaries, and the likelihood that these activities will be cost-effective and will result in positive outcomes.b. (10 points) A feasible work plan for designing, organizing, managing, and carrying out the proposed TA activities under the demand- response system.In rating this factor, HUD will evaluate the applicant's understanding of the demand-response system and the extent to which the application demonstrates the efficiency of the design, organization, and management of the proposed activities.c. (5 points) An effective assistance program to specific disadvantaged communities, populations, and/or organizations which previously have been underserved and have the potential to participate in the CD-TA program (such as the Colonias, an empowerment zone (EZ) designated by HUD or the United States Department of Agriculture (USDA), an urban or rural renewal community designated by HUD (RC), an enterprise community designated in round II by USDA (EC-II), or homeless persons and persons with disabilities).In rating this factor, HUD will evaluate the extent to which the applicant has identified and has documented, using reliable data, specific communities, populations, or organizations that have been disadvantaged or previously underserved communities, populations, or organizations and has developed an effective strategy for engaging their participation in the HOME, CHDO (HOME), Homeless, or HOPWA program, as applicable.Rating Factor 4: Leveraging Resources (10 points)An efficient practical method to transfer manuals, guides, assessment[[Page 11447]]forms, other work products, models, and lessons learned in its CD-TA activities to other CD-TA grantees and/or HOME, CHDO (HOME), Homeless, or HOPWA program beneficiaries.In rating this factor, HUD will evaluate the extent to which the application demonstrates a cost-effective means of sharing resources developed under the CD-TA activities with a wide audience, including sharing information with other TA providers in the CD-TA program.Rating Factor 5: Achieving Results and Program Evaluation (10 points)a. (5 points) An effective, quantifiable evaluation plan for measuring performance using the Logic Model with specific outcome measures and benchmarks, including--for HOME applicants--performance improvements as measured by the HOME Snapshot indicators.In rating this factor, HUD will evaluate the extent to which the application has an evaluation plan that includes outcomes and is specific, measurable, and appropriate in relation to the activities proposed.b. (5 points) Successful past performance in administering HUD CD- TA programs or, for applicants new to HUD's CD-TA Programs, successful past performance in providing TA in other community development programs. Applicants should include, as applicable, increases in CPD or community development program accomplishments as a result of TA (e.g., number of homeless people or persons with HIV/AIDS receiving housing and services, efficiency or effectiveness of administration of CPD or community development programs, number of affordable housing units, HOME Snapshot indicators, timeliness of use of CPD or community development program funds).In rating this factor, HUD will evaluate the extent to which the application demonstrates successful past performance that was timely and resulted in positive outcomes in the delivery of community development TA. HUD will also consider past performance of current CD- TA providers, including financial and other information in HUD's files.B. Review and Selection Process1. 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 InformationA. Award Notices. HUD will send written notifications to both successful and unsuccessful applicants. A notification sent to a successful applicant is not an authorization to begin performance.After selection, HUD requires that all selected applicants participate in negotiations to determine the specific terms of the cooperative agreement, including the budget. Costs may be denied or modified if HUD determines that they are not allowable, allocable, and/ or reasonable. In cases where HUD cannot successfully conclude negotiations with a selected applicant or a selected applicant fails to provide HUD with requested information, an award will not be made to that applicant. In this instance, HUD may offer an award, and proceed with negotiations with the next highest-ranking applicant.After selection for funding but prior to executing the cooperative agreement, the selected applicant must develop in consultation with the GTR, a Technical Assistance Delivery Plan (TADP) for each National TA award. The TADP must be approved by the GTR and delineate the tasks for each CD-TA program the applicant will undertake during the performance period. For Local TA awards and generally for National TA awards, prior to undertaking individual tasks, the selected applicant must develop in consultation with the GTR a Work Plan for specific activities. The TADP and the Work Plans must specify the location of the proposed CD-TA activities, the amount of CD-TA funding and proposed activities by location, the improved program performance or other results expected from the CD-TA activities, and the methodology to be used for measuring the success of the CD-TA. A detailed time schedule for delivery of the activities, budget summary, budget-by-task, and staffing plan must be included in the TADP and Work Plans.After selection, but prior to award, applicants selected for funding will be required to provide HUD with their written Code of Conduct if they have not previously done so and it is recorded on the [[Page 11448]]http://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 ContactsA. 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 http://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 InformationA. Paperwork Reduction Act. The information collection requirements contained in this document have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control numbers 2506-0166 and 2506-0133. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection displays a currently valid OMB control number. Public reporting burden for the collection of information is estimated to average 60 hours for the application and grant administration. This includes the time for collecting, reviewing, and reporting the data. The information will be used for grantee selection and monitoring the administration of funds. Response to this request for information is required in order to receive the benefits to be derived.B. HUD Reform Act. The provisions of the HUD Reform Act of 1989 that apply to the CD-TA program are explained in the General Section.[[Page 11449]][GRAPHIC] [TIFF OMITTED] TN13MR07.005[[Page 11450]]Community Development Block Grant Program for Indian Tribes and Alaska Native VillagesOverview InformationA. 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 AnnouncementI. Funding Opportunity DescriptionA. General. Title I of the Housing and Community Development Act of 1974, which authorizes Community Development Block Grants, requires that grants for Indian tribes be awarded on a competitive basis. All grant funds awarded in accordance with this NOFA are subject to the requirements of 24 CFR part 1003. Applicants within an Area ONAP's geographic jurisdiction compete only against each other for that Area ONAP's allocation of funds.B. Authority. The authority for this program is Title I of the Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.) and the program regulations in 24 CFR part 1003.C. Program Description. The purpose of the ICDBG program is the development of viable Indian and Alaska Native communities, including the creation of decent housing, suitable living environments, and economic opportunities primarily for persons with low- and moderate- incomes as defined in 24 CFR 1003.4. The ONAP in HUD's Office of Public and Indian Housing administers the program.Projects funded by the ICDBG program must meet the primary objective, defined at 24 CFR 1003.2, to principally benefit low- and moderate-income persons. Consistent with this objective, not less than 70 percent of the expenditures of each single-purpose grant shall be for activities that meet the regulatory criteria at 24 CFR 1003.208 for:1. Area Benefit Activities2. Limited Clientele Activities3. Housing Activities4. Job Creation or Retention ActivitiesICDBG 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; and4. 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 NOFA1. Adopt. To approve by formal tribal resolution.2. Document. To supply supporting written information and/or data in the application that satisfies the NOFA requirement. Documentation should clearly and concisely support your response to the rating factor.3. Entity Other than Tribe. A distinction is made between the requirements for point award under Rating Factor 3 if a tribe or an entity other than the tribe will assume maintenance and related responsibilities for projects other than economic development, and land acquisition to support new housing. Entities other than the tribe must have the following characteristics:(a) Must be legally distinct from the tribal government; (b) their assets and liabilities cannot be considered to be assets and liabilities of the tribal government; (c) claims against such entities cannot be made against the tribal government; and (d) must have governing boards, boards of directors, or groups or individuals similar in function and responsibility to such boards which are separate from the tribe's general council, tribal council, or business council, as applicable.4. Homeownership Assistance Programs. Tribes may apply for assistance to provide direct homeownership assistance to low- and moderate-income households to: (a) Subsidize interest rates and mortgage principal amounts for low- and[[Page 11451]]moderate-income homebuyers; (b) finance the acquisition by low- and moderate-income homebuyers of housing that is occupied by the homebuyers; (c) acquire guarantees for mortgage financing obtained by low- and moderate-income homebuyers from private lenders (except that ICDBG funds may not be used to guarantee such mortgage financing directly, and grantees may not provide such guarantees directly); (d) provide up to 50 percent of any down payment required from a low- and moderate-income homebuyer; or (e) pay reasonable closing costs (normally associated with the purchase of a home) incurred by a low- or moderate-income homebuyer.5. Leveraged Resources. Leveraged resources are resources that you will use in conjunction with ICDBG funds to achieve the objectives of the project. Leveraged resources include, but are not limited to: tribal trust funds, loans from individuals or organizations, business investments, private foundations, state or federal loans or guarantees, other grants, and non-cash contributions and donated services. (See Rating Factor 4 for documentation requirements for leveraged resources.)6. Microenterprise Programs. Tribes may apply for assistance to operate programs to fund the development, expansion, and stabilization of microenterprises. Microenterprises are defined as commercial entities with five or fewer employees, including the owner. Microenterprise program activities may entail the following assistance to eligible businesses: (a) Providing credit, including, but not limited to, grants, loans, loan guarantees, and other forms of financial support for the establishment, stabilization, and expansion of microenterprises; (b) providing technical assistance, advice, and business support services to owners of microenterprises and persons developing microenterprises; and (c) providing general support, including, but not limited to, peer support programs, counseling, child care, transportation, and other similar services to owners of microenterprises and persons developing microenterprises.7. Operations and Maintenance (O&M) for Public Facilities and Improvements. While various items of cost will vary in importance and significance depending on the type of facility proposed, there are items of expense related to the operation of the physical plant that must be addressed in an O&M plan (the tribe assumes responsibility) or in a letter of commitment (an entity other than tribe will assume these responsibilities). Although the tribe no longer has to submit the O&M plan with the application, it must provide a written statement that it has adopted an O&M plan and that the plan addresses several items. These items include daily or other periodic maintenance activities, repairs such as replacing broken windows, capital improvements or replacement reserves for repairs such as replacing the roof, fire and liability insurance (may not be applicable to most types of infrastructure projects such as water and sewer lines), and security (may not be applicable to many types of infrastructure projects such as roads). (Please note that while it is possible that the service provider may, in its agreement with a tribe, commit itself to cover certain or all facility O&M costs, these costs do not include the program service provision costs related to the delivery of services (social, health, recreational, educational, or other) that may be provided in a facility).8. Outcomes. The ultimate impact you hope to achieve with the proposed project. Outcomes should be quantifiable measures or indicators and identified in terms of the change in the community, people's lives, economic status, etc. Common outcomes could include increases in percent of housing units in standard condition, homeownership rates, or employment rates.9. Outputs. Outputs are the direct products of a program's activities. They are usually measured in terms of the volume of work accomplished, such as the number of low-income households served, number of units constructed or rehabilitated, linear feet of curbs and gutters installed, or number of jobs created or retained. Outputs should be clear enough to allow HUD to monitor and assess your proposed project's progress if funded.10. Project Cost. The total cost to implement the project. Project costs may be covered by both ICDBG and non-ICDBG funds and resources.11. Standard Housing/Standard Condition. Housing that meets the housing quality standards (HQS) adopted by the applicant. The HQS adopted by the applicant must be at least as stringent as the Section 8 HQS contained in 24 CFR 982.401 (Section 8 Tenant-Based Assistance: Housing Choice Voucher program) unless the ONAPs approve less stringent standards based on a determination that local conditions make the use of Section 8 HQS unfeasible. Before the application deadline, you may submit a request for the approval of standards less stringent than Section 8 HQS. If you submit the request with your application, you should not assume automatic approval by ONAP. The adopted standards must provide for (a) a safe house, in physically sound condition with all systems performing their intended design functions; (b) a livable home environment and an energy efficient building and systems that incorporate energy conservation measures; and (c) an adequate space and privacy for all intended household members.12. Statement. When a ``written statement'' is requested for any threshold, program requirement, or rating factor, the applicant must address in writing the specific item cited.13. Tribe. The word ``tribe'' means an Indian tribe, band, group or nation, including Alaska Indians, Aleuts, Eskimos, Alaska Native Villages, Alaska Native Claims Settlement Act (ANCSA) Village Corporations, and ANCSA Regional Corporations.II. Award InformationA. Available Funds. The fiscal year 2007 appropriation for the ICDBG program is $59.4 million, less $3.96 million retained to fund Imminent threat grants, for a total of approximately $55.4. Funds that are carried over from previous fiscal years or are recaptured may also be used for grant awards under this NOFA. In accordance with the provisions of 24 CFR part 1003, subpart E, HUD has retained $3.96 million of the FY 2007 appropriation to meet the funding needs of imminent threat requests submitted to any of the Area ONAPs. The grant ceiling for imminent threat requests for FY 2007 is $450,000. This ceiling has been established pursuant to the provisions of 24 CFR 1003.400(c).B. Allocations to Area ONAPs. The requirements for allocating funds to Area ONAPs responsible for program administration are found at 24 CFR 1003.101. Following these requirements, based on an appropriation of $59.4 million less $3.96 million for imminent threat grants, the allocations for FY 2007 are approximately as follows: Eastern/ Woodlands: $6,325,737; Southern Plains: $11,864,746; Northern Plains: $7,917,788; Southwest: $20,525,637; Northwest: $2,891,489; Alaska: $5,914,603; Total $55,400,000.C. Compliance with Regulations, Guidelines, and Requirements. Applicants awarded a grant under this NOFA are required to comply with the regulations, guidelines, and requirements with respect to the acceptance and use of federal funds for this federally assisted program. Also,[[Page 11452]]the grantee, by accepting the grant, provides assurance with respect to the grant that:1. It possesses the legal authority to apply for the grant and execute the proposed program.2. The governing body has duly authorized the filing of the application, including all understandings and assurances contained in the application, and has directed and authorized the person identified as the official representative of the applicant to act in connection with the application and to provide such additional information as may be required.3. It will comply with HUD general administration requirements in 24 CFR Part 85.4. It will comply with the requirements of Title II of Public Law 90-284 (25 U.S.C. 1301), the Indian Civil Rights Act. Federally recognized Indian tribes and their instrumentalities are subject to the requirements of: Title II of the Civil Rights Act of 1964, known as the Indian Civil Rights Act; Section 109 prohibitions against discrimination based on age, sex, religion and disability; the Age Discrimination Act of 1975; and Section 504 of the Rehabilitation Act of 1973.5. It will comply with the Indian preference provisions required in 24 CFR 1003.510.6. It will establish written safeguards to prevent employees from using positions funded under the ICDBG programs for a purpose that is, or gives the appearance of being, motivated by private gain for themselves, their immediate family, or business associates. Employees are not otherwise limited from benefiting from program activities for which they are otherwise eligible.7. Neither the applicant nor its principals are presently excluded from participation in any HUD programs, as required by 24 CFR part 24.8. The chief executive officer or other official of the applicant approved by HUD:a. Consents to assume the status of a responsible federal official under the National Environmental Policy Act of 1969 insofar as the provisions of the Act apply to the applicant's proposed program pursuant to 24 CFR 1003.605.b. Is authorized and consents on behalf of the applicant and him/ herself to accept the jurisdiction of the federal courts for the purpose of enforcement of his/her responsibilities as such an official.Note: Applicants for whom HUD has approved a claim of incapacity to accept the responsibilities of the federal government for purposes of complying with the environmental review requirements of 24 CFR part 58, pursuant to 24 CFR 1003.605, are not subject to the provision of paragraph 8.9. It will comply with the requirements of Section 3 of the Housing and Urban Development Act of 1968 and the regulations in 24 CFR part 135 (Economic Opportunities for Low and Very Low Income Persons) to the maximum extent consistent with, but not in derogation of, compliance with Section 7(b) of the Indian Self-Determination and Education Assistance Act (25 USC. 450e(b)). Two points will be awarded under Rating Factor 3 in fiscal year 2007 for applicants who demonstrate how they will incorporate Section 3 principles into their proposed projects.10. It will comply with the requirements of the Fire Authorization Administration Act of 1992 (Pub. L. 102-522).11. It will comply with 24 CFR, part 4, subpart A, showing full disclosure of all benefits of the project as collected by form HUD- 2880, Applicant/Recipient Disclosure Report.12. Prior to submission of its application to HUD, the grantee has met the citizen participation requirements, which include following traditional means of member involvement, as required in 24 CFR 1003.604.13. It will administer and enforce the labor standards requirements prescribed in 24 CFR 1003.603.14. The project has been developed so that not less than 70 percent of the funds received under this grant will be used for activities that benefit low- and moderate-income persons.15. Executive Order 13202, ``Preservation of Open Competition and Government Neutrality Towards Government Contractors' Labor Relations on Federal and Federally Funded Construction Projects'' applies to projects funded under this NOFA. See the General Section for more information.D. Period of Performance. The period of performance for any grant awarded under this NOFA must be included in the Implementation Schedule, form HUD-4125, and approved by HUD.III. Eligibility InformationA. Eligible ApplicantsEligible applicants are Indian tribes or tribal organizations on behalf of Indian tribes. To apply for funding, you must be eligible as an Indian tribe (or as a tribal organization), as required by 24 CFR 1003.5, by the application deadline date.Tribal organizations are permitted to submit applications under 24 CFR 1003.5(b) on behalf of eligible tribes when one or more eligible tribe(s) authorize the organization to do so under concurring resolutions. The tribal organization must itself be eligible under Title I of the Indian Self-Determination and Education Assistance Act. The Bureau of Indian Affairs (BIA) or the Indian Health Service (IHS), as appropriate, must make a determination of such eligibility. This determination must be provided to the Area ONAP by the application deadline.If a tribe or tribal organization claims that it is a successor to an eligible entity, the Area ONAP must review the documentation to determine whether it is in fact the successor entity.Applicants from within Alaska: Due to the unique structure of tribal entities eligible to submit ICDBG applications in Alaska, and as only one ICDBG application may be submitted for each area within the jurisdiction of an entity eligible under 24 CFR 1003.5, a tribal organization that submits an application for activities in the jurisdiction of one or more eligible tribes or villages must include a concurring resolution from each such tribe or village authorizing the submission of the application. An application submitted by a tribal organization on behalf of a specific tribe will not be accepted if the tribe itself submits an application for the same funding round. The hierarchy for funding priority continues to be the IRA Council, the Traditional Village Council, the ANCSA Village Corporation, and the ANCSA Regional Corporation.On November 25, 2005, the BIA published a Federal Register notice entitled, ``Indian Entities Recognized and Eligible to Receive Services From the United States Bureau of Indian Affairs'' (70 FR 71194). This notice provides a listing of Indian Tribal Entities in Alaska found to be Indian tribes as the term is defined and used in 25 CFR part 83. Additionally, pursuant to Title I of the Indian Self-Determination and Education Assistance Act, ANCSA Village Corporations and Regional Corporations are also considered tribes and therefore eligible applicants for the ICDBG program.Any questions regarding eligibility determinations and related documentation requirements for entities in Alaska should be referred to the Alaska Area ONAP prior to the application deadline. (See 24 CFR 1003.5 for a complete description of eligible applicants.)[[Page 11453]]B. Cost Sharing or Matching.Cost sharing or matching is not required under this grant; however, applicants who leverage this grant with other funds receive points. See Section V. (A) Rating Factor 4.C. Other1. 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 Requirementsa. Low- and Moderate-Income Status for Rehabilitation Projects. Your application must contain information that shows that all households that receive ICDBG grant assistance under a housing rehabilitation project are of low- and moderate-income status.b. Housing Rehabilitation Cost Limits. Grant funds spent on rehabilitation must fall within the following per-unit limits for each Area ONAP jurisdiction: Eastern/Woodlands: $35,000; Southern Plains: $35,000; Northern Plains: $50,000; Southwest: $50,000; Northwest $40,000; Alaska: $55,000.c. Commitment to Housing for Land Acquisition to Support New Housing Projects. For land acquisition to support new housing projects, your application must include evidence of financial commitment and an ability to construct at least 25 percent of the housing units on the land proposed for acquisition. This evidence must consist of one (or more) of the following: a firm or conditional commitment to construct (or to finance the construction of) the units; documentation that an approvable application for the construction of these units has been submitted to a funding source or entity; or documentation that these units are specifically identified in the Indian Housing Plan (IHP), (one-Year Financial Resources Narrative; Table 2, Financial Resources, Part I, Line 1E; and Table 2, Financial Resources, Part II) submitted by or on behalf of the applicant as an affordable housing resource with a commensurate commitment of Indian Housing Block Grant (IHBG) (also known as NAHBG) resources. If the IHP for the IHBG (also known as NAHBG) program year that coincides with the implementation of the ICDBG proposed project has not been submitted, you must provide an assurance that the IHP will specifically reference the proposed project. The IHP submission must occur within three years from the date the land is acquired and ready for development.d. Health Care Facilities. If you propose a facility that would provide health care services funded by the Indian Health Service (IHS), you must assure that the facility meets all applicable IHS facility requirements. HUD recognizes that tribes that are contracting services from the IHS may establish other facility standards. These tribes must assure that these standards at least compare to nationally accepted minimum standards. 3. Program-Related Threshold Requirementsa. 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 Thresholds1. In accordance with 24 CFR 1003.302(b), new housing construction can only be implemented when necessary through a Community Based Development Organization (CBDO). Eligible CBDOs are described in 24 CFR 1003.204(c). You must provide documentation establishing that the entity implementing your new housing construction project qualifies as a CBDO.2. In accordance with 24 CFR 1003.302, you must have a current, in effect, tribal resolution adopting and identifying construction standards.3. In accordance with 24 CFR 1003.302, you must also include in your application documentation affirming the following:(a) All households to be assisted under a new housing construction project must be of low- or moderate-income status;(b) No other housing is available in the immediate reservation area that is suitable for the households to be assisted;(c) No other sources, including an Indian Housing Block Grants (IHBG), can meet the needs of the household(s) to be served; and(d) Rehabilitation of the unit occupied by the household(s) to be assisted is not economically feasible, the household(s) to be housed is currently in an overcrowded house (more than one household per house), or the household to be assisted has no current residence.c. Economic Development Project Thresholds. In accordance with 24 CFR 1003.302, for economic development assistance projects, you must provide a financial analysis. The financial analysis must demonstrate that the project is financially feasible and the project has a reasonable chance of success. The analysis must also demonstrate the public benefit resulting from the ICDBG assistance. The more funds you request, the greater the public benefit you must demonstrate. The analysis must also establish that to the extent practicable, reasonable financial support will be committed from non-federal sources prior to disbursement of federal funds; any grant amount provided will not substantially reduce the amount of non-federal financial support for the activity; not more than a reasonable rate of return on[[Page 11454]]investment is provided to the owner; and that grant funds used for the project will be disbursed on a pro-rata basis with amounts from other sources.d. There are no project specific thresholds for Land Acquisition to Support New Housing, Homeownership Assistance, Public Facilities and Improvements, and Microenterprise Projects.5. Public Service Projects. Because there is a regulatory 15 percent cap on the amount of grant funds that may be used for public service activities, you may not receive a single-purpose grant solely to fund public service activities. Your application, however, may contain a public service component for up to 15 percent of the total grant, and this component may be unrelated to the other project(s) in your application. If your application does not receive full funding, HUD will reduce the public service allocation proportionately so that it comprises no more than 15 percent of the total grant award. In making such reductions, the feasibility of the proposed project will be taken into consideration. If a proportionate reduction of the public service allocation renders such a project infeasible, the project will not be funded. A complete description of public service projects is located at 24 CFR part 1003.201.6. Restrictions on Eligible Activities. A complete description of activities that are eligible for ICDBG funding are identified at 24 CFR part 1003, subpart C. Please note that although this subpart has not yet been revised to include the restrictions on the ineligible activity that was added to Section 105 of the CDBG statute by Section 588 of the Quality Housing and Work Responsibility Act of 1998, this restriction applies. Specifically, ICDBG funds may not be used to assist directly in the relocation of any industrial or commercial plant, facility, or operation, from one area to another, if the relocation is likely to result in a significant loss of employment in the labor market area from which the relocation occurs. Rating Factors 2 and 3 included under Section V specify many of the activities listed as eligible under part 1003, subpart C. Those listed include new housing construction (in certain circumstances, as described in Rating Factors 2 and 3), housing rehabilitation, land acquisition to support new housing, homeownership assistance, public facilities and improvements, economic development, and microenterprise programs. However, the following eligible activities not clearly identified by the rating factors may be proposed and rated as described below. During the past few years, many tribes have experienced high incidences of mold growth in tribal homes and buildings. Renovation of affected buildings is eligible under housing rehabilitation or public facility improvement projects.a. Acquisition of property. This activity can be proposed as acquisition of land or other real property to support New Housing Construction, Housing Rehabilitation, Public Facilities and Improvements, or Economic Development, depending on the purpose of the acquisition.b. Assistance to Institutions of Higher Learning. If such entities have the capacity, they can help the ICDBG grantees implement eligible projects.c. Assistance to Community Based Development Organizations (CBDOs). Grantees may provide assistance to these organizations to undertake activities related to neighborhood revitalization, community economic development, or energy conservation.d. Clearance and Demolition. These activities can be proposed as part of Housing Rehabilitation, New Housing Construction, Public Facilities and Improvements, Economic Development, or Land to Support New Housing. Section 1003.201 (d) states, ``Demolition of HUD-assisted housing units may be undertaken only with the prior approval of HUD.''e. Code Enforcement. This activity can be proposed as Housing Rehabilitation. The activity must comply with the requirements at 24 CFR 1003.202.f. Comprehensive Planning. This activity is eligible, and can be proposed as part of any otherwise-eligible project to the extent allowed by the 20 percent cap on the grant for planning/administration.g. Energy Efficiency. Associated activities can be proposed under Housing Rehabilitation or Public Facilities and Improvements, depending upon the type of energy efficiency activity.h. Lead-Based Paint Evaluation and Abatement. These activities can be proposed under Housing Rehabilitation.i. Non-Federal Share. ICDBG funds can be used as a match for any non-ICDBG funding to the extent allowed by such funding and the activity is eligible under 24 CFR part 1003, subpart C.j. Privately and Publicly Owned Commercial or Industrial Buildings (real property improvements). These activities can be proposed under Economic Development. Privately owned commercial rehabilitation is subject to the requirements at 24 CFR 1003.202.k. Privately Owned Utilities. Assistance to privately owned utilities can be proposed under Public Facilities and Improvements.l. Removal of Architectural Barriers. This includes removing barriers that restrict mobility and access for elderly and persons with disabilities. In addition, accommodation should be made for persons with all varieties of disabilities to enable them to benefit from these activities. This activity can be proposed under Housing Rehabilitation or Public Facilities and Improvements, depending upon the type of structure where the barrier will be removed.7. Application Screening. The Area ONAP will screen applications for single-purpose grants. The Area ONAP will reject an application that fails this screening and will return the application unrated. The Area ONAP will accept your application if it meets all the criteria listed below as items a through f.a. Your application is received or submitted in accordance with the requirements set forth under Application and Submission Procedures in Section IV of this NOFA;b. You are eligible;c. The proposed project is eligible;d. Your application contains all the components specified in Section IV. B. of this NOFA;e. Your application shows that at least 70 percent of the grant funds are to be used for activities that benefit low- and moderate- income persons, in accordance with the requirements of 24 CFR 1003.208. For screening purposes only, HUD will use the 2000 census data if the data you submitted does not meet this screening requirement; andf. 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 InformationA. Addresses to Request Application Package. Applicants are required to submit an electronic application, unless they receive a waiver of the requirement. See the General Section for information on electronic application submission and timely submission and receipt requirements. Waiver requests must be submitted to the Headquarters ONAP, Office of Grants Management in writing, using mail, e-mail or fax. Waiver requests must be submitted no later than 15 days prior to the application deadline date and should be[[Page 11455]]sent to Deborah M. Lalancette, HUD, ONAP, 1670 Broadway, 23rd Floor Denver CO 80202; by e-mail to Deborah_M._Lalancette@hud.gov or by fax to 303-675-1660.B. Content and Form of Application Submission1. Application Information. All information required to complete a valid application is included in the General Section and this NOFA. Copies of the General Section and ICDBG NOFA may be downloaded from the grants.gov Web site at http://www.grants.gov/applicants/apply_for_grants.jsp. If you experience any problems with downloading the General Section or the ICDBG NOFA, call the Grants.gov help desk at 800-518- GRANTS. Before preparing an application, applicants should carefully review the program description, ineligible activities, program and threshold requirements, and the General Section. Applicants should carefully review each rating factor listed in Section V of this NOFA, before writing a narrative response. Indicate on the first page of each project submission the type of project(s) you are proposing: Economic Development, Homeownership Assistance, Housing Rehabilitation, Land Acquisition to Support New Housing, Microenterprise Programs, New Housing Construction, or Public Facilities and Improvements. This will help to ensure that the appropriate project-specific thresholds and rating subfactors will be applied. Narrative statements submitted to support your application should be individually labeled to reflect the item the narrative is responding to, e.g., Factor 1, Factor 2, etc. Applicants should not submit third party documents, such as audits, resolutions, policies, unless specifically asked to do so. Additional information regarding electronic submissions can be found in the General Section.If you received a waiver to the electronic application submission requirements and are submitting a paper application, please use separate tabs for each rating factor and rating subfactor. In order to be rated, make sure the response is beneath the appropriate heading. Keep the responses in the same order as the NOFA. It is recommended that you limit your narrative explanations to 200 words or less and provide the necessary data such as a market analysis, a pro forma, housing survey data, etc., that support the response. Include all relevant material to a response under the same tab. Only include documentation that will clearly and concisely support your response to the rating criteria.HUD suggests that you do a preliminary rating for your project, providing a score according to the point system in Section V of this NOFA. This will show you how reviewers might score your project and identify its strengths and weaknesses. This will help you determine where you can make improvements prior to its submission. An application checklist for you to use to ensure that you have submitted all required components is found in this section under item 2c.2. Content of Application, Forms, and Required Elements. The applicant must respond in narrative form to all five of the rating factors listed in Section V.A. of this NOFA. In addition, the applicant must submit all of the forms required in this section, along with other data listed below.a. Demographic data. You may submit data that are unpublished, not generally available, and not older than three years, in order to meet the requirements of this section. Your application must contain a statement that the following criteria have been met:(1) Generally available published data are substantially inaccurate or incomplete;(2) Data that you submit have been collected systematically and are statistically reliable;(3) Data are, to the greatest extent feasible, independently verifiable; and(4) Data differentiate between reservation and BIA service area populations, when applicable.b. Publication of Community Development Statement. You must prepare and publish or post the community development statement portion of your application according to the citizen participation requirements of 24 CFR 1003.604. You may post or publish a statement that indicates that the entire Community Development Statement is available for public viewing and include the location, dates, and time it will be available for review.c. Application Submission. Your application must contain the items listed below.(1) Application for Federal Assistance (SF-424);(2) SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);(3) HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD Applicant Recipient Disclosure Report'' on Grants.gov); and(4) Acknowledgement of Application Receipt (HUD-2993). (This is relevant only to applicants granted a waiver of the electronic submission requirements and who are submitting a paper application.)If the application has been submitted by a tribal organization as defined in 24 CFR 1003.5(b), on behalf of an Indian tribe, you must submit concurring resolutions from the Indian tribe stating that the tribal organization is applying on the tribe's behalf. Applicants must submit the resolution by attaching it as a file to your electronic application submission, or sending it via facsimile transmittal.The other required items are as follows:(5) Community Development Statement that includes:(a) Components that address the general threshold requirement and the relevant project-specific thresholds and rating factors;(b) A schedule for implementing the project (form HUD-4125, Implementation Schedule); and(c) Cost information for each separate project, including specific activity costs, administration, planning, technical assistance, and total HUD share (Form HUD-4123, Cost Summary).(6) A map showing project location, if appropriate.(7) If the proposed project will result in displacement or temporary relocation, a statement that identifies:(a) The number of persons (families, individuals, businesses, and nonprofit organizations) occupying the property on the date of the submission of the application (or date of initial site control, if later);(b) The number to be displaced or temporarily relocated;(c) The estimated cost of relocation payments and other services;(d) The source of funds for relocation; and(e) The organization that will carry out the relocation activities.(8) If applicable, evidence of the disclosure required by 24 CFR 1003.606(e) regarding conflict of interest.(9) If applicable, the demographic data statement described in Section IV.B.2.a and Section V.A., Rating Factor 2 of this NOFA. The data accompanying the statement must identify the total number of persons benefiting from the project and the total number of low- and moderate-income persons benefiting from the project. To be considered, supporting documentation must include all of the following: a sample copy of a completed survey form, an explanation of the methods used to collect the data, and a listing of incomes by household including household size.(10) Optional submissions are:[[Page 11456]](a) You Are Our Client Grant Applicant Survey (HUD 2994-A) (Optional); and(b) Program Outcome Logic Model, HUD-96010.3. Planning and Administrative Costs. Applicants must report project planning and administration costs on Form HUD-4123, Cost Summary. Planning and administrative costs cannot exceed 20 percent of the grant. The following criteria applies to planning and administrative costs:a. Planning and administrative activities may be funded only in conjunction with a physical development activity.b. If you are submitting an application for more than one project, costs must be broken down by project. Submit one form HUD-4123 for each proposed project in addition to a consolidated form HUD-4123 that includes costs for all proposed projects.c. Do not include project costs (i.e., architectural/engineering, environmental, technical assistance, staff/overhead costs) directly related to the project.C. Submission Dates and Times1. 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 Restrictions1. Ineligible Activities. In general, any activity that is not authorized under the provisions of 24 CFR 1003.201-1003.206 is ineligible to be assisted with ICDBG funds. The regulations at 24 CFR 1003.207 govern ineligible activities and should be referred to for details. The following guidance is provided for determining the eligibility of other activities frequently associated with ICDBG projects.a. Government Office Space. Buildings, or portions thereof, used predominantly for the general conduct of government cannot be assisted with ICDBG funds. Those buildings include, but are not limited to, local government office buildings, courthouses, and other headquarters of government where the governing body meets regularly. Buildings that contain both governmental and non-governmental services can be assisted so long as the ICDBG funds are used only for the non-governmental sections. An example of an ineligible building is a building to house the community development division or a tribal administration building. Your Area ONAP office should be consulted for projects of this nature.b. General Government Expenses. Except as authorized in the regulations or under OMB Circular A-87, expenses required to carry out the regular responsibilities of the unit of general local government are not eligible for assistance with ICDBG funds.c. Maintenance and Operation Expenses. In general, any expenses associated with repairing, operating, or maintaining public facilities and services are not eligible for assistance. Specific exceptions to this general rule are operating and maintenance expenses associated with public service activities [24 CFR 1003.201(e)], office space for program staff employed in carrying out the ICDBG program [24 CFR 1003.206(a)(4)], and interim assistance [24 CFR 1003.201(f)]. For example, where a public service is being assisted with CDBG funds, the cost of operating and maintaining that portion of the facility in which the service is located is eligible as part of the public service. Examples of ineligible operating and maintenance expenses are routine and non-routine maintenance and repair of streets, parks, playgrounds, water and sewer facilities, neighborhood facilities, senior centers, centers for persons with disabilities, parking facilities, and similar public facilities, as well as staff salaries, utility costs, and similar expenses necessary for the operation of public works and facilities.d. New Housing Construction. The construction of new permanent residential structures and any program to subsidize or finance such new construction is ineligible, unless carried out by a Community-Based Development Organization (CBDO) pursuant to 24 CFR 1003.204(a).e. Furnishings and Personal Property. In general, the purchase of equipment, fixtures, motor vehicles, furnishings, or other personal property not an integral structural fixture is ineligible. Exceptions include when such purchases are necessary for use in grant administration (24 CFR 1003.206); necessary and appropriate for use in a project carried out by a CBDO (24 CFR 1003.204); used in providing a public service (24 CFR 1003.201(e)); or used as firefighting equipment (24 CFR 1003.201(c)(1)(ii)). However, ICDBG funds may be used to pay depreciation or use allowances (in accordance with OMB Circular A-87 or A-122, as applicable).f. Construction Tools and Equipment. The purchase of construction tools and equipment is generally ineligible. However, compensation for the use of such tools and equipment through leasing, depreciation, or use allowances pursuant to OMB Circulars A-87 and A-122, as applicable, for an otherwise eligible activity, is eligible. Exceptions include construction tools and equipment purchased for use as part of a solid waste facility (24 CFR 1003.201(c)(1)(ii)) and construction tools only (not equipment) purchased for use in a housing rehabilitation project being administered by the recipient using the force account construction method (24 CFR 1003.202(b)(8)).g. Income Payments. In general, assistance shall not be used for income payments for housing or any other purpose. Income payments mean a series of subsistence-type grant payments made to an individual/ family for items such as food, clothing, housing (rent/mortgage), or utilities, but excludes emergency payments made over a period of up to three months to the provider of such items or services on behalf of an individual/family. Examples of ineligible income payments include the payments for income maintenance and housing allowances.[[Page 11457]]2. Grant Ceilings. The authority to establish grant ceilings is found at 24 CFR 1003.100(b)(1). Grant ceilings are established for FY2007 funding at the following levels:Area ONAPPopulationCeilingEastern 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.................600,000For 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 Requirements1. 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 InformationA. Criteria1. 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 factorRating sub-factorPointsProject type1.......................... Total...................... 40........................ Minimum of 20 Points Required 1.a........................ 10........................ All Project Types 1.b........................ 5 or 10*.................. All Project Types 1.c........................ 3 or 10*.................. All Project Types 1.d........................ 2 or 10*.................. All Project Types 2.a........................ 4 or 0*................... All Project Types 2.b........................ 4 or 0*................... All Project Types 2.c........................ 4 or 0*................... All Project Types 2.d........................ 4 or 0*................... All Project Types 2.e........................ 4 or 0*................... All Project Types 2.......................... Total...................... 16........................ .......................... 1.......................... 4......................... All Project Types 2.a........................ 12........................ Public Facilities and Improvements and Economic Development Projects 2.b........................ 12........................ New Housing Construction, Housing Rehabilitation, Land Acquisition to Support New Housing, and Homeownership Assistance Projects 2.c........................ 12........................ Microenterprise Programs 3.......................... Total...................... 30........................ .......................... 1.......................... 10........................ All Project Types 2.......................... 5......................... All Project Types 3.......................... 1......................... All Project Types 4.......................... 2......................... All Project Types 5.a........................ 12........................ Public Facilities and Improvements 5.b........................ 12........................ New Housing Construction, Housing Rehabilitation, and Homeownership Assistance Projects 5.c........................ 12........................ Economic Development Projects 5.d........................ 12........................ Microenterprise Programs 5.e........................ 12........................ Land Acquisition to Support New Housing 4.......................... Total...................... 8......................... All Project Types 5.......................... Total...................... 6......................... All Project Types 1.......................... 2......................... All Project Types 2.......................... 4......................... All Project Types Total...................... ........................... 100....................... Minimum of 70 Points Required[[Page 11458]]The first number listed indicates the maximum number of points available to current ICDBG grantees under this subfactor. The second number indicates the maximum number of points available to new applicants. Rating Factor 1: Capacity of the Applicant (40 points)This factor addresses the extent to which you have the organizational resources necessary to successfully implement the proposed activities in accordance with your implementation schedule. If applicable, past performance in administering previous ICDBG grants will be taken into consideration. You must address the existence or availability of these resources for the specific type of activity for which you are applying. To be eligible for funding you must receive a minimum of 20 points under this factor for your proposed activity. HUD will not rate any projects further that do not receive a minimum of 20 points under this factor. If you are funded, the implementation schedule and/or the Logic Model, form HUD-96010, you submit for this factor will be measured against actual progress. 1. (20 points for current ICDBG grantees) (40 points for new applicants) Managerial, Technical, and Administrative Capability.Your application must include a description demonstrating that you possess or can obtain managerial, technical, and/or administrative capability necessary to carry out the proposed project. Your application must address who will administer the project and how you plan to handle the technical aspects of executing the project in accordance with your implementation schedule. Typical documents that may be submitted include, but are not limited to, written summaries of qualifications and past experience of proposed staff, descriptions of staff responsibilities, and references or letters of endorsement from others who have worked with the proposed staff. Do not submit job descriptions or resumes.a. (10 points) Managerial and Technical Staff.The extent to which your application describes the roles/ responsibilities and the knowledge/experience of your overall proposed project director and staff, including the day-to-day program manager, consultants, and contractors in planning, managing, and implementing projects in accordance with the implementation schedule for which funding is being requested. Experience will be judged in terms of recent, relevant, and successful experience of your staff to undertake eligible program activities. In rating this factor, HUD will consider experience within the last 5 years to be recent; experience pertaining to the specific activities being proposed or the specific roles and responsibilities described in the application to be relevant; and experience producing specific accomplishments to be successful. The more recent the experience and the more experience your own staff members who work on the project have in successfully conducting and completing similar activities, the greater the number of points you will receive for this rating factor.(10 points). The applicant adequately describes the roles/ responsibilities and the knowledge/experience of its overall project director and staff, including the day-to-day program manager, consultants, and contractors in planning, managing, and implementing projects for which funding is being requested. Staff experience as described in the application is recent (within 5 years), relevant (pertains to the specific activities being proposed or the specific roles and responsibilities described in the application) and successful (has produced specific accomplishments).(5 points). The applicant adequately describes the roles/ responsibilities and the knowledge/experience of its overall project director and staff, including the day-to-day program manager, consultants, and contractors in planning, managing, and implementing projects for which funding is being requested. However, one of the following applies: staff experience as described in the application is not recent (not within 5 years), is not relevant (does not pertain to the specific activities being proposed or the specific roles and responsibilities described in the application), or is not successful (did not produce specific accomplishments).(0 points). The applicant failed to adequately describe the roles/ responsibilities and the knowledge/experience of its overall project director and staff, including the day-to-day program manager, consultants, and contractors in planning, managing, and implementing projects for which funding is being requested or more than one of the following applies: staff experience as described in the application is not recent (not within 5 years), is not relevant (does not pertain to the specific activity being proposed or the specific roles and responsibilities described in the application), or is not successful (did not produce specific accomplishments).b. (5 points for current ICDBG grantees and 10 points for new applicants) Project Implementation Plan and Program Evaluation.The extent to which your project implementation plan identifies the specific tasks and timelines that you and your partner contractors and/ or sub-grantees will undertake to complete your proposed project on time and within budget. The Project Implementation Schedule, form HUD- 4125, may serve as this required schedule, provided that it is sufficiently detailed to demonstrate that you have clearly thought out your project implementation. The extent to which your project identifies, measures, and evaluates the specific benchmarks, outputs, outcomes, and/or goals of your project that enhance community viability. The Logic Model, form HUD-96010, may serve as the format to address this information or you may provide a different format that provides the same information.(5 points for current ICDBG grantees and 10 points for new applicants) The applicant submitted a project implementation plan that clearly specifies project tasks and timelines. The applicant submitted clear project benchmarks, outputs, outcomes, and/or targets and identified objectively quantifiable program measures and/or evaluation process.(3 points for current ICDBG grantees and 4 points for new applicants) The applicant submitted a project implementation plan that specifies project tasks and timelines. The applicant submitted project benchmarks, outputs, outcomes, and/or targets for each; however, the applicant did not clearly identify objectively quantifiable program measures and/or the evaluation process.(0 points for current ICDBG grantees or new applicants) The applicant submitted a project implementation schedule that does not address all project tasks and timelines associated with the project. Project benchmarks, outputs, outcomes, and/or goals were not submitted, or if submitted, they did not address either the quantifiable program measures and/or the evaluation process.c. (3 points for current ICDBG grantees and 10 points for new applicants) Financial Management.This subfactor evaluates the extent to which your application describes how your financial management systems will facilitate effective fiscal control over your proposed project and meet the requirements of 24 CFR part 85 and 24 CFR part 1003. You must also describe how you will apply your financial[[Page 11459]]management systems to the specific project for which you are applying. The application will also be rated on the seriousness/significance of the findings related to your financial management system identified in your current audit. If you are required to have an audit but do not have a current audit, you must submit a letter from your Independent Public Accountant (IPA) that is dated within the past 12 months stating that your financial management system complies with all applicable regulatory requirements. If you are not required to have an audit, you will automatically receive points for this portion of the subfactor if you provide the other information required by this subfactor. For purposes of this subfactor, a current audit is one which was due to be submitted to the Federal Audit Clearinghouse (FAC) within the 12-month period prior to the application due date. To be considered, the audit must be submitted to the FAC prior to the ICDBG application deadline date. Do not submit financial management and/or internal control policies and procedures or your audit with the application.(3 points for current ICDBG grantees and 10 points for new applicants).The applicant clearly described how it will apply its financial management systems to the proposed project and how the system meets the requirements of 24 CFR part 85 and 24 CFR part 1003. The applicant's current audit does not contain any serious or significant findings related to its financial management system, or if there is no current audit, the applicant submitted a letter from its Independent Public Accountant stating that its financial management system complies with all applicable regulatory requirements.(2 points for current ICDBG grantees and 5 points for new applicants) The applicant's current audit does not contain any serious or significant findings related to its financial management system, or if there is no current audit, the applicant submitted a letter from its Independent Public Accountant (IPA) stating that its financial management system complies with all applicable regulatory requirements. The applicant did not describe how it would apply its financial management systems to the proposed project and how the system meets the requirements of 24 CFR part 85 and 24 CFR part 1003.(0 points for current ICDBG grantees or new applicants) The applicant's current audit included serious or significant findings related to its financial management systems or, if there is no current audit, the applicant did not submit a letter from its IPA stating its financial management systems comply with all regulatory requirements. The applicant did not describe how it would apply its financial management systems to the proposed project and how the system meets the requirements of 24 CFR part 85 and 24 CFR part 1003.d. (2 points for current ICDBG grantees and 10 points for new applicants) Procurement and Contract Management.This subfactor evaluates the extent to which your application describes how your procurement and contract management policies and procedures will facilitate effective procurement and contract control over your proposed project and meet the requirements of 24 CFR part 85 and 24 CFR part 1003. You must also describe how you will apply your procurement and contract management systems to the specific project for which you are applying. The application will also be rated on the seriousness of the findings related to procurement and contract management identified in your current financial audit. If you are required to have an audit but do not have a current audit, you must submit a letter from your Independent Public Accountant stating that your procurement and contract management system complies with all applicable regulatory requirements. If you are not required to have an audit, you will automatically receive points for this portion of the subfactor if you provide the other information required by this subfactor. Do not submit procurement and contract management policies and procedures or your audit with the application.(2 points for current ICDBG grantees and 10 points for new applicants) The applicant clearly described how its procurement and contract management policies and procedures will facilitate effective procurement and contract control over the proposed project, and meet the requirements of 24 CFR part 85 and 24 CFR part 1003. The applicant described how it will apply its procurement and management systems to the specific project for which it is applying. The applicant's current audit does not contain any serious or significant findings related to its procurement and contract management system, or if there is no current audit, the applicant submitted a letter from its Independent Public Accountant (IPA) stating that its procurement and contract management system complies with all applicable regulatory requirements.(1 point for current ICDBG grantees and 5 points for new applicants) The applicant's current audit does not contain any serious or significant findings related to its procurement or contract management system, or if there is no current audit, the applicant submitted a letter from its Independent Public Accountant stating that its procurement and contract management system complies with all applicable regulatory requirements. The applicant did not describe how it would apply its procurement and contract management systems to the proposed project and meet the requirements of 24 CFR part 85 and 24 CFR part 1003.(0 points for current ICDBG grantees or new applicants) The applicant's current audit included serious or significant findings related to its procurement and contract management systems or if there is no current audit, the applicant did not submit a letter from its IPA stating its procurement and contract management systems comply with all regulatory requirements. The applicant did not describe how it would apply its procurement and contract management systems to the proposed project and meet the requirements of 24 CFR part 85 and 24 CFR part 1003.2. (20 points for current ICDBG grantees and 0 points for new applicants) Past Performance.HUD will evaluate your experience in producing products and reports in accordance with regulatory timelines for any previous grant programs undertaken with HUD funds for the following performance measures. HUD reserves the right to take into account your past performance in meeting performance and reporting goals on any previous HUD awards. Applicants are not required to respond to the subfactors related to past performance. HUD will rely on information on file.a. (4 points for current ICDBG grantees and 0 points for new applicants). You are not more than 90 days behind schedule in meeting the time frames established in the HUD-approved Implementation Schedule for the ICDBG program.(1) (4 points) The applicant is not more than 90 days behind schedule in meeting the timeframes established in the HUD-approved implementation schedule.(2) (2 points) The applicant is not more than 120 days behind schedule in meeting the timeframes established in the HUD-approved implementation schedule.(3) (0 points) The applicant is more than 120 days behind schedule in meeting timeframes established in the HUD-approved implementation schedule.b. (4 points for current ICDBG grantees and 0 points for new[[Page 11460]]applicants). Annual Status and Evaluation Reports (ASER) and Federal Cash Transaction Reports are submitted by the report submission deadlines. The ASER is due 45 days after the end of the federal fiscal year on November 15. Federal Cash Transaction Reports are due quarterly on April 21, July 21, October 20, and January 22.(1) (4 points) The applicant has submitted both the ASER and Federal Cash Transaction Reports for ICDBG programs by the report submission deadlines.(2) (2 points) The applicant has submitted either the Federal Cash Transaction Reports or the ASERs for ICDBG programs by the report submission deadline.(3) (0 points) The applicant has submitted neither of the required reports by the report submission deadline.c. (4 points for current ICDBG grantees and 0 points for new applicants) You have submitted close-out documents to HUD by the required deadline. Close-out documents are required for the ICDBG program within 90 days of the date it is determined that the criteria for close-out at 24 CFR 1003.508 have been met.(1) (4 points) The applicant submitted close-out documents to HUD in accordance with the timeframe and criteria at Sec. 1003.508.(2) (0 points) The applicant has not submitted close-out documents to HUD as required by Sec. 1003.508.d. (4 points for current ICDBG grantees and 0 points for new applicants) You have submitted annual audits in accordance with OMB Circular A-133 and its compliance supplements, or if you have received an extension of the audit submission date, your audit was submitted by the extended date. If an extension was received, submit a copy of the extension approval. Do not submit your audit with the application.(1) (4 points) You have submitted annual audits in accordance with OMB Circular A-133 and its compliance supplements, or if you have received an extension of the audit submission date, your audit was submitted by the extended date. If an extension was received, submit a copy of the extension approval. If the applicant has not been required to submit an audit, it will receive 4 points.(2) (0 points) You have not submitted annual audits in accordance with OMB Circular A-133 and its compliance supplements or if you have received an extension of the audit submission date, your audit was not submitted by the extended date.e. (4 points for current ICDBG grantees and 0 points for new applicants) You have resolved ICDBG monitoring findings and controlled audit findings by the established target date, or there are no findings in current reports. Do not submit responses to open monitoring or audit findings with the application.(1) (4 points) The applicant resolved open ICDBG monitoring findings and controlled audit findings by the established target date. If there were no open audit or ICDBG monitoring findings (current grantees only), the applicant will receive 4 points.(2) (0 points) The applicant has not resolved open ICDBG monitoring findings and controlled audit findings by the established target date. Rating Factor 2: Need/Extent of the Problem (16 Points)This factor addresses the extent to which there is a need for the proposed project to address a documented problem among the intended beneficiaries.1. (Up to 4 points) Your application includes quantitative information demonstrating that the proposed project meets an essential community development need by providing outcomes that are critical to the viability of the community.2. (12 points) Your project benefits the neediest segment of the population, in accordance with the ICDBG program's primary objective defined at 24 CFR 1003.2. The criteria for this sub-factor vary according to the type of project for which you are applying. Please note that you may submit data that are unpublished and not generally available in order to meet the requirements of this section. However, to do so, you must submit a demographic data statement along with supporting documentation as described in Section IV.B. of this NOFA. For documenting persons employed by the project, you do not need to submit a demographic data statement and corresponding documentation. However, you do need to submit information that describes the nature of the jobs created or retained. Such information includes, but is not limited to, descriptions of proposed job responsibilities, salaries, and the number of full-time equivalent positions. If you believe jobs will be retained as a result of the ICDBG project, include information that shows clearly and objectively that jobs will be lost without the ICDBG project. Jobs that are retained only for the period of the grant will not count under this rating factor. a. Public Facilities and Improvements and Economic Development ProjectsThe proposed activities benefit the neediest segment of the population, as identified below. For economic development projects, you may consider beneficiaries of the project as persons served by the project and/or persons employed by the project, and jobs created or retained by the project.(1) (12 points) At least 85 percent of the beneficiaries are low- or moderate-income.(2) (8 points) At least 75 percent but less than 85 percent of the beneficiaries are low- or moderate-income.(3) (4 points) At least 55 percent but less than 75 percent of the beneficiaries are low- or moderate-income.(4) (0 points) Less than 55 percent of the beneficiaries are low-or moderate-income. b. New Housing Construction, Housing Rehabilitation, Land Acquisition to Support New Housing, and Homeownership Assistance ProjectsThe need for the proposed project is determined by utilizing data from the tribe's 2006 IHBG formula information. The ratio is based on the dollars allocated to a tribe under the IHBG program for need divided by the sum of the number of American Indian and Alaskan Native (AIAN) households in the following categories:--Annual income less than 30 percent of median income; --Annual income between 30 percent and 50 percent of median income; --Annual income between 50 percent and 80 percent of median income; --Overcrowded or without kitchen or plumbing; --Housing cost burden greater than 50 percent of annual income; --Housing shortage (Number of low-income AIAN households less total number of NAHASDA and Formula Current Assisted Stock).This ratio is computed for each tribe and posted in the ``Factor 2 Needs Table'' that is available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm under the ICDBG program.(1) (12 points) The dollar amount for the Indian tribe is $316-$750 or the tribe's total FY2006 IHBG amount was $100,000 or less and the Needs Table indicates that the Indian tribe has no AIAN households experiencing income or housing problems.(2) (8 points) The dollar amount for the Indian tribe is $751- $1,250.(3) (4 points) The dollar amount for the Indian tribe is $1,251- $1,999.(4) (0 points) The dollar amount for the Indian tribe is $2,000 or higher, or[[Page 11461]]the Needs Table indicates that the Indian tribe has no AIAN households experiencing income or housing problems. c. Microenterprise ProgramsA microenterprise is a business that has five or fewer employees, one or more of whom owns the enterprise. The owner(s) of the microenterprise must be low- or moderate-income and the majority of the jobs created or retained will be for low- or moderate-income persons. To evaluate need, the nature of the jobs created or retained will be evaluated. The owners of the microenterprises are low- and moderate- income and:(1) (12 points) All employees are low- or moderate-income.(2) (8 points) At least 75 percent but less than 100 percent of the employees are low- or moderate-income.(3) (4 points) At least 50 percent but less than 75 percent of the employees are low- or moderate-income.(4) (0 points) Less than 50 percent of the employees are low- and moderate-income. Rating Factor 3: Soundness of Approach (30 Points)This factor addresses the quality and anticipated effectiveness of your proposed project's outcomes in enhancing community viability and in meeting the needs you have identified in Rating Factor 2 and the commitment to sustain your proposed project. The populations that were described in demographics that documented need should be the same populations that will receive the primary benefit of the proposed project.1. (10 points) Description of and Rationale for Proposed Project.a. (10 points) The proposed project is a viable and cost effective approach to address the needs outlined under Rating Factor 2 of your application. The proposed project is described in detail and you indicate why you believe it will be most effective in addressing the identified need. In order for an application to receive full credit under this factor, the application must include clear and sound measures of the proposed outputs and outcomes for how the community's viability will be enhanced, as presented in Rating Factor 5. The application includes a description of the size, type, and location of the project and a rationale for project design. If your application is for construction of housing or a public facility building or rehabilitation project, it must also include anticipated cost savings related to project development due to innovative program design or construction methods. For land acquisition to support new housing projects, you must establish that there is a reasonable ratio between the number of net usable acres to be acquired and the number of low- and moderate-income households to benefit from the project.b. (5 points) The proposed project is a viable and cost-effective approach to address the needs outlined under Rating Factor 2 of the application. The project is described in detail and indicates why you believe the project will be most effective in addressing the identified need. Proposed outcomes that will enhance the community's viability are included. The application includes a description of the size, type, and location of the project, as well as a rationale for project design. For land acquisition to support new housing projects, the applicant has established that there is a reasonable ratio between the number of net usable acres to be acquired and the number of low- and moderate-income households to benefit from this project. The application (for construction of housing or a public facility building or rehabilitation projects) does not include anticipated cost savings due to innovative program design and/or construction methods.c. (3 points) The proposed project is a viable and cost-effective approach to address the needs outlined under Rating Factor 2 of the application. The project is described and you indicate why you believe the project will be most effective in addressing the identified need. Proposed outcomes are included but do not describe how the project will enhance community viability. The application includes a description of the size, type, and location of the project. For land acquisition to support new housing projects, the applicant has established that there is a reasonable ratio between the number of net usable acres to be acquired and the number of low- and moderate-income households to benefit from the project. The application (for construction of housing or a public facility building or rehabilitation activities) does not include anticipated cost savings due to innovative program design and/ or construction methods.d. (0 points) The proposed project is not a viable and cost- effective approach to address the needs outlined under Rating Factor 2 of the application. The proposed project is not described in detail with an indication of why the applicant believes the project will be most effective in addressing the identified need. Proposed outcomes describing how the project will enhance community viability are not included. For land acquisition to support new housing projects, the applicant has not established that there is a reasonable ratio between the number of net usable acres to be acquired and the number of low- and moderate-income households to benefit from the project. The application (for construction of housing or a public facility building and rehabilitation activities) does not include anticipated cost savings due to innovative program design and/or construction methods.2. (5 points) Budget and Cost Estimates.The quality, thoroughness, and reasonableness of the proposed project budget are documented. Cost estimates must be broken down by line item for each proposed activity, including planning and administration costs, and documented. You must provide a description of the qualifications of the person who prepared the cost estimate.3. (1 point) HUD Policy Priorities.Your application addresses the goals for ``Improving Our Nation's Communities,'' or ``Energy Star,'' two of HUD's 2007 policy priorities, as described in Section V. B. of the General Section. You must describe which one of these two policy priorities you select and describe how your activity will meet the applicable goals.4. (2 points) Intent to Meet Section 3 Requirements.Your application demonstrates how you will apply the Section 3 requirements of the Housing and Urban Development Act of 1968 and the regulations in 24 CFR part 135 (Economic Opportunities for Low- and Very Low-Income Persons) to the proposed project. You must demonstrate how you will incorporate Section 3 principles, with goals for expanding opportunities for Section 3 residents and business concerns, to your proposed project. The purpose of Section 3 is to ensure that employment and other economic opportunities generated by federal financial assistance for housing and community development programs shall, to the extent feasible, be directed toward low- and very low-income persons (but not in derogation of compliance with Section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 4503(b))).5. (12 points) Commitment To Sustain Activities.Your application demonstrates your commitment to your community's viability by sustaining your proposed activities. The information provided is sufficient to determine that the project will proceed effectively.[[Page 11462]]The criteria for this sub-factor vary according to the type of project for which you are applying. a. Public Facilities and Improvement Projects(1) (12 points) If a tribe assumes operation and maintenance responsibilities for the public facilities and improvements, provide a written statement that the tribe has adopted the operation and maintenance plan and commits the necessary funds to provide for these responsibilities. In addition, describe how the operation and maintenance plan addresses maintenance, repairs, insurance, security, and replacement reserves and include a cost breakdown for annual expenses. If an entity other than the tribe commits to pay for operation and maintenance for the public facilities, a letter of commitment from the entity is included in the application that identifies the maintenance responsibilities and, if applicable, the responsibilities for operations the entity will assume, as well as necessary funds to provide for these responsibilities. A description of how the operation and maintenance plan addresses maintenance, repairs, insurance, security, and replacement reserves is not required when an entity other then the tribe assumes operation and maintenance responsibilities. For public facility buildings only, a commitment is included in the application that identifies the source of and commits the necessary operating funds for any recreation, social, or other services to be provided. In addition, letters of commitment from service providers are included that address both operating expenses and space needs.(2) (8 points) If a tribe assumes operation and maintenance responsibilities for the public facilities and improvements, provide a written statement that the tribe has adopted the operation and maintenance plan and commits the necessary funds to provide for these responsibilities. In addition, a description was included that shows that the operation and maintenance plan addresses at least four of the following items (maintenance, repairs, insurance, security, and replacement reserves) but a satisfactory cost breakdown for annual expenses was not included. If an entity other than the tribe commits to pay for operation and maintenance for the public facilities and maintenance, a letter of commitment from the entity is included in the application that identifies the maintenance responsibilities and, if applicable, the responsibilities for operations the entity will assume, but no information committing the necessary funds to provide for these responsibilities is included. A description of how the operation and maintenance plan addresses maintenance, repairs, insurance, security, and replacement reserves is not required when an entity other than the tribe assumes operation and maintenance responsibilities. For community buildings only, a commitment is included in the application that identifies the source of and commits the necessary operating funds for any recreation, social, or other services to be provided. In addition, letters of commitment from service providers are included that address both operating expenses and space needs. Information provided is sufficient to determine that the project will proceed effectively.(3) (4 points) If a tribe assumes operation and maintenance responsibilities for the public facilities and improvements, the application includes a written statement that the tribe has adopted the operation and maintenance plan and commits the necessary funds to provide for these responsibilities, or a description of the operation and maintenance plan is included that shows that the plan addresses at least three of the following items (maintenance, repairs, insurance, security, and replacement reserves). If an entity other than the tribe commits to pay for operation and maintenance for the public facilities and maintenance, the maintenance provider is identified and, if applicable, the responsibilities for operations the entity will assume, but no letter of commitment is included. For public facility buildings only, no commitment is included in the application that identifies the source of and commits the necessary operating funds for any recreation, social, or other services to be provided. Letters of commitment to provide services are included but they do not address operating expenses and space needs. Information provided is sufficient to determine that the project will proceed effectively.(4) (0 points) None of the above criteria is met. b. New Housing Construction, Housing Rehabilitation, and Homeownership Assistance Projects(1) (12 points) The ongoing maintenance responsibilities are clearly identified for the tribe and/or the participants, as applicable. If the tribe or another entity is assuming maintenance responsibilities, then the applicant must describe the maintenance responsibilities and provide a commitment to that effect.(2) (8 points) Maintenance responsibilities for the tribe and/or participants are identified and described, but lacking in detail, and the commitment regarding maintenance responsibilities is submitted.(3) (4 points) Tribal maintenance responsibilities are identified but participant responsibilities are either not addressed or do not exist, or there is no commitment regarding maintenance responsibilities.(4) (0 points) None of the above criteria is met. c. Economic Development ProjectsYou must include information or documentation that addresses or provides all of the following in the application: a description of the organizational system and capacity of the entity that will operate the business; documents that show that formal provisions exist for separation of government functions from business operating decisions, an operating plan for the project, and the feasibility and market analysis of the proposed business activity and the financial viability of the project.(1) Appropriate documents to include in the application to address these items include:(a) Articles of incorporation, bylaws, resumes of key management positions, and board members for the entity who will operate the business.(b) Business operating plan.(c) A market study no more than two years old and which has been conducted by an independent entity.(d) Financial analysis and feasibility study no more than two years old which indicates how the proposed business will capture a fair share of the market, and which has been conducted by an independent entity.(e) Detailed cost summary for the development of the project.(f) For the expansion of an existing business, copies of financial statements for the most recent three years (or the life of the business, if less than three years).(2) The submitted documentation will be evaluated to determine the project's financial chance for success. The following questions must be addressed to meet this requirement:(a) Does the business plan seem thorough and does the organization structure have quality control and responsibilities built in?(b) Does the business plan or market analysis indicate that a substantial market share is likely within five years?(c) Do the costs appear to be reasonable given projected income and information about inputs?[[Page 11463]](d) Does the business plan or cash flow analysis indicate that cash flow will be positive within the first year?(e) Is the financial statement clean with no indications of concern by the auditor?(12 points) All above documents applicable to the proposed project are included in your application and provide evidence that the project's chance for financial success is excellent.(6 points) All or most of the above documents applicable to the proposed project are included and provide evidence that the project's chance for financial success is reasonable.(0 points) Neither of the above criteria is met. d. Microenterprise Programs(1) You must include the following information or documentation in the application that addresses or provides a description of how your microenterprise program will operate. Appropriate information to include in the application to address program operations includes:(a) Program description. A description of your microenterprise program including the types of assistance offered to microenterprise applicants and the types of entities eligible to apply for such assistance.(b) Processes for selecting applicants. A description of your processes for analyzing microenterprise applicants' business plans, market studies, and financial feasibility. For credit programs, you must describe your process for determining the loan terms (i.e., interest rate, maximum loan amount, duration, loan servicing provisions) to be offered to individual microenterprise applicants.(2) (12 points) All of the above information or documentation applicable to the proposed project are thoroughly addressed in the application and the chances for success are excellent.(3) (6 points) All or most of the above information or documentation applicable to the proposed project are addressed in the application and the chances for success are reasonable.(4) (0 points) Neither of the above criteria is met. e. Land Acquisition Projects to Support New Housing.Submissions must include the results of a preliminary investigation conducted by a qualified independent entity demonstrating that the proposed site has suitable soil conditions for housing and related infrastructure, potable drinking water is accessible for a reasonable cost, access to utilities, vehicular access, drainage, nearby social and community services, and no known environmental problems.(1) (12 points) The submissions include all of the above-mentioned items and all necessary infrastructure is in place.(2) (6 points) The submissions demonstrate that the proposed site(s) is/are suitable for housing but that not all necessary infrastructure is in place. A detailed description of resources to be used and a detailed implementation schedule for development of all necessary infrastructure demonstrates that such infrastructure, as needed for proposed housing development, will be developed in time for such development, but no later than two years after site purchase.(3) (0 points) Neither of the above criteria is met. Rating Factor 4: Leveraging Resources (8 points)HUD believes that ICDBG funds can be used more effectively to benefit a larger number of Native American and Alaska Native persons and communities if projects are developed that use tribal resources and resources from other entities in conjunction with ICDBG funds. To encourage this, HUD will award points based on the percentage of non- ICDBG resources provided relative to project costs as follows:Non-ICDBG resources to project costsPointsLess 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.........................................8Contributions that could be considered as leveraged resources for point award include, but are not limited to: tribal trust funds, loans from individuals or organizations, private foundations, businesses, state or federal loans or guarantees, other grants including IHBG (also known as NAHBG) funds, donated goods and services needed for the project, land needed for the project, and direct administrative costs. With the exception of land acquisition, funds that have been expended on the project prior to the application deadline date will not be counted as leverage. Applicants are reminded that environmental review requirements under 24 CFR part 58 apply to the commitment or use of both ICDBG and non-ICDBG funds in a leveraged project. See Section VI.B. of this NOFA for information related to this requirement.Contributions that will not be considered include, but are not limited to: indirect administrative costs as identified in OMB Circular A-87, attachment A, section F; contributions of resources to pay for anticipated operations and maintenance costs of the proposed project; and, in the cases of expansions to existing facilities, the value of the existing facility.To be considered for point award, letters of firm or projected commitments, memoranda of understanding, or agreements to participate from any entity, including the tribe that will be providing a contribution to the project, must accompany the application. The documentation must be received by HUD in the paper application package (if you have received a waiver of the electronic submission requirement) or for electronically submitted applications, the documentation must be scanned and submitted as part of the application documents or sent by facsimile transmittal (see the General Section). To receive funding consideration, all documents must be received by the application deadline dates and meet the timely receipt requirements.To demonstrate the commitment of tribal resources, the application must contain a written statement that identifies and commits the tribal resources to the project, subject to approval of the ICDBG assistance. In the case of IHBG funds, whether the tribe or a TDHE administers them, an approved Indian Housing Plan (IHP) must identify and commit the IHBG resources to the project. Do not submit the IHP with your application. ONAP will rely on the most recently approved IHP on file. If the tribe/TDHE intends to include the leveraged commitment in a future IHP, the application must contain a written statement that identifies and commits the IHBG resources to the project subject to the same requirements as above.To demonstrate the commitment of a public agency, foundation, or other private party resources, a letter of commitment, memorandum of understanding, and/or agreement to participate, including any conditions to which the contribution may be subject, must be submitted with the application. All letters of commitment must include the donor organization's name, the specific resource proposed, the dollar amount of the financial or in-kind resource and method for valuation, and the purpose of that resource within the[[Page 11464]]proposed project. An official of the organization legally authorized to make commitments on behalf of the organization must sign the commitment.HUD recognizes that in some cases, firm commitments of non-tribal resources may not be obtainable by your tribe by the application deadline. For such projected resources, your application must include a statement from the contributing entity that describes why the firm commitment cannot be made at the current time and affirms that your tribe and the proposed project meets eligibility criteria for receiving the resource. In addition, a date by which the funding decisions will be made must be included. This date cannot be more than six months from the anticipated date of grant approval by HUD. Should HUD not receive notification of the firm commitment within 6 months of the date of grant approval, HUD will recapture the grant funds approved and will use them in accordance with the requirements of 24 CFR 1003.102.In addition to the above requirements, for all contributions of goods, services and land, you must demonstrate that the donated items are necessary to the actual development of the project and include comparable costs that support the donation. Land valuation must be established using one of the following methods and the documentation must be contained in the application: a site-specific appraisal no more than two years old; an appraisal of a nearby comparable site also no more than two years old; a reasonable extrapolation of land value based on current area realtor value guides; or a reasonable extrapolation of land value based on recent sales of similar properties in the same area. Rating Factor 5: Comprehensiveness and Coordination (6 Points)This factor addresses the extent to which your project planning and proposed implementation reflect a coordinated, community-based process of identifying and addressing needs, including assisting beneficiaries and the program to achieve self-sufficiency/sustainability.The Logic Model, HUD form 96010, is not required for Rating Factor 5 under the ICDBG program. However, applicants are encouraged to use this form to address program evaluation requirements under Rating Factor 1.(1).(b) of this NOFA, and measurable outputs and outcomes in Section (2) of this factor.1. (Up to 2 points) The application addresses the extent to which you have coordinated your proposed ICDBG activities with other organizations and/or tribal departments that are not providing direct financial support to your proposed work activities, but with which you share common goals and objectives and are working toward meeting these objectives in a holistic and comprehensive manner. For example, your project is consistent with and, to the extent possible, identified in the IHP (One-Year Financial Resources Narrative; Table 2, Financial Resources, Part I., Line 1E; and, Table 2, Financial Resources, Part II) submitted by you or on your behalf for the IHBG (also known as NAHBG) program. If the IHP for the IHBG (also known as NAHBG) program year that coincides with the implementation of the ICDBG proposed project has not been submitted, you must provide a written statement that when submitted, the IHP will specifically reference the proposed project.2. (Up to 4 points) Your proposed project will have measurable outputs and outcomes that will enhance community viability.Outputs must include, where applicable:Number of houses rehabilitated;Number of jobs created;Square feet for any public facility;Number of education or job training opportunities provided;Number of homeownership units constructed or financed;Number of businesses assisted (including number of minority/Native American);Number of families proposed to be assisted through a drug- elimination program, or through a program to reduce or eliminate health-related hazards.Outcomes must include, where appropriate:Reduction in the number of families living in substandard housing;Increased income resulting from employment generated by project;Increased quality of life due to services provided by the public facility;Increased economic self-sufficiency of program beneficiaries;Increase in homeownership rates;Reduction of drug-related crime or health-related hazards.HUD is providing a Master Logic Model as a Microsoft ExcelTMfile 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 Process1. Application Selection Process. You must meet all of the applicable threshold requirements listed in Section III.C. Your application must meet all screening for acceptance requirements and all identified applicant and project specific thresholds. HUD will review each application and assign points in accordance with the selection factors described in this section.2. Threshold Compliance. The Area ONAP will review each application that passes the screening process to ensure that each applicant and each proposed project meets the applicant threshold requirements set forth in 24 CFR 1003.301(a) and the project specific threshold requirements set forth in 24 CFR 1003.302 and III.C. of this NOFA.3. Past Performance. An applicant's past performance is evaluated under Rating Factor 1. Applicants are encouraged to address all performance-related criteria prior to the application deadline date. An applicant must score a minimum of 20 points under Rating Factor 1 in order to meet the minimum point requirements outlined below in this NOFA.4. Rating. The Area ONAP will review and rate each project that meets the acceptance criteria and threshold requirements.After the applications are rated, a summary review of all applications will be conducted to ensure consistency in the application rating. The summary review will be performed by either the Grants Management Director (or designee) or by a panel composed of up to three staff members.The total points for all rating factors are 100. A maximum of 100 points may be awarded under Rating Factors 1 through 5.5. Minimum Points. To be considered for funding, your application must receive a minimum of 20 points under[[Page 11465]]Rating Factor 1 and an application score of 70 points.6. Ranking. All projects will be ranked against each other according to the point totals they receive, regardless of the type of project or component under which the points were awarded. Projects will be selected for funding based on the final ranking to the extent that funds are available. The Area ONAP will determine individual grant amounts in a manner consistent with the considerations set forth in 24 CFR 1003.100(b)(2). Specifically, the Area ONAP may approve a grant amount less than the amount requested. In doing so, the Area ONAP may take into account the size of the applicant, the level of demand, the scale of the activity proposed relative to need and operational capacity, the number of persons to be served, the amount of funds required to achieve project objectives, and the reasonableness of the project costs. If the Area ONAP determines that there are not enough funds available to fund a project as proposed by the applicant, it may decline to fund that project and may fund the next highest-ranking project or projects for which adequate funds are available. The Area ONAP shall select, in rank order, additional projects for funding if one of the higher-ranking projects is not funded or if additional funds become available.7. Tiebreakers. When rating results in a tie among projects and insufficient resources remain to fund all tied projects, the Area ONAP will approve projects that can be fully funded over those that cannot be fully funded. When that does not resolve the tie, the Area ONAP will use the following factors in the order listed to resolve the tie:(a) The applicant that has not received an ICDBG over the longest period of time.(b) The applicant with the fewest active ICDBGs.(c) The project that would benefit the highest percentage of low- and moderate-income persons. 8. Technical Deficiencies and Pre-Award Requirementsa. 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 InformationA. 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 Requirements1. Statutory and Regulatory Requirementsa. Environmental Requirements. As required by 24 CFR 1003.605, ICDBG grantees must perform environmental reviews of ICDBG activities in accordance with 24 CFR part 58 (as amended September 29, 2003). Grantees and other participants in the development process may not commit or expend any ICDBG or nonfederal funds on project activities (other than those listed in 24 CFR 58.22(f), 58.34, or 58.35(b)) until HUD has approved a Request for Release of Funds and the grantee has submitted an environmental certification. The expenditure or commitment of ICDBG or nonfederal funds for such activities prior to HUD approval may result in the denial of assistance for the project or activities under consideration.b. Indian Preference. HUD has determined that the ICDBG program is subject to Section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e(b)). The provisions and requirements for implementing this section are in 24 CFR 1003.510.c. Anti-discrimination Provisions. Under the authority of Section 107(e)(2) of the CDBG statute, HUD waived the requirement that recipients comply with the anti-discrimination provisions in Section 109 of the CDBG statute with respect to race, color, and national origin. You must comply with the other prohibitions against discrimination in Section 109 (HUD's regulations for Section 109 are in 24 CFR part 6) and with the Indian Civil Rights Act.d. Conflict of Interest. In addition to the conflict-of-interest requirements with respect to procurement transactions found in 24 CFR 85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply to such activities as the provision of assistance by the recipient or sub-recipients to businesses, individuals, and other private entities under eligible activities that authorize such assistance.e. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). Section 3 requirements apply to the ICDBG program, but as stated in 24 CFR 135.3(c), the procedures and requirements of 24 CFR part 135 apply to the maximum extent consistent with, but not in derogation of, compliance with Indian Preference.[[Page 11466]]2. OMB Circulars and Government-wide Regulations Applicable to Financial Assistance Programs. The policies, guidance and requirements of OMB Circular A-87 (Cost Principles Applicable to Grants, Contracts, and other Agreements with State and Local Governments); OMB Circular A- 122 (Cost Principles for Nonprofit Organizations); OMB Circular A-133 (Audits of State and Local Governments, and Nonprofit Organizations); and the regulations at 24 CFR part 85 (Administrative Requirements for Grants and Cooperative Agreements to State, Local and Federally Recognized Indian Tribal Governments) apply to the award, acceptance, and use of assistance under the ICDBG program and to the remedies for noncompliance, except when inconsistent with the provisions of the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007) or the ICDBG program regulations at 24 CFR part 1003. Copies of the OMB Circulars may be obtained from EOP publications, Room 22000, New Executive Office Building, Washington, DC 20503, telephone (202) 395-3080 (this is not a toll-free number) or (800) 877-8339 (TTY Federal Information Relay Service). Information may also be obtained from the OMB Web site at http://www.whitehouse.gov/omb/circulars/index.html .C. Reporting1. Post-Award Reporting Requirementsa. 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 InformationA. NOFA Training. Training for potential applicants on the requirements of the General Section, this NOFA, the Logic Model, and Grants.gov registration, will be provided by HUD via broadcast and webcast. Information on the training can be found in the General Section. The training schedule can be found on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm .B. Paperwork Reduction Act Statement. The information collection requirements in this NOFA have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2577-0191. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection displays a valid OMB control number. Public reporting burden for the collection of information is estimated to average 43 hours per annum for the application and grant administration. This includes the time for collecting, reviewing, and reporting the data. The information will be used for grantee selection and monitoring the administration of funds. Response to this request for information is required in order to receive the benefits to be derived.[[Page 11467]][GRAPHIC] [TIFF OMITTED] TN13MR07.006[[Page 11468]]Historically Black Colleges and Universities (HBCU) ProgramOverview InformationA. 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 AnnouncementI. Funding Opportunity DescriptionThe 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. AuthorityHUD'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. ModificationsListed below are major modifications from the Fiscal Year (FY) 2006 program-funding announcement:1. In FY 2007, there is only one category of funding. In FY 2006, there were two categories, one of which exclusively funded activities related to Hurricanes Katrina and Rita. No funding is being set aside for this purpose this year.2. Commitment letters, memoranda of understanding and/or agreements are not required to be submitted with the application, but the originals must be on file at the time of application submission. HUD will require applicants chosen to proceed to the next step in the selection process to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven calendar days after initial contact from the Office of University Partnerships (OUP). OUP will provide specific instructions on how these documents must be submitted at that time. HUD will only request and consider the resources/organizations outlined in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.3. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances). An applicant SHOULD NOT submit resumes, commitment letters, memoranda of understanding and/or agreements, or other back-up material. Each page must include the institution's name and should be numbered. HUD will not consider the information on any excess pages.4. Applicants must budget for travel costs to attend at least one HUD sponsored HBCU conference/workshop every year of the three-year grant performance period.II. Award InformationIn 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 InformationA. Eligible ApplicantsHistorically Black Colleges and Universities as determined by the U.S. Department of Education in 34 CFR[[Page 11469]]608.2 in accordance with that Department's responsibilities under Executive Order 13256, dated February 12, 2002. All applicants must be institutions of higher education accredited by a national or regional accrediting agency recognized by the U.S. Department of Education.B. Cost Sharing or MatchingNone Required.C. Other1. Eligible Activities. Eligible activities are listed in 24 CFR part 570, subpart C, particularly Sec. Sec. 570.201 through 570.206. Information regarding these activities can be found at: http://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, http://www.whitehouse.gov/omb/circulars/index.html ; and(9) Fair housing services designed to further the civil rights objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all persons, without regard to race, color, religion, sex, national origin, familial status and/or disability aware of the range of housing opportunities available to them.b. Eligible activities funded under this program meet both the Community Development Block Grant (CDBG) Program eligibility requirements and at least one of the national objectives.c. The three national objectives of the Community Development Block Grant program are listed in Rating Factor 3 in Section V.A.3 of this NOFA.Criteria for determining whether an activity addresses one or more national objective are provided at 24 CFR 570.208. The CDBG publication entitled ``Community Development Block Grant Program Guide to National Objectives and Eligible Activities for Entitlement Communities'' describes the CDBG regulations, and a copy can be obtained from HUD's NOFA Information Center at 800-HUD-8929. Individuals with hearing or speech impairments may access this number via the toll-free Federal Information Relay Service at 800-877-8339.2. Threshold Requirements Applicable to all Applicants. All applicants must comply with the threshold requirements as defined in the General Section and the requirements listed below. Applications that do not meet these requirements will be considered ineligible for funding and will be disqualified.a. The applicant must meet the eligibility requirements as defined in Section III.A.b. The maximum amount an applicant can request is $600,000 for a three-year (36 months) grant performance period.c. An applicant must have a DUNS number to receive HUD grant funds. (See the General Section). Only one application can be submitted per institution. If multiple applications are submitted all will be disqualified. However, different campuses of the same university system are eligible to apply as long as they have separate DUNS number, an administrative and budgeting structure independent of the other campuses in the system.d. Applicants must receive a minimum score of 75 points to be considered for funding.e. Electronic applications must be received and validated by grants.gov no later than 11:59:59 p.m. eastern time on the application deadline date.3. Program Requirements. In addition to the threshold requirements listed in Section III C. of the General Section, applicants must meet the following program requirements:a. All funds awarded are for a three-year (36 months) grant performance period.b. Applicants must ensure that not less than 51 percent of the aggregated expenditures of the grant benefit low- and moderate-income persons under the criteria specified in 24 CFR 570.208(a) or 570.208(d)(5) or (6).c. Site Control. Where grant funds will be used for acquisition, rehabilitation, or new construction an applicant must demonstrate site control. Funds may be recaptured or deobligated from recipients that cannot demonstrate control of a suitable site within one year after the initial notification of award.d. Environmental Requirements. Selection for award does not constitute approval of any proposed sites. Following selection for award, HUD will perform an environmental review of[[Page 11470]]properties proposed for assistance in accordance with 24 CFR part 50. The results of the environmental review may require that proposed activities be modified or proposed sites be rejected. Applicants are particularly cautioned not to undertake or commit funds for acquisition or development of proposed properties prior to HUD approval of specific properties or areas. An application constitutes an assurance that the institution will assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select alternate property; and will not acquire, rehabilitate, convert, demolish, lease, repair, or construct property, and not commit or expend HUD or local funds for these program activities with respect to any eligible property until HUD's written approval of the property is received. In supplying HUD with environmental information, applicants should use the same guidance as provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental Review Processing for Rural Housing and Economic Development (RHED) Grants'' issued August 30, 2005. Further information and assistance on HUD's environmental requirements is available at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf .e. Labor Standards. Institutions and their sub-grantees, contractors and subcontractors must comply with the labor standards (Davis-Bacon) requirements referenced in 24 CFR 570.603.f. Economic Opportunities for Low- and Very-Low Income Persons (Section 3). The provisions of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of the purposes of the assistance is to give, to the greatest extent feasible, and consistent with existing federal, state, and local laws and regulations, job training, employment, contracting and other economic opportunities to Section 3 residents and Section 3 business concerns. Regulations are located at 24 CFR part 135.IV. Application and Submission InformationA. Addresses To Request Application PackageApplicants 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 Submission1. 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; andn. HUD-96011, Third Party Documentation Facsimile Transmittal (``Facsimile Transmittal Form'' on Grants.gov). This form must be used as the cover page to transmit third party documents and other information. Applicants are advised to download the application package, complete the SF-424 first and it will pre-populate the Transmittal Cover page. The Transmittal Cover page will contain a unique identifier embedded in the page that will help HUD associate your faxed materials to your application. Please do not use your own fax sheet. HUD will not read any faxes that are sent without the HUD- 96011 fax transmittal cover page.2. Certifications and Assurances. Please read the General Section for detailed information on all Certifications and Assurances. All applications submitted through Grants.gov constitute an acknowledgement and agreement to all required certifications and assurances. Please include in your application each item listed below. Applicants submitting paper copy applications should submit the application in the following order:a. SF-424, Application for Federal Assistance. Please remember the following:(1) The full grant amount requested from HUD (entire three-years) should be entered, not the amount for just one year;(2) Include the name, title, address, telephone number, facsimile number, and e-mail address of the designated contact. This is the person who will receive all correspondence, therefore, please ensure the accuracy of the information;(3) The Employer Identification/Tax ID number;(4) The DUNS Number;(5) The Catalog of Federal Domestic Assistance Number for this program is 14.520;(6) The project's proposed start date and completion date. For the purpose of this application, the program start date should be December 1, 2007; and(7) The signature of the Authorized Organization Representative (AOR) who by virtue of submitting an application via Grants.gov has been authenticated by the credential provider to submit applications on behalf of the Institution and approved by the eBusiness Point of Contact to submit an application via Grants.gov. The AOR must be able to make a legally binding agreement with HUD.b. Application Checklist. Applicants should use the checklist to ensure that they have all the required components of their application. Applicants that receive a waiver of the electronic application submission requirement must include a copy of the checklist in their application submission. Applicants submitting an electronic application should not submit the[[Page 11471]]checklist. The checklist can be located in Appendix A.c. Abstract. Applicants must include no more than a two-page summary of the proposed project. Please include the following:(1) A brief description of each proposed project activity, where it will take place (be located), the target population that will be assisted, and the impact this project is expected to have on the community and institution;(2) A statement that the institution is an eligible institution because it is a fully accredited institution, the name of the accrediting agency and an assurance that the accrediting agency is recognized by the U.S. Department of Education;(3) The designated contact person, including phone number, facsimile number, and e-mail address (This is the person who will receive all correspondence; therefore, please ensure the accuracy of the information);(4) The project director, if different from the designated contact person, for the project, including phone number, facsimile number, and e-mail address.d. Narrative statement addressing the Factors. HUD will use the narrative response to the ``Rating Factors'' to evaluate, rate, and rank applications. The narrative statement is the main source of information. Applicants are advised to review each factor carefully for program specific requirements. The response to each factor should be concise and contain only information relevant to the factor, yet detailed enough to address each factor fully. PLEASE DO NOT REPEAT MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are subfactors each subfactor must be presented separately, with the short title of the subfactor presented. Make sure to address each subfactor and provide sufficient information about every element of the subfactor. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative, assurances, and abstract) and must be submitted on 8\1/2\ by 11-inch paper, double- spaced on one side of the paper, with one inch margins (from the top, bottom, and left to right side of the document) and printed in standard Times New Roman 12-point font. Each page of the narrative must include the institution's name and should be numbered. Note that although submitting pages in excess of the page limit will not disqualify an applicant, HUD will not consider the information on any excess pages. This exclusion may result in a lower score or failure to meet a threshold requirement. All applicants submitting electronic applications must attach their narrative responses to Rating Factors 1- 5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR SEPARATELY. Please follow the instructions on file extension and file names in the General Section.e. Budget. The budget submission must include the following:(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This form shows the total budget by year and by line item for the program activities to be carried out with the proposed HUD grant. Each year of the program should be presented separately. Applicants must also budget for travel costs (airfare, lodging and per diem) for two individuals to attend at least one HUD sponsored HBCU conference/workshop every year of the three-year grant performance period. To calculate travel expenses, applicants located in Eastern and Central time zones or the U.S. Virgin Islands should use San Francisco, CA as the site of all conferences/meetings. Applicants located in Mountain and Pacific time zones should use Washington, DC as the site of all conferences/ workshops.Applicants must also submit this form to reflect the total cost (summary) for the entire grant performance period (Grand Total).(2) HUD-40076-HBCU, ``Response Sheet, Budget-By-Activity'' The form should include a listing of each activity and task necessary to be performed to implement the program, the overall costs for each activity, and the cost from each funding source. The budget-by-activity should clearly indicate the HUD grant amount and identify the source and dollar amount of the leveraged resources, if any.Make sure that the amounts shown on the SF-424, HUD-424-CB, HUD- 40076-HBCU and all other required program forms are consistent and the budget totals are correct. Remember to check addition in totaling the categories on all forms so that all items are included in the total. If there is an inconsistency between any of the required budget forms, the HUD-424-CB will be used. All budget forms must be completed fully. If an application is selected for award, the applicant may be required to provide greater specificity to the budget during grant agreement negotiations.(3) Budget Narrative. A narrative must be submitted that explains how the applicant arrived at the cost estimates for any line item over $5,000 cumulative. For example, an applicant proposes to construct a building using HUD funding totaling $200,000. The following costs estimate reflects this total. Foundation cost $75,000, electrical work $40,000, plumbing work $40,000, finishing work $35,000, and landscaping $10,000. The proposed cost estimates should be reasonable for the work to be performed and consistent with rates established for the level of expertise required to perform the work proposed in the geographical area. When necessary, quotes from various vendors or historical data should be used (please make sure they are kept on file and are available for review by HUD at any time). When an applicant proposes to use a consultant, the applicant must indicate whether there is a formal written agreement. For each consultant, please provide the name, if known, hourly or daily rate, and the estimated time on the project. Applicants must use a cost estimate based on historical data from the institution, and/or from a qualified firm (e.g., Architectural or Engineering firm), vendor, and/or qualified individual (e.g., independent architect or contractor) other than the institution for projects that involve rehabilitation of residential, commercial and/or industrial structures, and/or acquisition, construction, or installation of public facilities and improvements. Such an entity must be involved in the business of housing rehabilitation, construction and/or management. Equipment and contracts cannot be presented as a total estimated costs. For equipment, applicants must provide a list by type and cost for each item. Applicants using contracts must provide an individual description and cost estimate for each contract. Construction costs must be broken down to indicate how funds will be utilized (e.g., demolition, foundation, exterior walls, roofing, electrical work, plumbing, finishing work, etc.).(4) Indirect costs. Indirect costs, if applicable, are allowable based on an established approved indirect cost rate. Applicants must have on file and submit to HUD, if selected for funding, a copy of their indirect cost rate agreement. Applicants who are selected for funding that do not have an approved indirect cost rate agreement, established by the cognizant federal agency, will be required to establish a rate. In such cases, HUD will issue an award with a provisional rate and assist applicants in having a rate established.f. Appendix. Applicants receiving a waiver of the electronic submission requirements and submitting a paper copy of the application must place all required forms in this section. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances). An applicant SHOULD[[Page 11472]]NOT submit resumes, commitment letters, memoranda of understanding and/ or agreements, or other back-up materials. If this information is included, it will not be considered during the review process. Each page must include the applicant's name and should be numbered. HUD will not consider the information on any excess pages. The additional items will also slow the transmission of your application.C. Submission Dates and TimesA 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 ReviewThis program is excluded from an Intergovernmental Review.E. Funding RestrictionsIneligible 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; and3. Political activities.F. Other Submission Requirements1. 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 InformationA. Criteria1. Rating Factor 1: Capacity of the Applicant and Relevant Experience (25 Points). This factor addresses the extent to which the institution has the resources necessary to successfully implement the proposed activities in a timely manner.a. Knowledge and Experience For First Time Applicants (25 Points) For Previously Funded Applicants (10 Points). In rating this subfactor, HUD will consider the extent to which the applicant clearly addresses the following:(1) Describe the knowledge and experience of the proposed project director and staff, including the day-to-day program manager, consultants (including technical assistance providers), and contractors in planning and managing the type of project for which funding is being requested; and(2) Clearly identify the following: key project team members, titles (e.g., project manager/coordinator, etc.), respective roles for the project staff, and a brief description of their relevant experience.If key personnel have not been hired, applicants must identify the position title, provide a description of duties and responsibilities, and describe the qualifications to be considered in the selection of personnel, including subcontractors and consultants.Experience will be judged in terms of recent and relevant knowledge and skills of the staff to undertake the proposed eligible program activities. HUD will consider experience within the last five (5) years to be recent and experience pertaining to similar activities to be relevant.b. Past Performance (15 points) for Previously Funded Grant Applicants Only. This subfactor will evaluate how well an applicant has performed successfully under HUD/HBCU grants. Applicants must demonstrate this by addressing the following information on the HUD- 40076-HBCU ``Response Sheet'' (Performance Narrative) for all previously completed and open HUD/HBCU grants:(1) A list of all HUD/HBCU grants received, including the dollar amount awarded and the amount expended as of the date of this application. The HUD-40076-HBCU ``Response Sheet'' (Performance Narrative) form is located at the following Web site: http://www.grants.gov/applicants/apply_for_grants.jsp. The form should be filled out completely;(2) A description of the achievement of specific tasks, measurable objectives, and specific outcomes consistent with the approved timeline/work plan;(3) A comparison of the amount of proposed leveraged funds and/or resources to the amount that was actually leveraged;(4) A detailed description of compliance with all reporting requirements, including timeliness of submission, whether reports were complete and addressed all information (both narrative and financial) as required by the grant agreement; and(5) A list detailing the date the project(s) was completed, was it completed in the original three-year grant performance period; if not completed why (including when it was or will be completed);HUD will also review an applicant's past performance in managing funds, including, but not limited to: the ability to account for funding appropriately; timely use of funds received from HUD; meeting performance targets for completion of activities; timely submission of required progress reports and receipt of promised leveraged resources. In evaluating past performance, HUD reserves the right to deduct up to five (5) points from this rating score as a result of the information obtained from HUD's records (i.e., progress and financial reports, monitoring reports, Logic Model submissions, and amendments).2. Rating Factor 2: Need/Extent of the Problem (15 Points). This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the importance of meeting the need(s). In addressing this factor, applicants should provide, at a minimum, the following and must cite statistics and/or analyses contained in one or more current data sources that are sound and reliable.(1) Describe the need(s); and(2) Describe the importance of meeting the proposed needs.In rating this factor, HUD will consider only current data that is specific to the area where the proposed project activities will be carried out.[[Page 11473]]Sources for localized data can be found at: http://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; orMeet other community development needs having a particular urgency because existing conditions pose a serious and immediate threat to the health and welfare of the community, and other financial resources are not available to meet such needs.Criteria for determining whether an activity addresses one or more objectives are provided at 24 CFR 570.208;(c) Describe the measurable impact that implementing each activity (by the end of the grant period) will have on the target population;(d) Identify the major tasks required (in sequential order) to successfully implement and complete each proposed project activity. Include target completion dates for each task (in 6 month intervals, up to thirty-six (36) months); and(e) Identify the key staff, as described in Factor 1, who will be responsible and accountable for completing each task.(2) (8 Points) Describe clearly how each proposed activity will:(a) Expand the role of the institution in the community;(b) Address the needs identified in Factor 2;(c) Relate to and not duplicate other activities in the target area. Duplicative efforts will be acceptable only if an applicant can demonstrate through documentation that there is a population in need that is not being served; and(d) Involve citizens of the target area in the planning and implementation of the proposed project activity (e.g., development of an advisory committee that is representative of the target community).b. (3 Points) Involvement of the Faculty and Students. The applicant must describe how it proposes to integrate the institution's students and faculty into proposed project activities.c. (2 Points) HUD Policy Priorities. As described in the General Section, to earn points under this subfactor, HUD requires applicants to undertake specific activities that will assist the Department in implementing its policy priorities that help the Department achieve its goals and objectives in FY2008, when the majority of grant recipients will be reporting programmatic results and achievements. In addressing this subfactor, HUD will evaluate the extent to which a program will further and support HUD's priorities. The quality of the responses provided to one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority selected will be addressed. Applicants that just list a priority will receive no points. Please refer to the General Section for additional information about HUD's policy priorities.The total number of points an applicant can receive under this subfactor is two (2). Each policy priority addressed has a point value of one (1) point with the exception of the policy priority to remove regulatory barriers to affordable housing, which has a point value of up to two (2) points. To receive these two (2) points, an applicant must: (1) Complete either Part A or Part B (not both), (2) include appropriate documentation, (3) identify a point of contact, (4) indicate how this priority will be addressed and (5) submit the completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers'' found in the General Section. It is up to the applicant to determine which of the policy priorities they elect to address to receive the available two (2) points.d. (2 Points) Economic Opportunities for Low- and Very-Low Income Persons (Provision of Section 3). This subfactor will be evaluated on the extent to which an applicant describes how it proposes to:(1) Provide opportunities to train and employ Section 3 residents; and/or(2) Award contracts to Section 3 contractors (see the regulations at 24 CFR 135). Regulations regarding the provision of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be located at 24 CFR Part 135.4. Rating Factor 4: Leveraging Resources (8 Points). This factor addresses the ability of the applicant to secure resources and develop partnerships that can be combined with HUD's grant funds to achieve the program's purpose.In evaluating this factor, HUD will consider how well the applicant has established partnerships with other entities to secure additional resources to increase the effectiveness of the proposed project activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated for the purpose(s) of the proposed project activities. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities. Applicants may also establish partnerships with other program funding recipients to coordinate the use of resources in the target area. Overhead and other institutional costs (e.g., salaries, indirect costs, etc.) that the institution has waived may be counted.[[Page 11474]]Examples of potential sources for outside assistance include:Federal, state, and local governments;Local or national nonprofit organizations;Financial institutions and/or private businesses;Foundations;Faith-based and other community-based organizations.To address this factor, an applicant must provide an outline in the application and have the original written commitment letters, memoranda of understanding and/or agreements that show the extent and firm commitment of all proposed leveraged resources (including any commitment of resources from the applicant's own institution) that address the following information for each leveraged resource/fund on file at the time of application submission:(1) The name of the organization and the executive officer authorizing the funds/goods and/or services (only applicable to the narrative section)(2) The cash amount contributed or dollar value of the in-kind goods and/or services committed (if a dollar amount and its use is not shown, the value of the contribution will not be scored for award);(3) A specific description of how each contribution is to be used toward the proposed activities;(4) The date the contribution will be made available and a statement that describes the duration of the contribution;(5) Any terms or conditions affecting the commitment, other than receipt of a HUD Grant; and(6) The signature of the appropriate executive officer authorized to commit the funds and/or goods and/or services (only applicable to the written documentation).DO NOT submit commitment letters, memoranda of understanding and/or agreements at the time of application submission but have the originals on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to proceed to the next step in the selection process will be required to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven (7) calendar days after initial contact from the Office of University Partnerships (OUP). Letters, memoranda of understanding, or agreements must be submitted on the provider's letterhead and should be addressed to Sherone Ivey, Associate Deputy Assistant Secretary for University Partnerships. The date of the letter, memorandum of understanding, or agreement from the CEO of the provider organization must be dated no earlier than nine months prior to this published NOFA. OUP will provide specific instructions on how these documents must be submitted when contact is made with the applicant. HUD will only request and consider the resources/organizations that are listed in the outline submitted in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.5. Rating Factor 5: Achieving Results and Program Evaluation (12 Points). This factor reflects HUD's goal to embrace high standards of management and accountability. It measures the applicant's commitment to assess their performance to achieve the program's proposed objectives and goals. Applicants are required to develop an effective, quantifiable, outcome oriented evaluation plan for measuring performance and determining that objectives and goals have been achieved by using the Logic Model. The Logic Model is a summary of the narrative statements presented in Factors 1-4. Therefore, it should be consistent with the information contained in the narrative statements.``Outcomes'' are benefits accruing to the community during or after participation in the HBCU program. Applicants must clearly identify the outcomes to be measured and achieved. Examples of outcomes include increased employment opportunities in the target community by a certain percentage, increased incomes/wages or other assets for persons trained, or enhanced family stability through the creation of affordable housing opportunities (e.g., increased assets to families and communities through the development of affordable housing).In addition, applicants must establish interim benchmarks and outputs that lead to the ultimate achievement of outcomes. ``Outputs'' are the direct products of the program's activities. Examples of outputs are the number of new affordable housing units, the number of homes that have been renovated, and the number of facilities that have been constructed or rehabilitated. Outputs should produce outcomes for the program. At a minimum, an applicant must address the following activities in the evaluation plan:a. Measurable outputs to be accomplished (e.g., the number of persons to be trained and employed; houses to be built pursuant to 24 CFR 570.207 or rehabilitated; minority-owned businesses to be started);b. Measurable outcomes the grant will have on the community in general and the target area or population; andc. 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 Process1. Application Selection ProcessTwo types of reviews will be conducted:a. A threshold review to determine an applicant's basic eligibility; andb. A technical review for all applications that pass the threshold review to rate and rank the application based on the ``Rating Factors'' listed in Section V.A. Only those applications that pass the threshold review will receive a technical review.2. Rating Panels. To review and rate applications HUD may establish panels, which may include experts or consultants not currently employed by HUD to obtain certain expertise.3. Ranking. HUD will fund applications in rank order, until all available program funds are awarded. In order to be considered for funding, an applicant must receive a minimum score of 75 points out of a possible 100 points for Factors 1 through 5; plus up to two bonus points that may be awarded for activities conducted in the RC/EZ/EC-II communities, as described in the General Section. If two or more applications have the same number of points, the application with the most points for Factor 3 shall be selected. If there is still a tie, the application with the most points for Factor 1 shall be selected. If there is still a tie, the application with the most points for Factors 2, 4 and then 5 shall be selected in that order until the tie is broken. HUD reserves the right to make selections out of rank order to provide for geographic distribution of grantees.[[Page 11475]]HUD also reserves the right to reduce the amount of funding requested in order to fund as many highly ranked applications as possible. Additionally, if funds remain after funding the highest ranked applications, HUD may fund part of the next highest-ranking application. If an applicant turns down an award offer, HUD will make an award to the next highest-ranking application. If funds remain after all selections have been made, the remaining funds will be carried over to the next funding cycle's competition.4. Correction to Deficient Applications. See the General Section.C. Anticipated Announcement and Award DatesAnnouncements of awards are anticipated on or before September 30, 2007.VI. Award Administration InformationA. Award NoticeAfter 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 RequirementsRefer 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 http://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. ReportingAll 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 ContactsApplicants 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 InformationPaperwork Reduction ActThe 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--HBCUThis checklist identifies application submission requirements. Applicants are requested to use this checklist when preparing an application to ensure submission of all required elements. Applicants submitting an electronic application do not have to submit the checklist. Applicants that receive a waiver of the electronic application submission requirement must include a copy of the checklist in their application.Check off to ensure these items have been included in the application: ----SF-424 ``Application For Federal Assistance'' ----Application Checklist (Applicants that submit paper applications must include the checklist in their applications) ----Abstract (must include no more than a two-page summary of the proposed project)Indicate the page number where each of the Factors are located:Narrative Statement Addressing the Rating Factors.The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative and abstract). This information must be submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the paper, with one-inch margins (from the top, bottom, left, and right sides of the documents) and printed in standard Times New-Roman 12-point font. [Applicants that submit applications via Grants.gov should review the General Section for information about file names and extensions. File names should not contain spaces or special characters.] ----Factor I ----Factor II ----HUD-40076, ``Response Sheet Performance Narrative'' (If applicable) ----Factor III ----Factor IV ----Factor V ---- HUD-96010 ``Logic Model''Check off to ensure these items have been included in the application: ----Appendix. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances). ----Budget ----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed Budget Form'' on Grants.gov)[[Page 11476]]----HUD-40076-HBCU ``Budget-By-Activity'' ----Budget Narrative (No form provided and must be submitted for the total three-year grant period) Appendix B (All Required Forms)The following forms are required for submission. All required forms are contained in the electronic application package. ----Application for Federal Assistance (SF-424) ----Survey on Ensuring Equal Opportunity for Applicants (SF-424 Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) ----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed Budget Form'' on Grants.gov) ----Disclosure of Lobbying Activities (SF-LLL), if applicable ----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300), (``HUD Communities Initiative Form'' on Grants.gov), if applicable ----Applicant/Recipient Disclosure/Update Report (HUD-2880) (``HUD Applicant Recipient Disclosure Report'' on Grants.gov) ----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD- 2990), if applicable ----Certification of Consistency with the Consolidated Plan (HUD-2991) if applicable ----Acknowledgement of Applicant Receipt (HUD-2993) Only applicants that submit paper applications ----You Are Our Client Grant Applicant Survey (HUD-2994-A) ----Response Sheet Performance Narrative (HUD-40076) if applicable ----Budget-By-Activity (HUD-40076) ----Program Logic Model (HUD-96010) ----Third Party Documentation Facsimile Transmittal (HUD-96011) (``Facsimile Transmittal Form'' on Grants.gov) required as the cover page to third party documents transmitted by facsimile to HUD. See the General Section.[[Page 11477]][GRAPHIC] [TIFF OMITTED] TN13MR07.007[[Page 11478]]Hispanic-Serving Institutions Assisting Communities (HSIAC) ProgramOverview InformationA. Federal Agency Name: Department of Housing and Urban Development, Office of Policy Development and Research, Office of University Partnerships.B. Funding Opportunity Title: Hispanic-Serving Institutions Assisting Communities (HSIAC) Program.C. Announcement Type: Initial announcement.D. Funding Opportunity Numbers: FR-5100-N-13; OMB Approval Number is 2528-0198.E. Catalog of Federal Domestic Assistance (CFDA) Number: The CDFA Number for this program is 14.514.F. Dates: The application deadline date is May 23, 2007. Applications must be received and validated by Grants.gov by 11:59:59 p.m. eastern time on the deadline date. Please be sure to read the General Section for electronic application submission and receipt requirements.G. Additional Overview Content Information:1. Purpose of the Program: To assist Hispanic-Serving Institutions (HSI) expand their role and effectiveness in addressing community development needs in their localities, including neighborhood revitalization, housing, and economic development, principally for persons of low- and moderate-income, consistent with the purposes of Title I of the Housing and Community Development Act of 1974, as amended.2. Award Information: In Fiscal Year (FY) 2007, approximately $5.9 million has been made available for this program by the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15, 2007) and an additional $111,226 in carryover funds. An applicant can request up to $600,000 for a three-year (36 months) grant performance period.3. Eligible Applicants: Nonprofit Hispanic-serving institutions that meet the definition of an HSI of higher education established in Title V of the Higher Education Act of 1965 (20 U.S.C. 1101), as amended. In order to meet this definition, at least 25 percent of the full-time undergraduate students enrolled in an institution must be Hispanic. In addition, all applicants must be institutions of higher education granting two-or four-year degrees that are fully accredited by a national or regional accrediting agency recognized by the U.S. Department of Education. Institutions are not required to be on the list of eligible HSIs prepared by the U.S. Department of Education. However, an institution that is not on the list is required to provide a statement in the application that the institution meets the U.S. Department of Education's statutory definition of an HSI as cited above. If an applicant is one of several campuses of the same institution, the applicant may apply separately from the other campuses as long as the campus has a separate DUNS number, administrative structure and budget, and meets the enrollment requirements outlined above.Full Text of AnnouncementI. Funding Opportunity DescriptionThe purpose of the Hispanic-Serving Institutions Assisting Communities (HSIAC) Program is to assist Hispanic-Serving Institutions (HSI) of higher education expand their role and effectiveness in addressing community development needs in their localities, including neighborhood revitalization, housing and economic development, principally for persons of low- and moderate-income consistent with the purpose of the Title I of the Housing and Community Development Act of 1974, as amended.For the purpose of this program NOFA, the term ``locality'' includes any city, county, township, parish, village, or other general political subdivision of a state, Puerto Rico, or the U.S. Virgin Islands where the institution is located.A ``target area'' is the area within the locality in which the institution will implement its proposed HSIAC grant.A. AuthorityHUD'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. ModificationsListed below are major modifications from the Fiscal Year (FY) 2006 program-funding announcement:1. Commitment letters, memoranda of understanding and/or agreements are not required to be submitted with the application, but the originals must be on file at the time of application submission. HUD will require applicants chosen to proceed to the next step in the selection process to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven (7) calendar days after initial contact from the Office of University Partnerships (OUP). OUP will provide specific instructions on how these documents must be submitted at that time. HUD will only request and consider the resources/organizations outlined in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.2. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances). An applicant SHOULD NOT submit resumes, commitment letters, memoranda of understanding and/or agreements, or other back-up material. Each page must include the applicant's name and should be numbered. HUD will not consider the information on any excess pages.3. Applicants must budget for travel costs to attend at least one HUD sponsored HSIAC conference/workshop every year of the three-year grant performance period.4. Public Law 109-242 (approved September 30, 2006) revised the definition of Hispanic-serving institution found in Title V of the Higher Education Act of 1965 (20 U.S.C. 1101). The revision removed the requirement that not less than 50 percent of the institution's Hispanic students are low-income individuals.II. Award InformationIn 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 InformationA. Eligible ApplicantsNonprofit Hispanic-serving institutions that meet the definition of an HSI of higher education established in Title V of the Higher Education Act of 1965 (20 U.S.C. 1101), as amended. In order to meet this definition, at least 25 percent of the full-time undergraduate students enrolled in an institution must be Hispanic. In addition, all applicants must be institutions of higher education granting two- or four-year degrees that are fully accredited by a national or regional accrediting agency recognized by the U.S. Department of Education. Institutions are not required to be on the list of eligible HSIs prepared by the U.S. Department of Education. However, an institution that is not on the list is required to provide a statement in the application that the institution meets[[Page 11479]]the U.S. Department of Education's statutory definition of an HSI as cited above. If an applicant is one of several campuses of the same institution, the applicant may apply separately from the other campuses as long as the campus has a separate DUNS number, administrative structure and budget, and meets the enrollment requirements outlined above.B. Cost Sharing or MatchingNone Required.C. Other1. Eligible Activities. Eligible activities are listed in 24 CFR part 570, subpart C, particularly Sec. Sec. 570.201 through 570.206. Information regarding these activities can be found at: http://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: http://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; andb. Each activity proposed for funding must meet the Community Development Block Grant (CDBG) program eligibility requirements and at least one of the three CDBG national objectives. The three national objectives of the CDBG program are listed in Rating Factor 3 in Section V.A.3 of this NOFA.Criteria for determining whether an activity addresses one or more national objectives are provided at 24 CFR 570.208.c. The CDBG publication entitled ``Community Development Block Grant Program Guide to National Objectives and Eligible Activities for Entitlement Communities'' describes the CDBG regulations, and a copy can be obtained from HUD's NOFA Information Center at 800-HUD-8929. Individuals with hearing or speech impairments may access this number via the toll-free Federal Information Relay Service at 800-877-8339.2. Threshold Requirements Applicable to all Applicants. All applicants must comply with the threshold requirements as defined in the General Section and the requirements listed below. Applications that do not meet these requirements will be considered ineligible for funding and will be disqualified.a. The applicant must meet the eligibility requirements as defined in Section III.A.b. The applicant may request up to $600,000.c. An applicant must have a DUNS number to receive HUD grant funds (See the General Section). Only one application can be submitted per campus. If multiple applications are submitted, all will be disqualified. However, different campuses of the same university system are eligible to apply as long as they have a separate DUNS number and an administrative and budgeting structure independent of the other campuses in the system.d. Institutions that received an HSIAC grant in FY2006 are not eligible to submit an application under this NOFA. If an institution received an HSIAC grant in FY2003, FY2004, or FY2005, the institution may apply under this NOFA as long as it proposes a different activity (activities), which has not been previously undertaken in their current project location, or proposes replicating their current project in a new location.e. Applicants must receive a minimum score of 75 points to be considered for funding.f. Electronic applications must be received and validated by Grants.gov no later than 11:59:59 p.m. eastern time on the application deadline date.3. Program Requirements. In addition to the program requirements listed in Section III.C of the General Section, applicants must meet the following program requirements:a. All funds awarded are for a three-year (36 months) grant performance period.b. Applicants must ensure that not less than 51 percent of the aggregated expenditures of a grant award are used to benefit low- and moderate-income persons under the criteria specified in 24 CFR 570.208(a) or 570.208(d)(5) or (6).c. Site Control. Where grant funds will be used for acquisition, rehabilitation, or new construction, an applicant must demonstrate site control. Funds may be recaptured or deobligated from recipients that cannot demonstrate control of a suitable site within one year after the initial notification of award.d. Environmental Requirements. Selection for award does not constitute[[Page 11480]]approval of any proposed sites. Following selection for award, HUD will perform an environmental review of properties proposed for assistance in accordance with 24 CFR Part 50. The results of the environmental review may require that proposed activities be modified or proposed sites be rejected. Applicants are particularly cautioned not to undertake or commit funds for acquisition or development of proposed properties prior to HUD approval of specific properties or areas. An application constitutes an assurance that the institution will assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select alternate property; and will not acquire, rehabilitate, convert, demolish, lease, repair, or construct property, and not commit or expend HUD or local funds for these program activities with respect to any eligible property until HUD's written approval of the property is received. In supplying HUD with environmental information, applicants should use the same guidance as provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental Review Processing for Rural Housing and Economic Development (RHED) grants'' issued August 30, 2005. The General Section provides further discussion of the environmental requirements. Further information and assistance on HUD's environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf .e. Labor Standards. Institutions and their sub-grantees, contractors, and subcontractors must comply with the labor standards (Davis-Bacon) requirements referenced in 24 CFR 570.603.f. Economic Opportunities for Low- and Very-Low Income Persons (Section 3). The provisions of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of the purposes of the assistance is to give, to the greatest extent feasible, and consistent with existing federal, state, and local laws and regulations, job training, employment, contracting and other economic opportunities to Section 3 residents and Section 3 business concerns. Regulations are located at 24 CFR Part 135.IV. Application and Submission Information.A. Addresses To Request Application PackageApplicants 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 Submission1. Forms. The following forms are required for submission. Copies of these forms are available on line at http://www.Grants.gov/applicants/apply_for_grants.jsp .a. SF-424, Application for Federal Assistance;b. SF-424, Supplement, Survey on Ensuring Equal Opportunities for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed Budget Form'' on Grants.gov);d. SF-LLL, Disclosure of Lobbying Activities, if applicable;e. HUD-27300, Questionnaire for HUD's Removal of Regulatory Barriers (``HUD Communities Initiative Form'' on Grants.gov), if applicable;f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD Applicant Recipient Disclosure Report'' on Grants.gov);g. HUD-96010, Program Logic Model;h. HUD-2990, Certification of Consistency with RC/EZ/EC-II Strategic Plan, if applicable;i. HUD-2991, Certification of Consistency with the Consolidated Plan, if applicable;j. HUD-2993, Acknowledgement of Applicant Receipt. Complete this form only if you have received a waiver to the electronic application submission requirement. Applicants submitting electronically are not required to include this form;k. HUD-2994-A, You Are Our Client Grant Applicant Survey. Applicants are not required to complete this form.l. HUD-96011, Third Party Documentation Facsimile Transmittal (``Facsimile Transmittal Form'' on Grants.gov). This form must be used as the cover page to transmit third party documents and other information. Applicants are advised to download the application package, complete the SF-424 first and it will pre-populate the Transmittal Cover page. The Transmittal Cover page will contain a unique identifier embedded in the page that will help HUD associate your faxed materials to your application. Please download the cover page and then make multiple copies to provide to any of the entities responsible for submitting faxed materials to HUD on your behalf. Please do not use your own fax sheet. HUD will not read any faxes that are sent without the HUD-96011 fax transmittal cover page.2. Certifications and Assurances. Please read the General Section for detailed information on all Certifications and Assurances. All applications submitted through Grants.gov constitute an acknowledgement and agreement to all required certifications and assurances. Please include in your application each item listed below. Applicants submitting paper copy applications should submit the application in the following order:a. SF-424, Application for Federal Assistance. Please remember the following:(1) The full grant amount requested from HUD (entire three years) should be entered, not the amount for just one year;(2) Include the name, title, address, telephone number, facsimile number, and e-mail address of the designated contact. This is the person who will receive all correspondence; therefore, please ensure the accuracy of the information;(3) The Employer Identification/Tax ID;(4) The DUNS Number;(5) The Catalog of Federal Domestic Assistance Number for this program is 14.514;(6) The project's proposed start date and completion date. For the purpose of this application, the program start date should be December 1, 2007; and(7) The signature of the Authorized Organization Representative (AOR) who, by virtue of submitting an application via Grants.gov, has been authenticated by the credential provider to submit applications on behalf of the Institution and approved by the eBusiness Point of Contact to submit an application via Grants.gov. The AOR must be able to make a binding legal agreement with HUD.b. Application Checklist. Applicants should use the checklist to ensure that they have all the required components of their application. Applicants submitting an electronic application should not submit the checklist.[[Page 11481]]Applicants that receive a waiver of the electronic application submission must include a copy of the checklist in their application submission. The checklist can be located in Appendix A.c. Abstract. Applicants must include no more than a two-page summary of the proposed project. Please include the following:(1) A clear description of each proposed project activity, where it will take place (be located), the target population that will be assisted, and the impact this project is expected to have on the community and institution;(2) A statement that the institution is an eligible institution because it is a two- or four-year fully accredited institution, the name of the accrediting agency and an assurance that the accrediting agency is recognized by the U.S. Department of Education;(3) A statement that the institution meets the definition of an Hispanic Serving Institution: at least 25 percent of the full-time undergraduate students enrolled in an institution must be Hispanic.(4) The designated contact person, including phone number, facsimile number, and e-mail address (This is the person who will receive all correspondence from HUD; therefore please ensure the accuracy of the information);(5) The project director, if different from the designated contact person, for the project, including phone number, facsimile number, and e-mail address.d. Narrative Statement Addressing the Factors. HUD will use the narrative response to the ``Rating Factors'' to evaluate, rate, and rank applications. The narrative statement is the main source of information. Applicants are advised to review each factor carefully for program specific requirements. The response to each factor should be concise and contain only information relevant to the factor, yet detailed enough to address each factor fully. PLEASE DO NOT REPEAT MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are subfactors, each subfactor must be presented separately, with the short title of the subfactor presented. Make sure to address each subfactor and provide sufficient information about every element of the subfactor. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative, assurances, and abstract) and must be submitted on 8\1/2\ by 11-inch paper, double- spaced on one side of the paper, with one inch margins (from the top, bottom and left to right side of the document) and printed in standard Times New Roman 12-point font. Each page of the narrative must include the applicant's name and should be numbered. Note that although submitting pages in excess of the page limit will not disqualify an applicant, HUD will not consider the information on any excess pages. This exclusion may result in a lower score or failure to meet a threshold requirement. All applicants submitting electronic applications must attach their narrative responses to Rating Factors 1- 5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR SEPARATELY. Please follow the instructions on file extension and file names in the General Section.e. Budget. The budget submission must include the following:(1) HUD-424-CB, ``HUD Detailed Budget Form.'' This form shows the total budget by year and by line item for the program activities to be carried out with the proposed HUD grant. Each year of the program should be presented separately. Applicants must also budget for travel costs (airfare, lodging and per diem) for two individuals to attend at least one HUD sponsored HSIAC conference/workshop every year of the three-year grant performance period. To calculate travel expenses, applicants located in Eastern and Central time zones or the U.S. Virgin Islands should use San Francisco, CA as the site of all conferences/ workshops. Applicants located in Mountain and Pacific time zones or Puerto Rico should use Washington, DC as the site of all conferences/ meetings.Applicants must also submit this form to reflect the total cost for the entire grant performance period (Grand Total).Make sure that the amounts shown on the SF-424, the HUD-424-CB, and on all other required program forms are consistent and the budget totals are correct. Remember to check addition in totaling the categories on all forms so that all items are included in the total. If there is an inconsistency between any of the required budget forms, the HUD-424-CB will be used. All budget forms must be fully completed. If an application is selected for award, the applicant may be required to provide greater specificity to the budget during grant agreement negotiations.(2) Budget Narrative. A narrative must be submitted that explains how the applicant arrived at the cost estimates for any line item over $5,000 cumulative. For example, an applicant proposes to construct a building using HUD funding totaling $200,000. The following costs estimate reflects this total. Foundation cost $75,000, electrical work $40,000, plumbing work $40,000, finishing work $35,000, and landscaping $10,000. The proposed cost estimates should be reasonable for the work to be performed and consistent with rates established for the level of expertise required to perform the work proposed in the geographical area. When necessary, quotes from various vendors or historical data should be used (please make sure they are kept on file and are available for review by HUD at any time). All direct labor or salaries must be supported with mandated city/state pay scales, the Davis-Bacon rate, (if applicable) or other documentation. When an applicant proposes to use a consultant, the applicant must indicate whether there is a formal written agreement. For each consultant, please provide the name, if known, hourly or daily rate, and the estimated time on the project. Applicants must use cost estimates based on historical data from the institution and/or from a qualified firm (e.g., Architectural or Engineering firms), vendor, and/or qualified individual (e.g., independent architect or contractor) other than the institution for projects that involve rehabilitation of residential, commercial and/or industrial structures, and/or acquisition, construction, or installation of public facilities and improvements. Such an entity must be involved in the business of housing rehabilitation, construction and/or management. Equipment and contracts cannot be presented as a total estimated cost. For equipment, applicants must provide a list by type and cost for each item. Applicants using contracts must provide an individual description and cost estimate for each contract. Construction costs must be broken down to indicate how funds will be utilized (e.g., demolition, foundation, exterior walls, roofing, electrical work, plumbing, finishing work, etc.).(3) Indirect costs. Indirect costs, if applicable, are allowable based on an established approved indirect cost rate. Applicants must have on file, and submit to HUD if selected for award, a copy of their indirect cost rate agreement. Applicants who are selected for funding that do not have an approved indirect cost rate agreement, established by the cognizant federal agency, will be required to establish a rate. In such cases, HUD will issue an award with a provisional rate and assist applicants with the process of establishing a final rate.f. Appendix. Applicants receiving a waiver of the electronic submission requirements and submitting a paper copy of the application must place all required forms in this section. The appendix section of an application must[[Page 11482]]not exceed 15 pages in length (excluding forms, budget narrative and assurances). An applicant SHOULD NOT submit resumes, commitment letters, memoranda of understanding and/or agreements, or other back-up materials. If this information is included, it will not be considered during the review process. Each page must include the applicant's name and should be numbered. HUD will not consider the information on any excess pages. The additional items will also slow the transmission of your application.C. Submission Dates and TimesA 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 ReviewThis program is excluded from an Intergovernmental Review.E. Funding RestrictionsIneligible 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; andd. 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 Requirements1. 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 InformationA. Criteria1. Rating Factor 1: Capacity of the Applicant and Relevant Experience (25 Points). This factor addresses the extent to which the applicant has the resources necessary to successfully implement the proposed project in a timely manner.a. Knowledge and Experience For First Time Applicants (25 Points); For Previously Funded Applicants (10 Points). In rating this subfactor, HUD will consider how well an applicant clearly addresses the following:(1) Describe the knowledge and experience of the proposed project director and staff, including the day-to-day program manager/ coordinator, consultants (including technical assistance providers), and contractors in planning and managing the type of project for which funding is being requested; and(2) Clearly identify the following: key project team members, titles (e.g., project manager/coordinator, etc.), respective roles for the project staff, and a brief description of their relevant experience.If key personnel have not been hired, applicants must identify the position title, provide a description of duties and responsibilities, and describe the qualifications to be considered in the selection of personnel, including subcontractors and consultants.Experience will be evaluated in terms of recent and relevant knowledge and skills of the staff to undertake eligible program activities. HUD will consider experience within the last five (5) years to be recent and experience pertaining to similar activities to be relevant.b. Past Performance (15 Points) For Previously Funded Grant Applicants Only. This subfactor will evaluate how well an applicant has performed successfully under HUD/HSIAC grants. Applicants must demonstrate this by addressing the following information for all previously completed and open HUD/HSIAC grants:(1) A list of all HUD/HSIAC grants received, including the dollar amount awarded and the amount expended and obligated as of the date of this application;(2) A description of the achievement of specific tasks, measurable objectives, and specific outcomes consistent with the approved project management plan;(3) A list detailing the date the project(s) was completed, was it completed in the original three-year grant performance period; if not completed, why (including when it was or will be completed);(4) A comparison of the amount of proposed leveraged funds and/or resources to the amount that was actually leveraged; and(5) A detailed description of compliance with all reporting requirements, including timeliness of submission, whether reports were complete and addressed all information (both narrative and financial) as required by the grant agreement.HUD will also review an applicant's past performance in managing funds, including, but not limited to: the ability to account for funding appropriately; timely use of funds received from HUD; meeting performance targets for completion of activities; timely submission of required progress reports and receipt of promised leveraged resources. In evaluating past performance, HUD reserves the right to deduct up to five (5) points from this rating score as a result of the information obtained from HUD's records (i.e, progress and financial reports, monitoring reports, Logic Model submissions, and amendments).2. Rating Factor 2: Need/Extent of the Problem (10 Points). This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the importance of meeting the need(s) in the target area. The need(s) described must be relevant to the activities for which funds are being requested. In addressing this factor, applicants should provide, at a minimum, the following and must cite statistics and/or analyses contained in at least one or more current data sources that are sound and reliable.(1) Describe the need(s); and(2) Describe the importance of meeting the proposed needs.In rating this factor, HUD will consider only current data that is specific to the area where the proposed[[Continued on page 11483]]From the Federal Register Online via GPO Access [wais.access.gpo.gov] ][[pp. 11483-11532]] Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs[[Continued from page 11482]][[Page 11483]]project activities will be carried out. Sources for localized data can be found at: http://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 (http://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; orMeet other community development needs having a particular urgency because existing conditions pose a serious and immediate threat to the health and welfare of the community, and other financial resources are not available to meet such needs.Criteria for determining whether an activity addresses one or more objective are provided at 24 CFR 570.208;(c) Describe the measurable impact that implementing each activity (by the end of the grant period) will have on the target population;(d) Identify the major tasks required (in sequential order) to successfully implement and complete each proposed project activity. Include target completion dates for these tasks (in 6 month intervals, up to 36 months);(e) Identify the key staff, as described in Factor 1, who will be responsible for completing each task; and(f) Describe how the project director will work with the partners and citizens to accomplish the proposed project activities.(2) (5 Points) Describe clearly how each proposed activity will:(a) Expand the role of the institution in the community;(b) Address the needs identified in Factor 2;(c) Relate to and not duplicate other activities in the target area. Duplicative efforts will be acceptable only if an applicant can demonstrate through documentation that there is a population in need that is not being served; and(d) Involve citizens of the target area in the planning and implementation of the proposed project activity (e.g., development of an advisory committee that is representative of the target community).b. (3 Points) Involvement of the Faculty and Students. The applicant must describe how it proposes to integrate the institution's students and faculty into proposed project activities.c. (2 Points) HUD Policy Priorities. As described in the General Section, to earn points under this subfactor, HUD requires applicants to undertake specific activities that will assist the Department in implementing its policy priorities and that will help the Department achieve its goals and objectives in FY2008, when the majority of grant recipients will be reporting programmatic results and achievements. In rating this subfactor, HUD will evaluate the extent to which a program will further and support HUD's priorities. The quality of the responses provided to one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority selected will be addressed. Applicants that just list a priority will receive no points.The total number of points an applicant can receive under this subfactor is two (2). Each policy priority addressed has a point value of one (1) point with the exception of the policy priority to remove regulatory barriers to affordable housing, which has a point value of up to two (2) points. To receive these two (2) points, an applicant must: (1) Complete either Part A or Part B (not both), (2) include appropriate documentation, (3) identify a point of contact, (4) indicate how this priority will be addressed and (5) submit the completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers Communities Initiative'' found in the General Section. It is up to the applicant to determine which of the policy priorities they elect to address to receive the available two (2) points.d. (2 Points) Economic Opportunities for Low- and Very-Low Income Persons (Provision of Section 3). This subfactor will be evaluated on the extent to which an applicant describes how it proposes to:(1) Provide opportunities to train and employ Section 3 residents; and/or(2) Award contracts to Section 3 contractors (See the regulations at 24 CFR 135.). Regulations regarding the provision of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be located at 24 CFR Part 135.4. Rating Factor 4: Leveraging Resources (9 Points). This factor addresses the ability of the applicant to secure resources and develop partnerships that can be combined with HUD's grant funds to achieve the program's purpose.HUD will consider how well an applicant has established partnerships with other entities to secure additional resources to increase the effectiveness of the proposed project activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated for the purpose(s) of the proposed project activities. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities. Applicants may also establish partnerships with other program funding recipients to coordinate the use of resources in the target area. Overhead and other institutional costs (e.g., salaries, indirect costs, etc.) that the institution has waived may be counted.Examples of potential sources for outside assistance include:[[Page 11484]]Federal, state, and local governmentsLocal or national nonprofit organizationsFinancial institutions and/or private businessesFoundationsFaith-based and other community-based organizations.To address this factor, an applicant must provide an outline in the application and have the original written commitment letters, memoranda of understanding and/or agreements that show the extent and firm commitment of all proposed leveraged resources (including any commitment of resources from the applicant's own institution) that address the following information for each leveraged resource/fund on file at the time of application submission:(1) The name of the organization and the executive officer authorizing the funds/goods and/or services (Only applicable to the narrative section);(2) The cash amount contributed or dollar value of the in-kind goods and/or services committed (If a dollar amount and its use are not shown, the value of the contribution will not be scored for award);(3) A specific description of how each contribution is to be used toward the proposed activities;(4) A description of the current and/or past working relationship that the institution has with the organization contributing the resources and the involvement it will have with this proposed project.(5) The date the contribution will be made available and a statement that describes the duration of the contribution;(6) Any terms or conditions affecting the commitment, other than receipt of a HUD Grant; and(7) The signature of the appropriate executive officer authorized to commit the funds and/or goods and/or services (Only applicable to the written documentation).Do not submit commitment letters, memoranda of understanding and/or agreements are not required at the time of application submission but have the originals on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to proceed to the next step in the selection process will be required to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven (7) calendar days after initial contact from the Office of University Partnerships (OUP). Letters, memoranda of understanding, or agreements must be submitted on the provider's letterhead and should be addressed to Sherone Ivey, Associate Deputy Assistant Secretary for University Partnerships. The date of the letter, memorandum of understanding, or agreement from the CEO of the provider organization must be dated no earlier than nine months prior to this published NOFA. OUP will provide specific instructions on how these documents must be submitted when contact is made with the applicant. HUD will only request and consider the resources/ organizations that are listed in the outline submitted in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.In scoring this factor, HUD will awardNine (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; andZero (0) points to applicants that provide documented leveraging resources as listed above that are less than 5 percent of the amount requested. 5. Rating Factor 5: Achieving Results and Program Evaluation (12 Points)This factor reflects HUD's goal to embrace high standards of management and accountability. It measures the applicant's commitment to assess their performance to achieve the program's proposed objectives and goals. Applicants are required to develop an effective, quantifiable, outcome oriented evaluation plan for measuring performance and determining that objectives and goals have been achieved by using the HUD Logic Model. The Logic Model is a summary of the narrative statements presented in Factors 1-4. Therefore, the information submitted on the Logic Model should be consistent with the information contained in the narrative statements. ``Outcomes'' are benefits accruing to institutions and/or communities during or after participation in the HSIAC program. Applicants must clearly identify the outcomes to be measured and achieved. Examples of outcomes include increased employment opportunities in the target community by a certain percentage, or enhanced family stability through the creation of affordable housing opportunities.In addition, applicants must establish interim benchmarks and outputs that lead to the ultimate achievement of outcomes. ``Outputs'' are the direct products of the program's activities. Examples of outputs are the number of new affordable housing units, the number of homes that have been renovated, and the number of community facilities that have been constructed or rehabilitated. Outputs should produce outcomes for the program. At a minimum an applicant must address the following activities in the evaluation plan:a. Measurable outputs to be accomplished, e.g., the number of persons to be trained and employed; houses to be built (pursuant to 24 CFR 570.207) or rehabilitated; minority-owned businesses to be started;b. Measurable outcomes the grant will have on the community in general and the target area or population; andc. 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 Process1. Application Selection ProcessTwo types of reviews will be conducted:[[Page 11485]]a. A threshold review to determine an applicant's basic eligibility; andb. 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 InformationA. Award NoticeAfter 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 RequirementsRefer 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 http://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. ReportingAll 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 ContactsApplicants 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 InformationPaperwork Reduction ActThe 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--HSIACThis checklist identifies application submission requirements. Applicants are requested to use this checklist when preparing an application to ensure submission of all required elements. Applicants submitting an electronic application do not have to submit the checklist. Applicants that receive a waiver of the electronic application submission requirement must include a copy of the checklist in their application.Check off to ensure these items have been included in the application:----SF-424 ``Application For Federal Assistance''[[Page 11486]]----Application Checklist (Applicants that submit paper applications must include the checklist in their applications)----Abstract (must include no more than a two-page summary of the proposed project)Indicate the page number where each of the Factors is located:----Narrative Statement Addressing the Rating Factors. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative and abstract). This information must be submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the paper, with one-inch margins (from the top, bottom, left, and right sides of the documents) and printed in standard Times New-Roman 12- point font. [Applicants that submit applications via Grants.gov should review the General Section for information about file names and extensions. File names should not contain spaces or special characters.]----Factor I----Factor II----Factor III----Factor IV----Factor V----HUD-96010 ``Logic Model''Check off to ensure these items have been included in the application: ----Appendix. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances).----Budget----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed Budget Form'' on Grants.gov).----Budget Narrative (No form provided, but must be submitted for the total three-year grant period.Appendix B (All Required Forms)The following forms are required for submission. All required forms are contained in the electronic application package.----Application for Federal Assistance (SF-424);----Survey on Ensuring Equal Opportunity for Applicants (SF-424 Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);----Disclosure of Lobbying Activities (SF-LLL), if applicable;----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed Budget'' on Grants.gov);----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300) (``HUD Communities Initiative Form'' on Grants.gov), if applicable;----Applicant Recipient Disclosure Update Report (HUD-2880) (``HUD Applicant Recipient Disclosure Report'' on Grants.gov);----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD- 2990), if applicable;----Certification of Consistency with the Consolidated Plan (HUD-2991), if applicable;----Acknowledgement of Applicant Receipt (Only applicants who submit paper applications (HUD-2993);----You Are Our Client! Grant Applicant Survey (HUD-2994-A);----Third Party Documentation Facsimile Transmittal (HUD-96011) (``Facsimile Transmittal Form'' on Grants.gov), to be used as the cover page to transmit third party documents via facsimile, if applicable (See General Section); and----Logic Model (HUD-96010)[[Page 11487]][GRAPHIC] [TIFF OMITTED] TN13MR07.008[[Page 11488]]Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/ NHIAC) ProgramOverview InformationA. Federal Agency Name: Department of Housing and Urban Development, Office of Policy Development and Research, Office of University Partnerships.B. Funding Opportunity Title: Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/NHIAC) Program.C. Announcement Type: Initial announcement.D. Funding Opportunity Numbers: FR-5100-N-12; OMB Approval Number is 2528-0206.E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA Number for this program is 14.515.F. Dates: The application deadline date is May 23, 2007. Applications must be received and validated by Grants.gov by 11:59:59 p.m. eastern time on the deadline date. Please be sure to read the General Section for electronic application submission and receipt requirements.G. Additional Overview Content Information:1. Purpose of the Program. To assist Alaska Native/Native Hawaiian Institutions (AN/NHI) of higher education expand their role and effectiveness in addressing community development needs in their localities, including neighborhood revitalization, housing, and economic development, principally for persons of low and moderate income, consistent with the purposes of Title I of the Housing and Community Development Act of 1974, as amended.2. Award Information. In Fiscal Year (FY) 2007, approximately $2.9 million has been made available for this program by the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15, 2007) and an additional $36,048 in carryover funds. An applicant can request up to $800,000 for a three-year (36 months) grant performance period.3. Eligible Applicants. Nonprofit Alaska Native and Native Hawaiian Institutions of Higher Education that meet the definitions of Alaska Native and Native Hawaiian Institutions of Higher Education established in Title III, Part A, Section 317 of the Higher Education Act of 1965, as amended by the Higher Education Amendments of 1998 (Pub. L. 105-244; enacted October 7, 1998). Institutions are not required to be on the list of eligible AN/NHIs prepared by the U.S. Department of Education. However, an institution that is not on the list is required to provide a statement in the application that the institution meets the U.S. Department of Education's statutory definition of an AN/NHI institution. In order to meet the definition of an Alaska Native Institution, at least 20 percent of the undergraduate headcount enrollment must be Alaska Native students. If an applicant is a Native Hawaiian institution, at least 10 percent of the undergraduate headcount enrollment must be Native Hawaiian students in order to meet this definition. In addition, all applicants must be a two-or four-year institution, fully accredited by a national or regional accrediting agency recognized by the U.S. Department of Education. If an applicant is one of several campuses of the same institution, the applicant may apply separately from the other campuses as long as the campus has a separate DUNS number, administrative structure and budget, and meets the enrollment requirements outlined above.Full Text of AnnouncementI. Funding Opportunity DescriptionThe 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. AuthorityHUD'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. ModificationsListed 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 InformationIn 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 InformationA. Eligible ApplicantsNonprofit Alaska Native and Native Hawaiian Institutions of Higher Education that meet the definitions of Alaska Native and Native Hawaiian Institutions of Higher Education established in Title III, Part A, Section 317 of the Higher Education Act of 1965, as amended by the Higher Education Amendments of 1998 (Pub. L. 105-244; enacted October 7, 1998). Institutions are not required to be on the list of eligible AN/NHIs prepared by the U.S. Department of Education. However, an institution that is not on the list is required to provide a statement in the application that the institution meets the U.S. Department of Education's statutory definition of an AN/NHI institution. In order to meet the definition of an Alaska Native Institution, at least 20 percent of the[[Page 11489]]undergraduate headcount enrollment must be Alaska Native students. If an applicant is a Native Hawaiian institution, at least 10 percent of the undergraduate headcount enrollment must be Native Hawaiian students in order to meet this definition. In addition, all applicants must be a two-or four-year institution, fully accredited by a national or regional accrediting agency recognized by the U.S. Department of Education. If an applicant is one of several campuses of the same institution, the applicant may apply separately from the other campuses as long as the campus has a separate DUNS number, administrative structure and budget, and meets the enrollment requirements outlined above.B. Cost Sharing or MatchingNone required.C. Other1. Eligible Activities: Eligible activities are listed in 24 CFR Part 570, subpart C, particularly Sec. 570.201 through Sec. 570.206. Information regarding these activities can be found at: http://www.hudclips.org (click on the Code of Federal Regulations for detailed information).Eligible activities include, but are not limited to:a. Acquisition of real property;b. Clearance and demolition;c. Rehabilitation of residential structures and compliance with the accessibility requirements contained in Section 504 of the Rehabilitation Act of 1973;d. Acquisition, construction, reconstruction, rehabilitation, or installation of public facilities and improvements, such as water and sewer facilities and streets; including lead-based paint hazard evaluation and reduction and compliance with the accessibility requirements contained in Section 504 of the Rehabilitation Act of 1973 and Americans with Disabilities Act of 1990;e. Direct homeownership assistance to low- and moderate-income persons, as provided in section 105(a) (25) of the Housing and Community Development Act of 1974;f. Special economic development activities described at 24 CFR 570.203 and assistance to facilitate economic development by providing technical or financial assistance for the establishment, stabilization, and expansion of microenterprises, including minority enterprises;g. Assistance to community-based development organizations (CBDO) to carry out neighborhood revitalization, community economic development, or energy conservation projects, in accordance with 24 CFR 570.204. This could include activities in support of a HUD-approved local entitlement grantee, CDBG Neighborhood Revitalization Strategy (NRS) or HUD-approved State CDBG Community Revitalization Strategy (CRS);h. Public service activities such as general support activities that can help to stabilize a neighborhood and contribute to sustainable redevelopment of the area, including but not limited to such activities as those concerned with employment, crime prevention, child care, health care services, drug abuse, education, housing counseling, energy conservation, homebuyer down payment assistance, establishing and maintaining Neighborhood Network centers in federally assisted or insured housing, job training and placement and recreational needs;i. Fair housing services designed to further the civil rights objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all persons, without regard to race, color, religion, sex, national origin, familial status, and/or disability aware of the range of housing opportunities available to them;j. Up to 20 percent of the grant may be used for payments of reasonable grant administrative costs related to planning and execution of the project (e.g., preparation/submission of HUD reports, etc.). Detailed explanations of these costs are provided in the OMB circulars that can be accessed at the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html; andEach 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.Ab. The applicant may request up to $800,000.c. An applicant must have a separate DUNS number to receive HUD grant funds (See the General Section). Only one application can be submitted per campus. If multiple applications are submitted, all will be disqualified. However, different campuses of the same university system are eligible to apply as long as they have a separate DUNS number and an administrative and budgeting structure independent of the other campuses in the system.d. Institutions that received grants in FY2006 are not eligible to submit an application under this NOFA.e. Applicants must receive a minimum score of 75 points to be considered for funding.f. Electronic applications must be received and validated by Grants.gov no later than 11:59:59 p.m. eastern time on the application deadline date.3. Program Requirements. In addition to the program requirements listed in Section III.C of the General Section, applicants must meet the following program requirements:a. All funds awarded are for a three-year (36 months) grant performance period.b. Applicants must ensure that not less than 51 percent of the aggregated expenditures of a grant award are used to benefit low- and moderate-income persons under the criteria specified in 24 CFR 570.208(a) or 570.208(d)(5) or (6).c. Site Control. Where grant funds will be used for acquisition, rehabilitation, or new construction, an applicant must demonstrate site control. Funds may be recaptured or deobligated from recipients that cannot demonstrate control of a suitable site within one year after the initial notification of award.d. Environmental Requirements. Selection for award does not constitute approval of any proposed sites. Following selection for award, HUD will perform an environmental review of properties proposed for assistance in accordance with 24 CFR part 50. The results of the environmental review may require that proposed activities be modified or proposed sites be rejected. Applicants are particularly cautioned not to undertake or commit funds for acquisition or development of proposed[[Page 11490]]properties prior to HUD approval of specific properties or areas. An application constitutes an assurance that the institution will assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select alternate property; and will not acquire, rehabilitate, convert, demolish, lease, repair, or construct property, and not commit or expend HUD or local funds for these program activities with respect to any eligible property until HUD's written approval of the property is received. In supplying HUD with environmental information, applicants should use the same guidance as provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental Review Processing for Rural Housing and Economic Development (RHED) grants'' issued August 30, 2005. The General Section provides further discussion of the environmental requirements. Further information and assistance on HUD's environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf .e. Labor Standards. Institutions and their subgrantees, contractors, and subcontractors must comply with the labor standards (Davis-Bacon) requirements referenced in 24 CFR 570.603.f. Economic Opportunities for Low- and Very-Low Income Persons (Section 3). The provisions of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of the purposes of the assistance is to give, to the greatest extent feasible, and consistent with existing federal, state, and local laws and regulations, job training, employment, contracting and other economic opportunities to Section 3 residents and Section 3 business concerns. Regulations are located at 24 CFR Part 135.IV. Application and Submission InformationA. Address To Request Application PackageApplicants 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 Submission1. Forms. The following forms are required for submission. Copies of these forms are available on line at http://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; and2. Certifications and Assurances. Please read the General Section for detailed information on all Certifications and Assurances. All applications submitted through Grants.gov constitute an acknowledgement and agreement to all required certifications and assurances. Please include in your application each item listed below. Applicants submitting paper copy applications should submit the application in the following order:a. SF-424, Application for Federal Assistance. Please remember the following:(1) The full grant amount requested from HUD (entire three years) should be entered, not the amount for just one year;(2) Include the name, title, address, telephone number, facsimile number, and e-mail address of the designated contact; this is the person who will receive all correspondence; therefore, please ensure the accuracy of the information;(3) The Employer Identification/Tax ID number;(4) The DUNS Number;(5) The Catalog of Federal Domestic Assistance Number for this program is 14.515;(6) The project's proposed start date and completion date. For the purpose of this application, the program start date should be December 1, 2007; and(7) The signature of the Authorized Organization Representative (AOR) who, by virtue of submitting an application via Grants.gov, has been authenticated by the credential provider to submit applications on behalf of the Institution and approved by the eBusiness Point of Contact to submit an application via Grants.gov. The AOR must be able to make a legally binding agreement with HUD.b. Application Checklist. Applicants should use the checklist to ensure that they have all the required components of their application. Applicants submitting an electronic application should not submit the checklist. Applicants that receive a waiver of the electronic application submission requirement must include a copy of the checklist in their application submission. The checklist can be located in Appendix A.c. Abstract. Applicants must include no more than a two-page summary of the proposed project. Please include the following:(1) A clear description of each proposed project activity, where it will take place (be located), the target population that will be assisted, and the impact this project is expected to have on the community and institution;(2) A statement that the institution is an eligible institution because it is a[[Page 11491]]two-or four-year fully accredited institution, the name of the accrediting agency and an assurance that the accrediting agency is recognized by the U.S. Department of Education;(3) A statement that the institution meets the definition of an Alaska Native Institution, or a Native Hawaiian Institution, as appropriate;(4) The designated contact person, including phone number, facsimile number, and e-mail address. (This is the person who will receive all correspondence; therefore, please ensure the accuracy of the information.);(5) The project director, if different from the designated contact person, for the project, including phone number, facsimile number, and e-mail address.d. Narrative statement addressing the Rating Factors. HUD will use the narrative response to the ``Rating Factors'' to evaluate, rate, and rank applications. The narrative statement is the main source of information. Applicants are advised to review each factor carefully for program specific requirements. The response to each factor should be concise and contain only information relevant to the factor, yet detailed enough to address each factor fully. PLEASE DO NOT REPEAT MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are subfactors, each subfactor must be presented separately, with the short title of the subfactor presented. Make sure to address each subfactor and provide sufficient information about every element of the subfactor. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative, assurances, and abstract) and must be submitted on 8\1/2\ by 11-inch paper, double- spaced on one side of the paper, with one inch margins (from the top, bottom and left to right side of the document) and printed in standard Times New Roman 12-point font. Each page of the narrative must include the applicant's name and should be numbered. Note that although submitting pages in excess of the page limit will not disqualify an applicant, HUD will not consider the information on any excess pages. This exclusion may result in a lower score or failure to meet a threshold requirement. All applicants submitting electronic applications must attach their narrative responses to Rating Factors 1- 5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR SEPARATELY. Please follow the instructions on file extension and file names in the General Section.e. Budget. The budget submission must include the following:(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This form shows the total budget by year and by line item for the program activities to be carried out with the proposed HUD grant. Each year of the program should be presented separately. Applicants must also budget for travel cost (airfare, lodging and per diem) for two individuals to attend at least one HUD sponsored AN/NHIAC conference/workshop every year of the three-year grant performance period. To calculate travel expenses, applicants should use Washington, DC as the site of all conferences/workshops. Applicants must also submit this form to reflect the total cost for the entire grant performance period (Grand Total).Make sure that the amounts shown on the SF-424, the HUD-424-CB and on all other required program forms are consistent and the budget totals are correct. Remember to check addition in totaling the categories on all forms so that all items are included in the total. If there is any inconsistency between any of the required budget forms, the HUD-424-CB will be used. All budget forms must be fully completed. If an application is selected for award, the applicant may be required to provide greater specificity to the budget during grant agreement negotiations.(2) Budget Narrative. A narrative must be submitted that explains how the applicant arrived at the cost estimates for any line item over $5,000 cumulative. For example, an applicant proposes to construct a building using HUD funding totaling $200,000. The following costs estimate reflects this total. Foundation cost $75,000, electrical work $40,000, plumbing work $40,000, finishing work $35,000, and landscaping $10,000. The proposed cost estimates should be reasonable for the work to be performed and consistent with rates established for the level of expertise required to perform the work proposed in the geographical area. When necessary, quotes from various vendors or historical data should be used (please make sure they are kept on file and are available for review by HUD at any time). When an applicant proposes to use a consultant, the applicant must indicate whether there is a formal written agreement. For each consultant, please provide the name, if known, hourly or daily rate, and the estimated time on the project. Applicants must use cost estimates based on historical data from the institution and/or from a qualified firm (e.g., Architectural or Engineering firm), vendor, and/or qualified individual (e.g., independent architect or contractor) other than the institution for projects that involve rehabilitation of residential, commercial and/or industrial structures, and/or acquisition, construction, or installation of public facilities, and improvements. Such an entity must be involved in the business of housing rehabilitation, construction, and/or management. Equipment and contracts cannot be presented as a total estimated cost. For equipment, applicants must provide a list by type and cost for each item. Applicants using contracts must provide an individual description and cost estimate for each contract. Construction costs must be broken down to indicate how funds will be utilized (e.g., demolition, foundation, exterior walls, roofing, electrical work, plumbing, finishing work, etc.)(3) Indirect costs. Indirect costs, if applicable, are allowable based on an established approved indirect cost rate. Applicants must have on file, and submit to HUD if selected for award, a copy of their indirect cost rate agreement. Applicants who are selected for funding that do not have an approved indirect cost rate agreement, established by the cognizant federal agency, will be required to establish a rate. In such cases, HUD will issue an award with a provisional rate and assist applicants with the process of establishing a final rate.f. Appendix. Applicants receiving a waiver of the electronic submission requirements and submitting a paper copy of the application must place all required forms in this section. The appendix section of the an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances) An applicant SHOULD NOT submit resumes, commitment letters, memoranda of understanding and/or agreements, or other back-up materials. If this information is included, it will not be considered during the review process. Each page must include the applicant's name and should be numbered. HUD will not consider the information on any excess pages. The additional items will also slow the transmission of your application.C. Submission Dates and TimesA complete application package must be received and validated electronically by the Grants.gov portal no later than 11:59:59 p.m. eastern time on or before the application deadline date. In an effort to address any issues with transmission of your applications, applicants are strongly encouraged to submit their applications at least 48 to 72 hours prior to the application deadline. This will allow an applicant enough time to make the necessary[[Page 11492]]adjustments to meet the submission deadline in the event Grants.gov rejects the application. Please see the General Section for further instructions. Electronic faxes using the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the electronic application must be received no later than 11:59:59 p.m. eastern time on the application deadline date.D. Intergovernmental ReviewThis program is excluded from an Intergovernmental Review.E. Funding RestrictionsIneligible 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; and6. Construction, renovation, expansion of an institution's own facilities.F. Other Submission Requirements1. 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 InformationA. Criteria1. Rating Factor 1: Capacity of the Applicant and Relevant Experience (25 Points)This factor addresses the extent to which the applicant has the resources necessary to successfully implement the proposed project in a timely manner.a. Knowledge and Experience. For First Time Applicants (25 Points) For Previously Funded Applicants (13 Points). In rating this subfactor, HUD will consider the extent to which the applicant clearly addresses the following:(1) Describe the knowledge and experience of the proposed project director and staff, including the day-to-day program manager/ coordinator, consultants (including technical assistance providers), and contractors in planning and managing the type of project for which funding is being requested; and(2) Clearly identify the following: key project team members, titles (e.g., project manager/coordinator, etc.), respective roles for the project staff, and a brief description of their relevant experience.If key personnel have not been hired, applicants must identify the position title, provide a description of duties and responsibilities, and describe the qualifications to be considered in the selection of personnel, including subcontractors and consultants.Experience will be judged in terms of recent and relevant knowledge and skills of the staff to undertake eligible program activities. HUD will consider experience within the last five (5) years to be recent and experience pertaining to similar activities to be relevant.b. Past Performance (12 Points) For Previously Funded Applicants Only. This subfactor will evaluate how well an applicant has performed successfully under HUD/AN/NHIAC grants. Applicants must demonstrate this by addressing the following information for all previously completed and open HUD/AN/NHIAC grants:(1) A list of all HUD/AN/NHIAC grants received, including the dollar amount awarded and the amount expended and obligated as of the date of this application;(2) A description of the achievement of specific tasks, measurable objectives, and specific outcomes consistent with the approved project management plan;(3) A list detailing the date the project(s) was completed, was it completed in the original three-year grant performance period; if not completed, why (including when it was or will be completed);(4) A comparison of the amount of proposed leveraged funds and/or resources to the amount that was actually leveraged; and(5) A detailed description of compliance with all reporting requirements, including timeliness of submission, whether reports were complete and addressed all information (both narrative and financial) as required by the grant agreement.HUD will also review an applicant's past performance in managing funds, including, but not limited to: The ability to account for funding appropriately; timely use of funds received from HUD; meeting performance targets for completion of activities. In evaluating past performance, HUD reserves the right to deduct up to five (5) points from this rating score as a result of the information obtained from HUD's records (i.e., progress and financial reports, monitoring reports, Logic Model submissions, and amendments). 2. Rating Factor 2: Need/Extent of the Problem (10 Points)This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the importance of meeting the need(s) in the target area. The need(s) described must be relevant to the activities for which funds are being requested. In addressing this factor, applicants should provide, at a minimum, the following and must cite statistics and/or analyses contained in at least one or more current data sources that are sound and reliable.(1) Describe the need(s); and(2) Describe the importance of meeting the proposed needs.In rating this factor, HUD will consider only current data that is specific to the area where the proposed project activities will be carried out. Sources for localized data can be found at: http://www.ffiec.gov.HUD will consider data collected within the last five (5) years to be current. To the extent that the targeted community's Five (5) Year Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI) identify the level of the problem and the urgency in meeting the need, applicants should include references to these documents in the response to this factor.Other reliable data sources include, but are not limited to, Census reports, HUD Continuum of Care gap analysis and its E-MAP (http://www.hud.gov/emaps ), law enforcement agency crime reports, Public Housing Agencies' Comprehensive Plans, community[[Page 11493]]needs analyses such as provided by the United Way, the applicant's institution, and other sound, reliable and appropriate sources. Needs in terms of fulfilling court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements may also be addressed. 3. Rating Factor 3: Soundness of Approach (44 Points)This factor addresses the quality and effectiveness of the proposed work plan and the commitment of the institution to sustain the proposed project activities.a. (37 Points) Quality of the Work Plan. This subfactor will be evaluated on the extent to which an applicant provides a clear detailed description of the proposed project activities, anticipated accomplishments and the impact they will have on the target population at the end of the project.(1) (32 Points) Specific Activities. The work plan must describe all proposed project activities and major tasks required to successfully implement them. The work plan must also identify the anticipated accomplishment and impact these activities will have on the target population. In addressing this subfactor applicants must provide a clear description of each proposed activity and address the following:(a) Describe each proposed project activity in measurable terms (e.g., the number of homes that will be renovated, the number of jobs created, etc.);(b) List and describe how each activity meets one of the following Community Development Block Grant (CDBG) Program national objectives:Benefit low- and moderate-income person;Aid in the prevention or elimination of slums or blight; orMeet 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 governmentsPublic Housing AgenciesLocal or national nonprofit organizationsFinancial institutions and/or private businessesFoundationsFaith-based and other community-based organizations.To address this factor, an applicant must provide an outline in the application and have the original commitment letters, memoranda of[[Page 11494]]understanding and/or agreements that show the extent and firm commitment of all proposed leveraged resources (including any commitment of resources from the applicant's own institution) that address the following information for each leveraged resource/fund on file at the time of application submission:(1) The name of the organization and the executive officer authorizing the funds/goods and/or services (only applicable to the narrative section);(2) The cash amount contributed or dollar value of the in-kind goods and/or services committed (If a dollar amount and its use is not shown, the value of the contribution will not be scored for award);(3) A specific description of how each contribution is to be used toward the proposed activities;(4) A description of the current and/or past working relationship that the institution has with the organization contributing the resources and the involvement they will have with this proposed project.(5) The date the contribution will be made available and a statement that describes the duration of the contribution;(6) Any terms or conditions affecting the commitment, other than receipt of a HUD Grant; and(7) The signature of the appropriate executive officer authorized to commit the funds and/or goods and/or services. (Only applicable to the written documentation) Please remember that only items eligible for funding under this program can be counted.Do not submit commitment letters, memoranda of understanding and/or agreements at the time of application submission but have the originals on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to proceed to the next step in the selection process for award will be required to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven (7) calendar days after initial contact from the Office of University Partnerships (OUP). Letters, memoranda of understanding, or agreements must be submitted on the provider's letterhead and should be addressed to Sherone Ivey, Associate Deputy Assistant Secretary for University Partnerships. The date of the letter, memorandum of understanding, or agreement from the CEO of the provider organization must be dated no earlier than nine months prior to this published NOFA. OUP will provide specific instructions on how these documents must be submitted when contact is made with the applicant. HUD will only request and consider the resources/organizations that are listed in the outline submitted in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.In scoring this factor, HUD will award:Nine (9) points to an applicant that provides properly documented leveraging resources as listed in their application that are 15 percent or more of the amount requested under this program;Seven (7) to eight (8) points to applicants that provide documentation that includes at least five of the seven required items outlined above and that represents 10 to 14 percent of the amount requested under this program;Five (5) to six (6) points to applicants that provide documentation that includes at least four of the seven required items outlined above and that represents 10 to 14 percent of the amount requested under this program;Three (3) to four (4) points to applicants that provide documentation that includes at least five of the seven required items outlined above and that represents 5 to 9 percent of the amount requested under this program;One (1) to two (2) points to applicants that provide documentation that includes at least three of the seven required items outlined above and that represents 5 to 9 percent of the amount requested under this program; andZero (0) points to applicants that provide documentation of leveraging resources as listed above that are less than 5 percent of the amount requested. 5. Rating Factor 5: Achieving Results and Program Evaluation (12 Points)This factor reflects HUD's goal to embrace high standards of management and accountability. It measures the applicant's commitment to assess their performance to achieve the program's proposed objectives and goals. Applicants are required to develop an effective, quantifiable, outcome oriented evaluation plan for measuring performance and determining that objectives and goals have been achieved by using the Logic Model. The Logic Model is a summary of the narrative statements presented in Factors 1-4. Therefore, the information submitted on the Logic Model should be consistent with the information contained in the narrative statements.``Outcomes'' are benefits accruing to institutions of higher education and/or communities during or after participation in the AN/ NHIAC program. Applicants must clearly identify the outcomes to be measured and achieved. Examples of outcomes include increased community development in the target community by a certain percentage, increased employment opportunities in the target community by a certain percentage, increased incomes/wages or other assets for persons trained, and or enhanced family stability through the creation of affordable housing opportunities.In addition, applicants must establish interim benchmarks and outputs that lead to the ultimate achievement of outcomes. ``Outputs'' are the direct products of the program's activities. Examples of outputs are the number of new affordable housing units, the number of homes that have been renovated, and the number of facilities that have been constructed or rehabilitated. Outputs should produce outcomes for the program. At a minimum, an applicant must address the following activities in the evaluation plan:a. Measurable outputs to be accomplished (e.g., the number of persons to be trained and employed; houses to be built pursuant to 24 CFR 570.207 or rehabilitated; minority-owned businesses to be started);b. Measurable outcomes the grant will have on the community in general and the target area or population; andc. 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 Process1. Application Selection ProcessTwo types of reviews will be conducted:a. A threshold review to determine an applicant's basic eligibility; andb. A technical review for all applications that pass the threshold review to rate and rank the application[[Page 11495]]based on the ``Rating Factors'' listed in Section V.A.Only those applications that pass the threshold review will receive a technical review and be rated and ranked. 2. Rating PanelsTo review and rate applications, HUD may establish panels, which may include experts or consultants not currently employed by HUD to obtain certain expertise. 3. RankingHUD 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 ApplicationsSee the General Section.C. Anticipated Announcement and Award DatesAnnouncements of awards are anticipated on or before September 30, 2007.VI. Award Administration InformationA. Award NoticesAfter 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 RequirementsRefer 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 Government-wide Regulations Applicable to Financial Assistance Programs. The General Section provides further discussion.4. Executive Order 13202, Preservation of Open Competition and Government Neutrality Towards Government Contractors Labor Relations on Federal and Federally Funded Construction Projects. See the General Section for further discussion.5. Procurement of Recovered Materials. See Section the General Section for further discussion.6. Executive Order 13166, Improving Access to Services For Persons With Limited English Proficiency (LEP). See the General Section for further discussion.7. Code of Conduct. See the General Section for further discussion.C. ReportingAll 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 ContactsApplicants 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 ActThe 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/NHIACThis checklist identifies application submission requirements. Applicants are requested to use this checklist when preparing an application to ensure submission of all required elements. Applicants submitting an electronic application do not have to submit the checklist. Applicants that receive a waiver of the electronic application submission requirement should include a copy of the checklist in their application.Check off to ensure these items have been included in the application:[[Page 11496]]----SF-424 ``Application for Federal Assistance''----Application Checklist (Applicants that submit paper applications must include the checklist in their applications)----Abstract (must include no more than a two-page summary of the proposed project)Indicate the page number where each of the ----Factors is located:----Narrative Statement Addressing the Rating Factors. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative and abstract). This information must be submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the paper, with one-inch margins (from the top, bottom, left, and right sides of the documents) and printed in standard Times New-Roman 12- point font. [Applicants that submit applications via Grants.gov should review the General Section for information about file names and extensions.File names should not contain spaces or special characters.----Factor I----Factor II----Factor III----Factor IV----Factor V---- HUD-96010 ``Logic Model''Check off to ensure these items have been included in the application:----Appendix. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances).----Budget----HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed Budget Form'' on Grants.gov)----Budget Narrative (No form provided, but must be submitted for the total three-year grant period)Appendix B (All Required Forms)The following forms are required for submission. All required forms are contained in the electronic application package.----Application for Federal Assistance (SF-424)----Supplement, Survey on Ensuring Equal Opportunities for Applicants (SF-424 Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)----Disclosure of Lobbying Activities (SF-LLL)----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300) (``HUD Communities Initiative Form'' on Grants.gov), if applicable----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD Applicant Recipient Disclosure Report'' on Grants.gov)----Acknowledgement of Applicant Receipt (Only applicants who submit paper applications (HUD-2993)----You Are Our Client Grant Applicant Survey (HUD-2994-A)----Third Party Documentation Facsimile Transmittal (HUD-96011) (``Facsimile Transmittal Form'' on Grants.gov), if applicable----Logic Model (HUD-96010)[[Page 11497]][GRAPHIC] [TIFF OMITTED] TN13MR07.009[[Page 11498]]Tribal Colleges and Universities ProgramOverview InformationA. 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 AnnouncementI. Funding Opportunity DescriptionThe 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. AuthorityHUD'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. ModificationsListed below are major modifications from the Fiscal Year (FY) 2006 program-funding announcement.1. Commitment letters, memoranda of understanding and/or agreements are not required to be submitted with the application, but the originals must be on file at the time of application submission. HUD will require applicants chosen to proceed to the next step in the selection process to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven (7) calendar days after initial contact from the Office of University Partnerships (OUP). OUP will provide specific instructions on how these documents must be submitted at that time. HUD will only request and consider the resources/organizations outlined in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.2. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances). An applicant SHOULD NOT submit resumes, commitment letters, memoranda of understanding and/or agreements, or other back-up material. Each page must include the applicant's name and should be numbered. HUD will not consider the information on any excess page.3. Applicants must budget for travel costs to attend at least one HUD sponsored TCUP conference/workshop every year of the three-year grant performance period.II. Award InformationIn 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 InformationA. Eligible ApplicantsTribal 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 MatchingNone Required.C. Other1. Eligible Activities. Eligible activities include building, expanding, renovating, and equipping facilities owned by the institution (a long-term lease for five years or more in duration is considered an acceptable form of ownership under this program). Buildings for which TCUP funding is used that also serve the community are eligible; however, the facilities must be predominantly (at least 51 percent of the time) for the use of the institution (e.g., students, faculty, and staff). In addition, public services and program delivery activities for the community such as health programs, job training and economic development are eligible activities. Examples of eligible activities include, but are not limited to:a. Building a new facility (e.g., classrooms, administrative offices, health and cultural centers, gymnasium, technology centers, etc.);b. Renovating an existing or acquired facility;c. Expanding an existing or acquired facility;[[Page 11499]]d. Equipping university facilities (e.g., lab equipment, library books, furniture, etc.);e. Property acquisition;f. Health screening;g. Homeownership counseling/training;h. Technical assistance to establish, expand or stabilize micro- enterprises;i. Crime, alcohol and/or drug-abuse prevention activities;j. Youth leadership development programs/activities;k. Tutoring/mentoring programs;l. Child care/development programs;m. Cultural activities/programs; andn. Up to 20 percent of the grant may be used for payments of reasonable grant administrative costs related to planning and execution of the project (e.g., preparation/submission of HUD reports, etc.). A detailed explanation of these costs is provided in the OMB circulars that can be accessed at the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html .Each activity proposed for funding must meet at least one of the Community Development Block Grant (CDBG) Program national objectives as described in Rating Factor 3 in Section V.A.3 of this NOFA.Criteria for determining whether an activity addresses one or more objectives are provided at 24 CFR 570.208. The CDBG publication entitled ``Community Development Block Grant Program Guide to National Objectives and Eligible Activities for Entitlement Communities'' describes the CDBG regulations, and a copy can be obtained from HUD's NOFA Information Center at 800-HUD-8929. Individuals with hearing or speech impairments may access this number via the toll-free Federal Information Relay Service at 800-877-8339.2. Threshold Requirements Applicable to All Applicants. All applicants must comply with the threshold requirements as defined in the General Section and the requirements listed below. Applications that do not meet these requirements will be considered ineligible for funding and will be disqualified.a. The applicant must meet the eligibility requirements as defined in Section III.A.b. The applicant may request up to $600,000.c. An applicant must have a separate DUNS number to receive HUD grant funds (See General Section). Only one application can be submitted per campus. If multiple applications are submitted, all will be disqualified. However, different campuses of the same university system are eligible to apply as long as they have a separate DUNS number and an administrative and budgeting structure independent of the other campuses in the system.d. Institutions that received grants in FY2006 are not eligible to apply under this NOFA.e. Applicants must receive a minimum score of 75 points to be considered for funding.f. Electronic applications must be received and validated by Grants.gov no later than 11:59:59 p.m. eastern time on the application deadline date.3. Program Requirements. In addition to the standard requirements listed in Section III.C. of the General Section, applicants must meet the following program requirements:a. All funds awarded are for a three-year (36 months) grant performance period.b. While community-wide use of a facility (that is purchased, equipped, leased, renovated or built) is permissible under this program, the facility must be predominantly for the use of the institution (i.e., it must be used by the staff, faculty, and/or students at least 51 percent of the time).c. If a TCU is a part or instrumentality of a federally recognized tribe, the applicant must comply with the Indian Civil Rights Act (25 U.S.C. 1301 et seq.) and all other applicable civil rights statutes and authorities as set forth in 24 CFR 1000.12. If the TCU is not a part or instrumentality of a federally recognized tribe the applicant must comply with the Fair Housing Act (42 U.S.C. 3601-19) and implementing regulations at 24 CFR part 100 et seq., Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-2000d-4) (Nondiscrimination in Federally Assisted Programs) and implementing regulations at 24 CFR part 1, Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794) and implementing regulation at 24 CFR Part 8, and Section 109 of Title One of the Housing and Community Development Act of 1974 (HCDA), as amended, with respect to nondiscrimination on the basis of age, sex, religion, or disability and implementing regulations at 24 CFR part 6.d. Labor Standards. Institutions and their subgrantees, contractors and subcontractors must comply with the labor standards (Davis-Bacon) requirements referenced in 24 CFR 570.603. However, in accordance with HCDA section 107(e)(2), the Secretary waives the provisions of HCDA section 110 with respect to the TCUP program for grants to a TCU that is part of a tribe, i.e., a TCU that is legally a department or other part of a tribal government, but not a TCU that is established under tribal law as an entity separate from the tribal government. If a TCU is not part of a tribe, the labor standards of HCDA section 110, as referenced in 24 CFR 570.603, apply to activities under the grant to the TCU.e. Environmental Requirements. Selection for award does not constitute approval of any proposed sites. Following selection for award, HUD will perform an environmental review of activities proposed for assistance in accordance with 24 CFR part 50. The results of the environmental review may require that proposed activities be modified or proposed sites be rejected. Applicants are particularly cautioned not to undertake or commit funds for acquisition or development of proposed properties prior to HUD approval of specific properties or areas. An application constitutes an assurance that the institution will assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select alternate property; and will not acquire, rehabilitate, convert, demolish, lease, repair, or construct property and not commit or expend HUD or local funds for these program activities with respect to any eligible property until HUD's written approval of the property is received. In supplying HUD with environmental information, applicants should use the same guidance as provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental Review Processing for Rural Housing and Economic Development (RHED) grants'' issued August 30, 2005. The General Section provides further discussion of the environmental requirements. Further information and assistance on HUD's environmental requirements is available at: http://www.hud.gov/offices/cpd/environment/index.cfm .f. Site Control. Where grant funds will be used for acquisition, rehabilitation, or new construction, an applicant must demonstrate site control. Funds may be recaptured or deobligated from recipients that cannot demonstrate control of a suitable site within one year after the initial notification of award.g. Economic Opportunities for Low- and Very-Low Income Persons (Section 3). The provisions of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of the purposes of the assistance is to give, to the greatest extent feasible, and consistent with existing federal, state, and local laws and regulations, job training,[[Page 11500]]employment, contracting and other economic opportunities to Section 3 residents and Section 3 business concerns. Regulations are located at 24 CFR part 135.IV. Application and Submission InformationA. Address To Request Application PackageApplicants 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 Submission1. 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; and2. Certifications and Assurances. Please read the General Section for detailed information on all the Certifications and Assurances. All applications submitted through Grants.gov constitute an acknowledgement and agreement to all required certifications and assurances. Please include in your application each item listed below. Applicants submitting paper copy applications should submit the application in the following order:a. SF-424, Application for Federal Assistance. Please remember the following:(1) The full grant amount requested from HUD (entire three-years) should be entered, not the amount for just one year;(2) Include the name, title, address, telephone number, facsimile number, and e-mail address of the designated contact. This person will receive all correspondence from HUD; therefore, please ensure the accuracy of the information;(3) The Employer Identification/Tax ID number;(4) The DUNS Number;(5) The Catalog of Federal Domestic Assistance Number for this program is 14.519;(6) The project's proposed start and completion dates. For the purpose of this application the program start date should be December 1, 2007; and(7) The signature of the Authorized Organization Representative (AOR) who, by virtue of submitting an application via Grants.gov, has been authenticated by the credential provider to submit applications on behalf of the Institution and approved by the eBusiness Point of Contact to submit an application via Grants.gov. The AOR must be able to make a legally binding agreement with HUD.b. Application Checklist. Applicants should use the checklist to ensure that they have all the required components of their application. Applicants submitting an electronic application should not submit the checklist in their application. Applicants receiving a waiver of the electronic application submission requirement should include a copy of the checklist in their application submission. The checklist is located in Appendix A.c. Abstract. Applicants must include no more than a two-page summary of the proposed project. Please include the following:(1) A clear description of each proposed project activity, where it will take place (be located), the target population that will be assisted, and the impact this project is expected to have on the institution;(2) A statement that the institution is an eligible institution because it is a two- or four-year fully accredited institution, the name of the accrediting agency and an assurance that the accrediting agency is recognized by the U.S. Department of Education; or the applicant is a candidate for accreditation by a regional instructional accrediting association recognized by the U.S. Department of Education, including the name of the accrediting agency;(3) The designated contact person, including phone number, facsimile number, and e-mail address (This is the person who will receive all correspondence from HUD; therefore, please ensure the accuracy of the information);(4) The project director, if different from the designated contact person for the project, including phone number, facsimile number, and e-mail address.d. Narrative statement addressing the Rating Factors. HUD will use the narrative response to the ``Rating Factors'' to evaluate, rate, and rank applications. The narrative statement is the main source of information. Applicants are advised to review each factor carefully for program specific requirements. The response to each factor should be concise and contain only information relevant to the factor, yet detailed enough to address the factor fully. PLEASE DO NOT REPEAT MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are subfactors, each subfactor must be presented separately, with the short title of the subfactor presented. Make sure to address each subfactor and provide sufficient information about every element of the subfactor. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative, assurances, and[[Page 11501]]abstract) and must be submitted on 8\1/2\ by 11-inch paper, double- spaced on one side of the paper, with one inch margins (from the top, bottom and left to right side of the document) and printed in standard Times New Roman 12-point font. Each page of the narrative must include the institution's name and should be numbered. Note that although submitting pages in excess of the page limit will not disqualify an applicant, HUD will not consider the information on any excess pages. This exclusion may result in a lower score or failure to meet a threshold requirement. All applicants submitting electronic applications must attach their narrative responses to Rating Factors 1- 5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR SEPARATELY. Please follow the instructions on file extension and file names in the General Section.e. Budget. The budget submission must include the following:(1) HUD-424-CB, ``HUD Detailed Budget.'' This form shows the total budget by year and by line item for the program activities to be carried out with the proposed HUD grant. Each year of the program should be presented separately. Applicants must also budget for travel cost (airfare, lodging and per diem) for two individuals to attend at least one HUD sponsored TCUP conference/workshop every year of the three-year grant performance period. To calculate travel expenses, applicants should use Washington, DC as the site of all conference/ workshop. Applicants must also submit this form to reflect the total cost for the entire grant performance period (Grand Total).Make sure that the amounts shown on the SF-424, HUD-424-CB, and all other required program forms are consistent and the budget totals are correct. Remember to check the addition in totaling the categories on all forms so that all items are included in the total. If there is any inconsistency between any of the required budget forms, the HUD-424-CB will be used. All budget forms must be fully completed. If an application is selected for award, the applicant may be required to provide greater specificity to the budget during grant agreement negotiations.(2) Budget Narrative. Applicants must submit a narrative that explains how the applicant arrived at the cost estimates for any line item over $5,000 cumulative. For example, an applicant proposes to construct an addition to an existing building, which will cost approximately $200,000. The following cost estimate reflects this total: Foundation cost $75,000, electrical work $40,000, plumbing work $40,000, interior finishing work $35,000 and landscaping $10,000. The proposed cost estimates should be reasonable for the work to be performed and consistent with rates established for the level of expertise required to perform the work proposed in the geographical area. When necessary, quotes from various vendors or historical data should be used (please make sure they are kept on file and are available for review by HUD at any time). All direct labor or salaries must be supported with mandated city/state pay scales, Davis-Bacon wage rates/tribally designated wage rate (as appropriate) or other documentation. When an applicant proposes to use a consultant, the applicant must indicate whether there is a formal written agreement. For each consultant, please provide the name, if known, hourly or daily fee, and the estimated time on the project. Applicants must use cost estimates based on historical data from the institution and/or from a qualified firm (e.g., Architectural or Engineering firm), vendor and/or qualified individual (e.g., independent architect or contractor) other than the institution for projects that involve rehabilitation of residential, commercial and/or industrial structures, and/or acquisition, construction, or installation of public facilities and improvements. Such an entity must be involved in the business of rehabilitation, construction, and/or management. Equipment and contracts cannot be presented as a total estimated figure. For equipment, applicants must provide a list by type and cost for each item. Applicants using contracts must provide an individual description and cost estimate for each contract. Construction costs must be broken down to indicate how funds will be utilized (e.g., demolition, foundation, exterior walls, roofing, electrical work, plumbing, finishing work, etc.).(3) Indirect costs. Indirect costs, if applicable, are allowable based on an established approved indirect cost rate. Applicants must have on file, and submit to HUD if selected for award, a copy of their indirect cost rate agreement. Applicants who are selected for funding that do not have an approved indirect cost rate agreement, established by the cognizant federal agency, will be required to establish a rate. In such cases, HUD will issue an award with a provisional rate and assist applicants with the process of establishing a final rate.f. Appendix. Applicants receiving a waiver of the electronic submission requirements and submitting a paper copy of the application must place all required forms in this section. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances). An applicant SHOULD NOT submit resumes, commitment letters, memoranda of understanding and/or agreements, or other back-up materials. If this information is included, it will not be considered during the review process. Each page must include the applicant's name and should be numbered. HUD will not consider the information on any excess pages. The additional items will also slow the transmission of your application.C. Submission Dates and TimesA 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 ReviewThis program is excluded for an Intergovernmental Review.E. Funding RestrictionsIneligible 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); and5. Curriculum development and/or expansion on an institution's existing curriculum.[[Page 11502]]F. Other Submission Requirements1. 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 InformationA. Criteria1. Rating Factor 1: Capacity of the Applicant and Relevant Experience (25 points). This factor addresses the extent to which the applicant has the resources necessary to successfully implement the proposed activities in a timely manner.a. Knowledge and Experience. For First Time Applicants (25 points), For Previously Funded Applicants (15 points). In rating this subfactor, HUD will consider the extent to which the applicant clearly addresses the following:(1) Describe the knowledge and experience of the proposed project director and staff, including the day-to-day program manager/ coordinator, consultants (including technical assistance providers), and contractors in planning and managing the type of project for which funding is being requested; and(2) Clearly identify the following: key project team members, titles (e.g., project manager/coordinator, etc.), respective roles for the project staff, and a brief description of their relevant experience.If key personnel have not been hired, applicants must identify the position title, provide a description of duties and responsibilities, and describe the qualifications to be considered in the selection of personnel, including subcontractors and consultants.Experience will be judged in terms of recent and relevant knowledge and skills of the staff to undertake eligible program activities. HUD will consider experience within the last five (5) years to be recent and experience pertaining to similar activities to be relevant.b. Past Performance (10 points) For Previously Funded Grant Applicants Only. This subfactor will evaluate how well an applicant has performed successfully under HUD/TCUP grants. Applicants must demonstrate this by addressing the following information for all previously completed and open HUD/TCUP grants:(1) A list of all HUD/TCUP grants received, including the dollar amount awarded and the amount expended and obligated as of the date of this application;(2) A description of the achievement of specific tasks, measurable objectives, and specific outcomes consistent with the approved project management plan;(3) A list detailing the date the project(s) was completed, was it completed in the original three-year grant performance period; if not completed, why (including when it was or will be completed);(4) A comparison of the amount of proposed leveraged funds and/or resources to the amount that was actually leveraged; and(5) A detailed description of compliance with all reporting requirements, including timeliness of submission, whether reports were complete and addressed all information (both narrative and financial) as required by the grant agreement.HUD will also review an applicant's past performance in managing funds, including, but not limited to: the ability to account for funding appropriately; timely use of funds received from HUD; meeting performance targets for completion of activities. In evaluating past performance, HUD reserves the right to deduct up to five (5) points from this rating score as a result of the information obtained from HUD's records (i.e., progress and financial reports, monitoring reports, Logic Model submission, and amendments).2. Rating Factor 2: Need/Extent of the Problem (10 points). This factor addresses the extent to which there is a need for funding the proposed project activities and an indication of the importance of meeting the need(s). The need(s) described must be relevant to activities for which funds are being requested. In addressing this factor, applicants should provide, at a minimum, the following and must cite statistics and/or analyses contained in at least one or more current data sources that are sound and reliable.(1) Describe the need(s); and(2) Describe the importance of meeting the proposed needs.In rating this factor, HUD will consider only current data that is specific to the area where the proposed project activities will be carried out. Reliable sources of data may include information that describes the need, such as a need to have a building renovated because it is 50 years old and is deteriorating; a new computer lab has been built, but the computers are obsolete; a library has been expanded, but the books are outdated, local/Tribal crime statistics, Indian Housing Plans, etc. When presenting data, include the source and date of the information.3. Rating Factor 3: Soundness of Approach (44 points). This factor addresses the quality and effectiveness of the proposed work plan and the commitment of the institution to sustain the proposed project activities.a. (40 Points) Quality of Work Plan. HUD will evaluate this subfactor based on the extent to which an applicant provides a clear detailed description of the proposed project activities, anticipated accomplishments and the impact they will have on the target population at the end of the project.(1) (35 points) Specific Activities. The work plan must describe all proposed project activities and major tasks required to successfully implement them. The work plan must also identify the anticipated accomplishments and impact these activities will have on the targeted population. In addressing this subfactor, applicants must provide a clear description of each proposed project activity and address the following:(a) Describe each proposed project activity in measurable terms (e.g., fifty or more students will be receiving computer literacy training, the number of new classes that will be taught as a result of building a new structure);(b) Identify the major tasks in sequential order necessary to successfully implement and complete each proposed project activity. Include the target completion dates for the tasks (6 month intervals, up to 36 months);(c) List and describe how each activity meets one of the following Community Development Block Grant (CDBG) Program national objectives:Benefit low- and moderate-income persons;Aid in the prevention or elimination of slums or blight; orMeet other community development needs having a particular[[Page 11503]]urgency because existing conditions pose a serious and immediate threat to the health and welfare of the community, and other financial resources are not available to meet such needs.Criteria for determining whether an activity addresses one or more objective are provided at 24 CFR 570.208;(d) Describe the measurable objectives/outcomes that will be realized as a result of implementing the proposed project; and(e) Identify the key staff, as described in Factor 1, who will be responsible for completing each task.(2) (5 points) Describe clearly how each proposed project activity will:(a) Address the needs identified in Factor 2; and(b) Relate to and not duplicate other activities in the target area.b. (2 points) Involvement of the Faculty and Students. The applicant must describe how it proposes to integrate the institution's students and faculty into the proposed project activities.c. (2 points) HUD Policy Priorities. As described in the General Section, to earn points under this subfactor, HUD requires applicants to undertake specific activities that will assist the Department in implementing its policy priorities and that help the Department achieve its goals and objectives in FY 2008, when the majority of grant recipients will be reporting programmatic results and achievement. In addressing this subfactor, HUD will evaluate the extent to which a program will further and support HUD priorities. The quality of the responses provided to one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority is addressed. Applicants that just list a priority will receive no points.The total number of points an applicant can receive under this subfactor is two . Each policy priority addressed has a point value of one point, with the exception of the policy priority related to removal of regulatory barriers to affordable housing, which has a value of up to two points. To receive these two (2) points, an applicant must: (1) Complete either Part A or Part B (not both), (2) include appropriate documentation, (3) identify a point of contact, (4) indicate how this priority will be addressed, and (5) submit the completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers'' found in the General Section along with required documentation. It is up to the applicant to determine which of the policy priorities they elect to address to receive the available two (2) points.4. Rating Factor 4: Leveraging Resources (9 points). This factor addresses the ability of the applicant to secure resources that can be combined with HUD's grant funds to achieve the program's purpose.HUD will consider the extent to which the applicant established partnerships with other entities to secure additional resources to increase the effectiveness of the proposed program activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated for the purpose(s) of the proposed project. Resources can be provided by governmental entities (e.g., Tribal, federal, and/or state governments), public or private nonprofit organizations, for-profit private organizations, or other entities. Overhead and other institutional costs (e.g., salaries, indirect costs) that the institution has waived can be counted. Examples of potential sources for outside assistance include:Tribal, federal, state, and local governmentsTribally Designated Housing EntitiesLocal or national nonprofit organizationsBanks and/or private businessesFoundationsFaith-based and other community-based organizations.To address this factor, an applicant must provide an outline in the application and have the original written commitment letters, memoranda of understanding and/or agreements that show the extent and firm commitment of all proposed leveraged resources (including any commitment of resources from the applicant's own institution) that address the following information for each leveraged resource/fund on file at the time of application submission:(1) The name of the organization and the executive officer authorizing the funds/goods and/or services (Only applicable to the narrative section)(2) The cash amount contributed or dollar value of the in-kind goods and/or services committed (If a dollar amount and its use is not shown, the value of the contribution will not be scored for award);(3) A specific description of how each contribution is to be used toward the proposed activities;(4) A description of the current and/or past working relationship that the institution has with the organization contributing the resources and the involvement it will have with this proposed project.(5) The date the contribution will be made available and a statement that describes the duration of the contribution;(6) Any terms or conditions affecting the commitment, other than receipt of a HUD Grant; and(7) The signature of the appropriate executive officer authorized to commit the funds and/or goods and/or services. (Only applicable to the written documentation) Please remember that only items eligible for funding under this program can be counted.DO NOT submit commitment letters, memoranda of understanding and/or agreements are not required at the time of application submission but have the originals on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to proceed to the next step in the selection process will be required to submit the signed commitment letters, memoranda of understanding and/or agreements outlined in the application, within seven (7) calendar days after initial contact from the Office of University Partnerships (OUP). OUP will provide specific instructions on how these documents must be submitted at that time. Letters, memoranda of understanding, or agreements must be submitted on the provider's letterhead and should be addressed to Sherone Ivey, Associate Deputy Assistant Secretary for University Partnerships. The date of the letter, memorandum of understanding, or agreement from the CEO of the provider organization must be dated no earlier than nine months prior to this published NOFA. OUP will provide specific instructions on how these documents must be submitted when contact is made with the applicant. HUD will only request and consider the resources/organizations outlined in the application. If OUP does not receive those documents with the required information and within the allotted timeframe, an applicant will not receive points under this factor.In scoring this factor, HUD will award:Nine (9) points to an applicant that provides properly documented leveraging resources as listed in their application that are 10 percent or more of the amount requested under this program;Seven (7) to eight (8) points to applicants that provide documentation that includes at least five of the seven required items outlined above and that represents 7 to 9 percent of the amount requested under this program;[[Page 11504]]Five (5) to six (6) points to applicants that provide documentation that includes at least four of the seven required items outlined above and that represents 7 to 9 percent of the amount requested under this program;Three (3) to four (4) points to applicants that provide documentation that includes at least five of the seven required items outlined above and that represents 4 to 6 percent of the amount requested under this program;One (1) to two (2) points to applicants that provide documentation that includes at least three of the required seven items outlined above and that represents 4 to 6 percent of the amount requested under this program; andZero (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 Process1. Application Selection ProcessTwo types of reviews will be conducted:a. A threshold review to determine an applicant's basic eligibility; andb. 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 InformationA. Award NoticeAfter 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 RequirementsRefer 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[[Page 11505]]Government Contractors' Labor Relations on Federal and Federally Funded Construction Projects. See the General Section for further discussion if applicable.7. Executive Order 13166, Improving Access to Services For Persons With Limited English Proficiency (LEP). See the General Section for further discussion.C. ReportingAll 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 ContactsApplicants 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. OtherPaperwork Reduction ActThe 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--TCUPThis checklist identifies application submission requirements. Applicants are requested to use this checklist when preparing an application to ensure submission of all required elements. Applicants submitting an electronic application do not have to submit the checklist. Applicants that receive a waiver of the electronic application submission requirement should include a copy of the checklist in their application.Check off to ensure these items have been included in the application:----SF-424 ``Application For Federal Assistance''----Application Checklist (Applicants that submit paper applications must include the checklist in their applications)----Abstract (must include no more than a two-page summary of the proposed project)Indicate the page number where each of the Factors is located:Narrative Statement Addressing the Rating Factors. The narrative section of an application must not exceed 50 pages in length (excluding forms, budget narrative and abstract). This information must be submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the paper, with one-inch margins (from the top, bottom, and left and right sides of the documents) and printed in standard Times New-Roman 12- point font. Applicants that submit applications via Grants.gov should review the General Section for information about file names and extensions. File names should not contain spaces or special characters. ----Factor-I----Factor-II----Factor-III----Factor-IV----Factor-V----HUD-96010 Logic ModelCheck off to ensure these items have been included in the application:----Appendix. The appendix section of an application must not exceed 15 pages in length (excluding forms, budget narrative and assurances).----Budget----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed Budget Form'' on Grants.gov).----Budget Narrative (No form provided, but must be submitted for the total three-year grant period.Appendix B--All Required FormsThe following forms are required for submission. All required forms are contained in the electronic application package.----Application for Federal Assistance (SF-424);----Survey on Ensuring Equal Opportunity for Applicants (SF-424 Supplement); (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov).----Disclosure of Lobbying Activities (SF-LLL); if applicable----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300) (``HUD Communities Initiative Form'' on Grants.gov), if applicable;----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD Applicant Recipient Disclosure Report'' on Grants.gov);----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD- 2990), if applicable;----Acknowledgement of Applicant Receipt (Only applicants who submit paper applications (HUD-2993);----Client Comments and Suggestions (HUD-2994);----You Are Our Client Survey (HUD-2994-A); and----Logic Model (HUD-96010).----Third Party Documentation Facsimile Transmittal (HUD-96011) (``Facsimile Transmittal Form'' on Grants.gov) required as the cover page to third party documents transmitted by facsimile to HUD.[[Page 11506]][GRAPHIC] [TIFF OMITTED] TN13MR07.010[[Page 11507]]Fair Housing Initiatives ProgramOverview InformationA. Federal Agency Name: Department of Housing and Urban Development, Office of Fair Housing and Equal OpportunityB. Funding Opportunity Title: Fair Housing Initiatives Program (FHIP)C. Announcement Type: Initial AnnouncementD. 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 Componentb. 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. s.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 AnnouncementI. Funding Opportunity DescriptionAuthority. 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 ComponentsThe FHIP assists fair housing activities that increase compliance with the Act and with substantially equivalent fair housing laws administered by State and local government agencies under the Fair Housing Assistance Program (FHAP).1. Private Enforcement Initiative (PEI). This Initiative assists private, tax-exempt fair housing enforcement organizations in the investigation and enforcement of alleged violations of the Act and substantially equivalent State and local fair housing laws. Under this Initiative, there are two Components, the General Component and the Performance-Based Funding Component.2. Education and Outreach Initiative (EOI). This Initiative assists organizations that inform the public about their rights and obligations under the Act and substantially equivalent State and local fair housing laws. Applications are solicited for this Initiative under the EOI- Regional/Local/Community-Based Program (R/L/C-B) and the EOI--National- Based Program in which activities are conducted on a nationwide basis.Applicants who apply under EOI R/L/C-B may apply under one or more of the following Components, as follows: EOI General Component and the EOI Clinical Law School Component. Applicants who apply under EOI- National-Based Program may apply under the Media Campaign Component.All applications submitted under EOI are required to describe a referral process that will result in referrals of fair housing complaints to HUD or Fair Housing Assistance Program (FHAP) substantially equivalent agencies. If funded, you will be required to develop your complaint referral process.[[Page 11508]]B. Other1. Program Definitions. The definitions that apply to this FHIP section of the NOFA are as follows:a. Broad-based proposals are those that address more than one type of housing transaction covered under the Act. Examples of covered housing transactions include the: rental, sales, or financing of housing. (See also Full Service Projects below).b. Complainant means the person, including the Assistant Secretary for Fair Housing and Equal Opportunity at HUD, who files a complaint under Section 810 of the Fair Housing Act.c. Disability Advocacy Groups means organizations that traditionally have provided for the civil rights of persons with disabilities. This would include organizations such as Independent Living Centers and cross-disability legal services groups. Such organizations must be experienced in providing services to persons with a broad range of disabilities, including physical, cognitive, and psychiatric/mental disabilities. Such organizations must demonstrate actual involvement of persons with disabilities throughout their activities, including on staff and board levels.d. Enforcement proposals are potential complaints under the Act that are timely, jurisdictional, and well-developed, that could reasonably be expected to become enforcement actions if an impartial investigation found evidence supporting the allegations and the case proceeded to a resolution with HUD or FHAP agency involvement.e. Fair Housing Act means Title VIII of the Civil Rights Act of 1968 as amended by the Fair Housing Amendments Act of 1988 (42 U.S.C. 3600-3620).f. Fair Housing Assistance Program (FHAP) agencies mean State and local fair housing enforcement government agencies that receive FHAP funds because they administer laws deemed substantially equivalent to the Act, as described in 24 CFR 115.g. Fair Housing Enforcement Organization (FHO) means an organization engaged in fair housing activities as defined in 24 CFR 125.103.h. Full-service projects must include the following enforcement- related activities in the project application: interviewing potential victims of discrimination; taking complaints; testing; evaluating testing results; conducting preliminary investigations; conducting mediation; enforcing meritorious claims through litigation or referral to administrative enforcement agencies; and disseminating information about fair housing laws.i. Grassroots organizations (See General Section).j. Jurisdiction means that the complaint must be timely filed; the complainant must have standing; the respondent and the dwelling involved (where the complaint involves a provision or denial of a dwelling) must be covered by the Act; and the subject matter and the basis of the alleged discrimination, must constitute illegal practices as defined by the Act.k. Meritorious claims means enforcement activities by an organization that resulted in lawsuits, consent decrees, legal settlements, HUD or substantially equivalent agency (under 25 CFR 115.6) conciliations and organization initiated settlements with the outcome of monetary awards for compensatory and/or punitive damages to plaintiffs or complaining parties, or other affirmative relief, including the provision of housing (24 CFR 125.103).l. Mortgages with unacceptable terms or conditions or resulting from unacceptable practices means a mortgage or a group or category of mortgages with one or more of the terms and conditions as specified under 24 CFR Part 81.2.m. Operating budget means an organization's total planned budget expenditures from all sources, including the value of in-kind and monetary contributions, in the period for which funding is requested.n. Qualified Fair Housing Enforcement Organization (QFHO) means an organization engaged in fair housing activities as defined in 24 CFR 125.103.o. Regional/Local/Community-Based Activities are defined at 24 CFR 125.301(a) and (d).p. Rural Areas means the following:(1) A non-urban place having fewer than 2,500 inhabitants (within or outside of the metropolitan areas).(2) A county or parish with an urban population of 20,000 inhabitants or less.(3) Any place with a population not in excess of 20,000 and not located in a Metropolitan Statistical Area.q. Traditional Civil Rights Organizations mean non-profit organizations or institutions and/or private entities with a history and primary mission of securing Federal civil rights protection for groups and individuals protected under the Act or substantially equivalent State or local laws and that are engaged in programs to reduce discriminatory housing practices.r. Underserved Areas mean jurisdictions where there are no Fair Housing Initiatives Program or Fair Housing Assistance Program agencies and where either no public or private fair housing enforcement organizations exist or the jurisdiction is not sufficiently served by one or more public or private enforcement fair housing organizations and there is a need for service.s. Underserved Populations mean groups of individuals who fall within one or more of the categories protected under the Act and who are:(1) of an immigrant population (especially racial and ethnic minorities who are not English-speaking or limited English proficient);(2) in rural populations,(3) the homeless,(4) persons with disabilities (i.e., physical) who can be historically documented to have been subject to discriminatory practices not having been the focus of Federal, State or local fair housing enforcement efforts, or(5) areas that are heavily impacted with minorities and there is inadequate protection and ability to provide service from the State or local government or private fair housing organizations.II. Award InformationFor Fiscal Year 2007, $20 million is appropriated for the Fair Housing Initiatives Program (FHIP). This appropriated amount may be supplemented by recaptured funds. Of this amount, approximately $18.1 million is being made available on a competitive basis to eligible organizations responding to this FHIP NOFA. See the chart in Section III.A. for a breakdown by Initiative/Component.A. Award Instrument. The type of funding instrument HUD may offer a successful applicant which sets forth the relationship between HUD and the grantee will be a grant or cooperative agreement, where the principal purpose is the transfer of funds, property, services, or anything of value to the applicant to accomplish a public purpose. The agreement will identify the eligible activities to be undertaken, financial controls, and special conditions, including sanctions for violations of the agreement. HUD will determine the type of instrument under which the award will be made and monitor progress to ensure that the grantee has achieved the objectives set out in the agreement. Failure to meet such objectives may be the basis for HUD determining the agreement to be in default and exercising available sanctions, including suspension, termination, and/or the recapture of funds. Also, HUD may refer violations or suspected violations to enforcement offices within HUD, the Department of[[Page 11509]]Justice, or other enforcement authorities.If funds are awarded as a Cooperative Agreement, HUD will also exercise the right to have substantial involvement by: conducting quarterly reviews and approval of all proposed deliverables documented in the applicant's Work Plan or Statement of Work (SOW), and determining whether the agency meets all certification and assurance requirements. HUD will conduct this performance assessment, in part, by using the Logic Model (HUD-96010) submitted by the applicant and approved by HUD in the award agreement (rating Factor 5). If upon completion of this assessment by the Government Technical Representative (GTR) a determination is made that the quarterly requirements have not been met, the grantee will be obligated to provide additional information or make modifications to its work plan and activities, as necessary, in a timeframe to be established by the GTR.B. Project Starting Period. For planning purposes, assume a start date no later than October 19, 2007.III. Eligibility InformationA. Eligible Applicants and ActivitiesThe following chart details each FHIP Initiative/Component and the approximate Funding Available along with Eligible Applicants and Activities:AllocationApplicant Initiative/componentamount Applicant Project period Award capseligible available eligibilityactivitiesPrivate Enforcement$1,000,000 Fair Housing 12-18 months.... $275,000........ Eligible Initiative (PEI) GeneralEnforcementactivities Component: Assists private,Organizationsinclude: (1) tax-exempt fair housing(FHOs) with atComplaint enforcement organizations inleast one yearintake of the investigation andof experienceallegations of enforcement of allegedin complainthousing violations of the Fairintake,discrimination Housing Act andcomplaint, testing substantially equivalentinvestigation,evaluating State and local fair housingtesting fortesting laws.fair housingresults, or violations,providing andother meritoriousinvestigative claims in theand complaint two yearssupport for prior to theadministrative filing of theand judicial applicationenforcement of (24 CFRfair housing 125.401(b)(2)laws: (2) and QualifiedInvestigation Fair Housingof individual Enforcementcomplaints and Organizationssystemic (QFHOs) withhousing at least twodiscrimination years offor further enforcementenforcement relatedprocessing by experience asHUD through noted above,testing and andother meritoriousinvestigative claims in themethods; (3) three yearsMediation or prior toother filing thisvoluntary applicationresolution of (24 CFRallegations of 125.103).fair housing discrimination after a complaint has been filed; and (4) litigating fair housing cases including procuring expert witnesses. Private Enforcement$13,000,000 QFHOs and FHOs 36 months....... $275,000 per See PEI above. Initiative (PEI) Performance(with at leastyear for a Based Funding Componentone year ofthree-year Assists private, tax-exemptenforcementduration, based fair housing enforcementrelatedupon organizations in theexperience)appropriations. investigation andwho haveEligible PBFC enforcement of allegedreceivedapplicants must violations of the Fairexcellentreceive a Housing Act andperformanceminimum score substantially equivalentreviews forof 95 from the State and local fair housingFHIP PEIFY '07 laws.awards made inTechnical any two FY'sEvaluation (FY pertainsPanel (TEP) to to the yearbe considered for which thefor funding. funding was appropriated) beginning with FY 2003 through FY 2005; and have received a minimum score of 95 on the most recent of the 2 performance reviews from their Government Technical Representative.[[Page 11510]]EOI General Component Open to $2,600,000 QFHOs, FHOs, 12-18 months.... 100,000......... For a list of applicants for all otherpublic orEligible fair housing education andprivate forActivities See outreach activities. Inprofit or notEOI above. addition to all otherfor profit education and outreachorganizations activities, applicants mayor also address the fairinstitutions, housing needs of personsor other with disabilities, thepublic or education of consumers aboutprivate fair housing, financialentities that literacy, credit management,carry out and how to avoid high costprograms to loans and abusive lendingprevent or practices that violate theeliminate Fair Housing Act.discriminatory housing practices. This includes agencies of State or local governments and agencies that participate in the Fair Housing Assistance Program (FHAP). See FHIP NOFA- Eligibility Information. EOI--Clinical Law School$500,000 Same as EOI 12-18 months.... 500,000......... See above. Component Applications areabove. In solicited for this componentaddition, to organize and operate aapplicant fair housing legal-clinicalmust: (1) Be education program that willrecognized by benefit the public bythe American producing well-trainedBar clinicians and lawyers whoAssociation as are capable of educating andhaving an informing the public on fairaccredited law housing rights andschool; (2) Be obligations.legally authorized by the State in which it is located to provide a bachelor's degree program and a law degree program; and (3) Be designated by the Secretary of the U.S. Department of Education as a Minority Serving Institution College or University. EOI--National-Based Program-- 1,000,000 Same as EOI 12 months....... $1,000,000...... See above. Media Campaign Component.above. In Applicants who submitaddition, applications under the EOIapplicants National-Based Mediamust have five Campaign must provide ayears of centralized coordinationexperience as effort for the development,an implementation, andadvertisement/ distribution of a fairmedia housing media campaignorganization, designed for the 40thand must Anniversary of the signinginclude in its of the Fair Housing Act asproposal a part of FY2008's Fairsubcontract Housing Month Activities.with an established fair housing organization.Eligibility of Successor Organizations for PEI. HUD recognizes that QFHOs and FHOs may merge with each other or other organizations. The merger of a QFHO or an FHO with a new organization, that has a separate Employer Identification Number (EIN), does not confer QFHO or FHO status upon the successor. To determine whether the successor organization meets the eligibility requirements for this Initiative, HUD will look at the enforcement-related experience of the successor organization (based upon the successor organization's EIN). The successor organization is not eligible to apply under this Initiative unless it establishes in its application that it is a private, tax- exempt organization with the requisite two years of enforcement related experience for a QFHO or one year experience for an FHO.B. Cost Sharing or Matching. No matching funds are required for the Education and Outreach or Private Enforcement Initiatives.C. Other1. Threshold RequirementsProgram Requirements for All Initiatives. In addition to the civil rights and other threshold requirements found in the General Section, FHIP program applications must also meet the following requirements:a. Protected Classes. All FHIP-funded projects must address housing discrimination based upon race, color, religion, sex, disability, familial status, or national origin. All services and activities must be available to the protected class members.b. Tax Exempt Status. Applicants for the PEI Initiative are ineligible for funding if they are not a 501(c)(3) tax-exempt organization as determined by the Internal Revenue Service (IRS) prior to the application deadline date.c. Name Check Review. See the General Section.d. Poor Performance. All applicants are ineligible for funding if they are a previous FHIP grantee that has received a ``Poor'' performance rating for its most recent performance rating from its Government Technical Representative (GTR). HUD will assess performance ratings for applicants who have received FHIP funding in FY 2003 through FY 2005. If the applicant has received a ``poor'' performance rating for its most[[Page 11511]]recent performance rating from its GTR, its application is ineligible for the FY 2007 competition. An applicant that does not agree with its determination of ineligibility for the FY 2007 competition because of ``poor'' performance must address to HUD's satisfaction the factors resulting in the ``poor'' performance rating before the FHIP application deadline date. If the ``poor'' performance rating is not resolved to the Department's satisfaction before the application deadline date, the application is ineligible for the FY 2007 FHIP NOFA competition. HUD is interested in improving the performance level of all grantees; therefore, applicants who are deemed ineligible because of a ``poor'' performance rating have the right and are encouraged to seek technical assistance from HUD to correct their performance in order to be eligible for future NOFA competition. Applicants who have received a ``poor'' performance prior to FY 2004 must provide written documentation that they have implemented remedies to address those issues and concerns that contributed to a ``poor'' performance rating. This written documentation should be an addendum to the abstract.e. Suits Against the United States. An application is ineligible for funding if, as a current or past recipient of FHIP funds, the organization used any funds provided by HUD for the payment of expenses in connection with litigation against the United States (24 CFR 125.104(f)).f. Other Litigation. An application is ineligible for funding if the organization used funds provided by HUD under this Program to settle a claim, satisfy a judgment, or fulfill a court order in any defensive litigation (24 CFR 125.104).g. Maximum award. Applicants are ineligible for funding if they request funding in excess of the maximum allowed under the Initiative or Component for which they are applying. In addition, inconsistencies in the amount requested and/or miscalculations that result in amounts over the maximum award will be considered excessive; therefore the application will be considered ineligible.h. Dun and Bradstreet Numbering System (DUNS) Numbering Requirement. Refer to General Section for information regarding the DUNS requirement. You will need a DUNS number to complete your electronic application as it is a mandatory field on the electronic application. The Grants.gov registration also requires use of the DUNS number.i. Majority of Eligible Activities. Greater than 50 percent of the activities and costs within the Statement of Work (SOW) and budget are fair housing related activities.j. Fair Housing Assistance Program (FHAP). FHAP agencies who are under a suspension based on agency performance, as designated under 24 CFR Part 115.211(b) at time of application are ineligible for funding.k. Minimum Technical Evaluation Panel (TEP) Score. Applicants must receive a minimum TEP score of 75 to be considered for funding.l. Application Preference. Applicants may submit multiple applications to the FHIP. For those applicants who submit multiple applications the following applies: EOI applicants may receive an EOI General, and a EOI Clinical Law School Component, or EOI National-Based Program Media Campaign Component award.m. Independence of Awards. The application submitted must be independent and capable of being implemented without reliance on the selection of other applications.n. Training funds. The proposed budget must set aside funds to participate in HUD mandatory sponsored or approved training in the amount of $7,000 for EOI and PEI components; and $7,000 annually for a 36-month duration for PBFC.Do not include amounts over the $7,000 (as appropriate) for the training set-aside in this category. If applicants do not include these funds in the budget and are selected for an award, HUD will modify the budget, reallocating the appropriate amount for training.o. Accessibility Requirements. All activities, facilities, and materials funded by this program must be accessible and visitable to persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).p. Fair Housing Act. HUD expects applicants to address housing discrimination covered under the Act. HUD has determined there is a need to ensure equal opportunity and access to housing in communities across the nation.q. Research Activities. Applicants are ineligible for funding if between 90-100% of their project is aimed at research.r. Limited English Proficient (LEP). Applicants obtaining an award from HUD must provide access to program benefits and information to LEP individuals through translation and interpretive services in accordance with HUD's published LEP Guidance.s. OMB Circular. For-profit awardees are not allowed to earn a profit and must adhere to OMB Circular A-133.t. Single Audit Requirement. All applicants who have expended $500,000 or more in Federal financial assistance within a fiscal year single year (this can be a program or fiscal year) must be audited in accordance with the OMB-A133 requirements as established in 24 CFR 84 and 85.u. Reimbursement Requirement. All PEI grantees are required to reimburse the Federal government for the amount of the grant from all settlements, conciliations, and agreements obtained as a result of the use of FHIP funds. As an alternative to returning these funds to HUD, grantees may choose to use the funds as program income to further fair housing activities. However, the use of funds for this purpose must be pre-approved in writing by the Government Technical Representative assigned to the grant.v. Clinical Law School Component. To qualify as an applicant under this Component, an institution must:(1) Be recognized by the American Bar Association as having an accredited law school;(2) Be legally authorized by the State in which it is located to provide a bachelor's degree program and a law degree program;(3) Be designated by the Secretary of the U.S. Department of Education as a Minority Serving Institution College or University, and(4) Have a high enrollment of needy students defined by 34 C.F.R 607.3. Applicants must submit documentation from the U.S. Department of Education establishing eligibility (except for item (1) above).w. National Based Program--Media Campaign Component Applications. Applicants who submit applications under the Media Campaign Component must have as their primary responsibility advertisement and media and have at least five years of experience as an advertisement/media or public relations organization. In addition, applicants must include as part of its proposal a subcontract with an established fair housing organization. Applicants that fail to meet this requirement or include such subcontract arrangements in their proposals will be ineligible for funding.2. Other Program Requirements by Initiative. Under the PBFC, applicants must receive a minimum FY 2007 TEP score of 95 to be considered for funding.3. Performance Measures and Products. For all Initiatives and Components. Applicants must submit a Logic Model (Form HUD 96010), which provides outputs and outcomes in their application. Applicants are also to identify the tools they will use to[[Page 11512]]identify program progress against their proposed outputs and outcomes. See reporting requirements for reporting using the Logic Model and the frequency of the reporting. The form is located in the Instruction Download at http://www.grants.gov/applicants/apply__ for--grants.jsp for the FHIP program. An example of a completed Logic Model is included within this NOFA. The eLogic Model form is a Microsoft Excel TMform, 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 InformationA. Requesting an Application PackageThis section describes how you may obtain application forms and additional information about the FHIP program. Copies of the published General Section, FHIP NOFA and application forms may be downloaded from the Grants.gov Web site at http://www.grants.gov or if you have difficulty accessing the information you may receive customer support from Grants.gov by calling their help line at (800) 518-GRANTS or sending an e-mail to 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 SubmissionAll 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 packageRequired form or containsRequired contentformatApplication for Federal (per required form). Form SF-424. Assistance. Survey for Ensuring Equal (per required form). SF-424 Supplement Opportunity for Applicants.(``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov). Budget information.......... (per required form). Form SF-424CB and SF- 424CBW) (``HUD Detailed Budget Form and Worksheet'' on Grants.gov). Disclosure of Lobbying(per required form). SF-LLL, if Activities.applicable. Applicant-Recipient(per required form). HUD-2880 (``HUD Disclosure Update Report.Applicant Recipient Disclosure Report'' on Grants.gov). Certification of Consistency (per required form). HUD-2990. with RC/EZ/EC-IIs Strategic Plan. Acknowledgement of applicant (per required form). HUD-2993. receipt (required only if you are granted waiver to the electronic application requirement). You are our client grant (per required form). HUD-2994-A). application survey (optional). Program Outcome Logic Model. (per required form). HUD-96010. Third Party Documentation (per required form). HUD-96010 Facsimile Transmittal.(``Facsimile Transmittal Form'' on Grants.gov). Facsimile Transmittal Form.. (per required form). HUD-96011. Race and Ethnic Data(per required form). HUD-27061. Reporting Form.[[Page 11513]]America's Affordable(per required form). HUD-27300 (``HUD Communities Initiative.Communities Initiative Form'' on Grants.gov). Narrative................... Described in Section Format described in IV.B. of thisSection IV.B of announcement.this announcement. Letters from third parties Third parties'No specific form or contributing to costaffirmations of format. sharing.amounts of their commitments. Addendum to Abstract--WrittenNo specific form or Correction of Poordocumentation that format. Performance (asperformance issues appropriate).and concerns have been cured. Project Abstract............ Short summary of No specific form or project activities, format. areas of concentration and persons to be served. Preference for funding.C. Submission Dates and Times. Applications must be received and validated by http://www.grants.gov/applicants/apply_for_grants.jsp no later than 11:59:59 p.m. eastern time on the application deadline date of May 3, 2007, to be considered timely filed. Validation may take up to 72 hours to complete. Grants.gov will reject applications that do not meet the deadline requirement. See the General Section for further details.D. Intergovernmental Review. Intergovernmental Review is not applicable to this program.E. Funding Restrictions1. 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 InformationA. Criteria for Regional/Local Community Based Applications1. Rating Factor 1: Capacity of Applicant and Relevant Organizational Experience (25 Points). You must describe staff expertise and your organization's ability to complete the proposed activities within the grant period.In General. You must describe your staffing plan and the extent to which you plan to add staff (employees) or contractors. If your application proposes using subcontractors and these subcontractor activities amount to more than 10 percent of your total activities, you must submit a separate budget for each subcontractor. Failure to include a separate budget will result in lower points being assessed to your application.a. Number and expertise of staff (this includes subcontractors and consultants). (5) Points for current FHIP grantees; (10) Points for New Applicants. You must complete a summary of staff expertise that will show sufficient, qualified staff who will be available to complete the proposed activities. This summary should include: Names of staff person(s), time each will spend on project, years of fair housing/civil rights experience for each person, titles of staff persons, and a brief paragraph on each staff member which outlines his or her experience. Do not include resumes or other documents. Those that submit resumes or other lengthy documents on staff experience will have points deducted from their application based on exceeding the ten-page submission requirement.To receive maximum points, your day-to-day program manager must devote a minimum of 75% of his/her time to the project. This individual must be stationed in the metropolitan area where the project will be carried out. This information must be included in the response to this factor. For day-to-day managers who do not have at least 75% of their time devoted to the project, no points will be awarded under this sub- factor. For example, if the Executive Director is responsible for managing the overall program administrative activities, the application should reflect the Executive Director's time as 75%. You may not designate more than one person to fit this 75% criterion. Your application must also clearly identify those persons that are on staff at the time this application is submitted and those persons who will be assigned at a later date and indicate whether the staff person is assigned to work full-time or part-time (if part-time, indicate the percentage of time each person is assigned to the project).If you are applying for the EOI-Clinical Law School Component, you must:(1) Show that you will have sufficient, qualified staff or faculty who will be available to(2) Have experience in recruitment of law students (submit a projection of the number of students expected to participate in and complete the program), marketing (submit a plan to promote the fair housing curriculum and clinical law program), and fair housing.[[Page 11514]](3) Implement the curriculum design at a MSI (Minority Serving Institution) with an ABA-accredited law school.(a) You must also identify all of the administrators of the clinical program and describe their function, qualifications, and experience;(b) Identify persons who will constitute the faculty for the program and describe their functions, qualifications, and experience; and(c) Identify and describe the functions and qualifications of any other program staff.(4) You must describe the knowledge and experience of the proposed overall Faculty Administrator and day-to-day program manager (whose duties and responsibilities include managing all program and administrative activities as outlined in the SOW and ensuring that all timelines are met), in planning and managing a fair housing legal- clinical program. Indicate the percentage of time that key personnel will devote to your project.b. Organizational experience. (10) Points for current FHIP grantees; (15) Points for new applicants. In responding to this sub- factor, you, the applicant, must show that your organization has:(1) conducted a past project or projects similar in scope and complexity to the project proposed in this application (whether FHIP- funded or not), or(2) engaged in activities that, although not similar, are readily transferable to the proposed project. You must provide a listing of all affiliate and/or subsidiary organizations, and identify which of these organizations will assist you in the development and/or implementation of any portion of your proposed FY2007 FHIP funded project. If you do not have any affiliates or subsidiaries, you should state this in your application.(3) If you are an existing FHIP grantee, you must provide details about the progress and outcomes of your previous grant.(a) EOI applicants must show that they have engaged in projects that are Regional/Local/Community based. Experience will be judged in terms of recent, relevant and successful experience of your staff to undertake eligible activities. In rating this factor, HUD will consider experience within the last three years to be recent, experience pertaining to the specific activities to be relevant, and experience producing measurable accomplishments to be successful. The more recent the experience and the more experience your own staff members who work on the project have in successfully conducting and completing similar activities, the greater the number of points you will receive for this rating factor.(b) If you are applying for funding under PEI, you must provide the following information when responding to this sub-factor:(i) If you propose to conduct testing (other than rental or accessibility testing), provide a brief narrative that documents that you have conducted successful testing in those areas.(ii) Discuss your compliance with the requirement to either reimburse the Federal government for compensation received from FHIP- funded enforcement activities or use the compensation as program income to further fair housing activities. If you have not reimbursed the Federal government or used the funds as program income to further fair housing activities, explain why you have not. Also, state whether you reported to HUD any likely compensation that may result in such reimbursement or use for furthering fair housing. Two (2) points will be deducted for this sub-factor if you have not complied with the requirement.(c) If you are submitting an application under the EOI--Clinical Law School Component, you are responsible for the development of a comprehensive concept and design of an Action Plan for the Clinical Law School. The Action Plan must include a design concept and academic structural approach that will be used in assessing your capacity to develop and operate a Fair Housing Legal-Clinical Program.In order to assess your capacity to design and implement a fair housing course curriculum, please provide documented information that your organization has conducted a past clinical project or projects similar in scope and complexity to the clinical project being proposed. You must describe the knowledge and experience of the proposed overall faculty and staff and indicate whether this staff has had prior knowledge and experience in establishing and implementing a clinical law project similar to the one being proposed. Further, you must show that faculty and staff have expertise in implementing a newly designed clinical curriculum at a MSI with an ABA-accredited law school.c. Performance on past project(s). (10) Points for current FHIP grantees; (0) Points for new applicants. HUD will assess your organization's past performance in conducting activities relevant to your application. For current FHIPs, past performance will be assessed based on your most recent performance assessment received from your HUD Government Technical Representative (GTR) for the past two (2) complete fiscal years (FY 2004 through FY2005).This information will be provided to the Technical Evaluation Panel (TEP) by HUD staff. Based on past performance, the following points will be deducted from your score under this rating sub-factor:(1) 10 points out of 10 possible points will be deducted if you received a ``fair performance'' assessment;(2) 5 points out of 10 possible points will be deducted if you received a ``good performance'' assessment; and(3) 0 points will be deducted if you received an ``excellent performance'' assessment.2. Rating Factor 2: Need/Distress/Extent of the Problem (20 Points).This factor addresses the extent to which there is a need for funding the proposed activities to address documented fair housing problems in target area(s). You will be evaluated on the information that you submit that describes the fair housing need in the geographic area you propose to serve, its urgency and how your project is responsive to that need. Applicants should document and use any relevant information from HUD's Housing Discrimination Study 2000 (HDS2000) to respond to this factor.a. Documentation of Need. To justify the need for your project, PEI and EOI applicants must describe the following:(1) The fair housing need, including:(a) Geographic area to be served and your proximity and experience within the area;(b) Populations that will be served--your project may focus on a specific population and/or protected class; however, you must state that your project will serve all persons protected by the Act; and(c) The presence of housing discrimination, high segregation indices or other evidence of discrimination prohibited by the Act within the project area.(2) The urgency of the identified need. For example:(a) The potential consequences to persons if your application is not selected for funding;(b) The extent to which other organizations provide the services identified in your application;(c) Other sources that support the need and urgency for this project. (Do not include these sources within your application.) Please provide Web site information where these sources may be found. Applicants that provide detailed studies, including detailed consolidated plans for their referenced project area will have points deducted from this factor based upon the ten-page[[Page 11515]]submission requirement. For example, make reference to reports, statistics, or other data sources that you used that are sound and reliable, including but not limited to, HUD or other Federal, State or local government reports analyses, relevant economic and/or demographic data including those that show segregation, foundation reports and studies, news articles, and other information that relate to the identified need. Provide the Web site where these reports may be found for reference. Chapter V of the Fair Housing Planning Guide, Vol. 1, has other suggestions for supporting documentation. You may access the Guide from the HUD Web site at http://www.hud.gov./offices/adm/grants/fundsavail.cfm .For all applicants: You must use sound data sources to identify the level of need and the urgency in meeting the need and provide Web site addresses for each data source (ex. Analysis of Impediments to Fair Housing Choice (AI), fair housing studies, etc.) For you to receive maximum points for this factor, there must be a direct relationship between your proposed activities, the outcomes to be accomplished, and the community or communities' fair housing needs, including your knowledge of and your proximity to the targeted area, and the purpose of the program funding.To the extent possible, the data you use should be specific to the area where the proposed activity will be carried out. For example, if you propose to test in areas impacted by Hurricane Katrina in the states of Louisiana, Mississippi, Alabama or Texas you should document the number of displaced persons relocated to those areas and the impact of the numbers of displaced persons upon existing fair housing services. You should document needs as they apply to the specific area(s) where activities will be targeted and your proximity to the target area, rather than the entire locality or State. If the data presented does not specifically represent your target area, you should discuss why the target area was proposed.(3) The link between the need and your proposed activities:(a) How the proposed activities augment or improve upon on-going efforts by public and private agencies, grass-roots faith-based and other community-based organizations and other organizations and institutions in the target area, and/or(b) Why, in light of other on-going efforts, the additional funding you are requesting is necessary.b. In addition, with respect to Documentation of Need, the following apply to specific FHIP Initiatives or Components:EOI-Clinical Law School Component. Your project must show that you have data, statistics, and community support to establish a clinical law project or projects similar in scope and complexity to the clinical project proposed in this NOFA. 3. Rating Factor 3: Soundness of Approach (35 Points)You must describe your project in detail and how it will support the goals and policy priorities outlined in the General Section. For each goal and policy priority that your project addresses, you must propose performance measures/outcomes in support of these goals, and establish numerical baselines and targets for those measures. Attach a Statement of Work (SOW) and budget.a. Support of Policy Priorities (8 Points). HUD encourages applicants to undertake specific activities that will assist the Department in implementing its policy priorities and which will help the Department achieve its goals and objectives in FY 2007. Describe how your proposed project will further and support HUD's policy priorities for FY 2007. The quality of the responses provided and the extent to which a program will further and support one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority selected will be addressed.Applicants that just list a priority will receive no points. It is up to the applicant to determine which of the policy priorities to address to receive the available 8 points. Each policy priority addressed must discuss the geographic area to be served in relation to the project's purpose, the persons to be served and the methodology for carrying out these activities. Each policy priority has a point value of one point, with the exception of the policy priority to remove regulatory barriers to affordable housing which has a point value of up to 2 points; and, for EOI applicants only, promoting participation by grassroots faith-based and other community-based organizations, or partnering with an organization promoting participation in grassroots faith-based and other community-based organizations, which has a point value of up to 4 points. To secure the possible 2 points for efforts to remove regulatory barriers to affordable housing, an applicant must submit the completed questionnaire (HUD 27300), and provide the required documentation and contact information. Please see the General Section for further information on Removal of Regulatory Barriers to Affordable Housing. The questionnaire is part of the electronic application package. For the full list of each policy priority, please refer to the General Section.b. Proposed Statement of Work (SOW) and Information Requirements (17 Points). The SOW and budget are attachments that will not count toward the ten (10)-page limit on the narrative response to this factor. However, points will be assigned based on the relevance of proposed activities to needs stated in Factor 2, the attention given to implementation steps, the consistency of proposed activities with organizational expertise and capacity, and the accuracy of the SOW and budget.Statement of Work--Submit a proposed SOW that comprehensively outlines in chronological order the administrative and program activities and tasks to be performed during the grant period. Your outline should identify all activities and tasks to be performed and by whom (e.g., you, a subcontractor, or partner), and the products that will be provided to HUD and when. You should also include a schedule of your activities and products (with interim implementation steps), staff allocation over the term of the project; staff acquisition and training; and activities of partners and/or subcontractors. Applicants should provide numbers on the projected clients to be served. Do not provide ranges or percentages, but a specific number of clients. These numbers should represent individuals to be served entirely with HUD FHIP funding. For the EOI General Component, HUD anticipates that products will be available in at least seven languages, including English. The languages will include French, Korean, Laotian, Vietnamese, Chinese, Arabic, and Spanish. Deliverables may include brochures, Public Service Announcements (PSAs) for radio in both majority and minority markets and posters and other graphic materials. Graphic materials may include but are not limited to enlarged reproductions of existing HUD printed PSAs and HUD materials. Provide information on media markets coverage with specific protected class focus, as well as those with Limited English Proficiency and a method for distribution of the finished product.c. The Budget Form and the Budget Information (10 Points). HUD will also assess the soundness of your approach by evaluating the quality, thoroughness, and reasonableness of the budget and[[Page 11516]]financial controls of your organization, including information on your proposed program cost categories. As part of your response, you must prepare a budget that is:(1) Reasonable in achieving the goals identified in your proposed SOW;(2) Relate tasks in the SOW to the proposed budget costs;(3) Cost-effective, and includes a brief discussion of the extent to which your proposed program is cost effective in achieving the anticipated results of the proposed activities in the targeted area. Applicants seeking funding to conduct activities in an area other than the applicant's State or locality must discuss the cost effectiveness of where the activities will be conducted in relation to the location of the organization. HUD will look at the cost effectiveness of your travel to and from your location to the targeted area(s), personnel expenses for out-stationed personnel, contracts and sub-grantees, and other direct costs, which may include relocation expenses, and telecommunications expenses and make a final determination of cost effectiveness based on the above listed items. Also, indicate how the proposed project is:(4) Quantifiable based on the need identified in Factor 2, and(5) justifiable for all cost categories in accordance with the cost categories indicated in the HUD-424 CB. If you are awarded a grant or cooperative agreement under FHIP, staff will request that you include your approved indirect cost rate as part of your negotiations with HUD. If you do not have a Federally approved indirect cost rate and HUD is the cognizant agency, HUD will submit a request within 30 days after award to establish a rate. For information on indirect cost rates, you can review HUD's training on http://www.hud.gov./offices/adm/grants/fundsavail.cfm .(6) Financial Management Capacity. Describe your organization's financial management system and your Board's contribution to the organization. In addition, discuss your capabilities in handling financial resources, dissemination payments to subcontractors, and maintaining adequate accounting and internal control procedures.(7) Grant Application Detailed Budget Worksheet (HUD-424-CBW). The HUD-424-CBW must show the total cost of the project and indicate other sources of funds that will be used for the project. While the costs are based only on estimates, the budget narrative work plan may include information obtained from various vendors, or you may rely on historical data. Applicants must round all budget items to the nearest dollar.A written budget narrative work plan must accompany the proposed budget explaining each budget category listed and must explain each cost category. Failure to provide a written budget narrative work plan will result in 2 points being deducted from your application. It must explain each cost category you list. Where there are travel costs for subcontractors/consultants, you must show that the combined travel costs (per diem rates) are consistent with Federal Travel Regulations (41 CFR 301.11) and travel costs for the applicant's subcontractors and/or consultants do not exceed the rates and fees charged by local subcontractors and consultants. The narrative (which does not count toward the ten page limit) must address the Grant Application Detailed Budget. 4. Rating Factor 4: Leveraging Resources (5 Points)This factor addresses your ability to secure additional resources to support your project. Points will be awarded on the basis of the percentage of non-FHIP resources you have received at application submission, in the form of firm commitments, or planned collaborative efforts you have with Fair Housing Assistance Program agencies.a. Firm Commitment of Leveraging or Collaboration. HUD requires you to secure resources from sources other than what is requested under this FHIP NOFA. Leveraging of community resources may include funding or in-kind contributions, such as workspace or services or equipment, allocated to the purpose(s) of your proposal. Contributions from affiliates, subsidiaries, divisions, or employees of the applicant do not qualify as in-kind contributions. Funds from an applicant's previously established investment account(s) may qualify as in-kind resources; however, documentation must be provided. Resources may be provided by governmental entities (including other HUD programs if such costs are allowed by statute), public or private non-profit organizations, faith-based organizations, for-profit or civic private organizations, or other entities planning to work with you. In order to secure points you must establish leveraging of resources by identifying sources of contributors who have already provided to you letters of firm commitment from the organizations and/or individuals who will support your project. Collaboration will consist of activities you have or plan to have with Fair Housing Assistance Program agencies. You must provide a letter of firm commitment from that organization and/or individual, on their letterhead, stating their intent to work with you on your project. For PEI-PB applicants only, each letter must state the total dollar amount of in-kind funds and/or resources to be donated to the fair housing project, and specify the amount to be used each of the three years of this project. For all applicants, each letter of firm commitment must:(1) Identify the organization and/or individual committing resources to the project and state the timeline for use of these funds in relation to the project. Further, the letter must identify any affiliation with the applicant,(2) Identify the sources and amounts of the leveraged resources (the total FHIP and non-FHIP amounts must match those in your proposed budget submitted under Factor 3), and(3) Describe how these resources will be used under your SOW. The letter must be dated and signed by the individual or organization official legally able to make commitments for the organization. If the resources are in-kind or donated goods, the commitment letter must indicate the fair market value of those resources and describe how this fair market value was determined. (Do not include indirect costs within your in-kind resources). In-kind matching and leveraging contributions, as well as Program Income must comply with 24 CFR 84.23 and 84.24 requirements. FHIP funds cannot be used for in-kind or donated services (for example, a current staff person on a FHIP-funded project).No points will be awarded for general letters of support endorsing the project from organizations, including elected officials on the local, State, or national levels, and/or individuals in your community. See General Section for instructions on how third party documents are to be submitted to HUD via the electronic submission process. For PEI and EOI, if your project will not be supported by non-FHIP resources, then you will not receive any points under this factor. Points will be assigned for each Initiative based on the following scale:One point will be awarded if less than 5% of the projects total costs come from non-FHIP resources.Two points will be awarded if between 5% and 10% of the project's total costs are from non-FHIP resources.Three points will be awarded if between 11% and 20% of the project's total costs are from non-FHIP resources.Four points will be awarded if between 21% and 30% of the project's total costs are from non-FHIP resources.[[Page 11517]]Five points will be awarded if at least 31% of the project's total costs are from non-FHIP resources.Five points will be awarded if your application contains a firm letter of commitment from a Fair Housing Assistance Program agency stating their firm commitment to work with you on your project. Should the letter lack any of the required information listed in (1) through (3) above, `no' points will be awarded under this factor. 5. Rating Factor 5: Achieving Results and Program Evaluation (15 Points)a. In evaluating this factor, HUD will assess the extent to which you demonstrate how you will measure the results of the work of your organization as set out in your budget. Applicants must select from the list of activities and outcomes detailed in the Logic Model for the Initiative applied for and should determine from these selections, their specific methods and measures to assess progress, evaluate program effectiveness, and identify program changes necessary to improve performance. This will ensure that performance measures are met and that grantees are establishing achievable realistic goals. Applicants who have identified outputs and outcome measurements and methods for assessing those against commitments made in the application, will receive higher points than those that do not. To meet this Factor requirement, you must submit HUD's Logic Model (HUD-96010).Instructions and a Microsoft ExcelTMform 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 ExcelTMmay 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; orSelf-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 ApplicationsFactors 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 applicantsa. Number and expertise of staff (this includes subcontractors and consultants). You must show that you will have sufficient, qualified staff that will be available to complete the proposed activities. Provide the following information for all staff assigned to or hired for this project, not just key personnel (those persons identified in attachments to Rating Factor 3: Soundness of Approach):Identify by name and/or title and hours, all persons that will be assigned to the project. You must describe the knowledge and experience of the proposed overall project director or day-to-day program manager (whose duties and responsibilities include managing all program and administrative activities as outlined in the SOW and ensuring that all timelines are met), in planning and managing national projects similar in scope and complex interdisciplinary programs. To receive maximum points, your day-to-day program manager must devote a minimum of 75% of his/her time to the project. For day-to-day managers who do not have at least 75% (based on full-time) of their time devoted to the project, no points will be awarded under this sub-factor. For example, if the Executive Director is responsible for managing the overall program administrative activities, the[[Page 11518]]application should reflect the Executive Director's time as 75%. However, if a staff person will be assigned this responsibility, the 75% time should be reflected as such. You may demonstrate capacity by thoroughly describing your prior experience in conducting national and/ or regional/local media campaigns. You should indicate how this prior experience will be used in carrying out your proposed activities. Your application must clearly identify those persons that are on staff at the time this application is filed, and those persons who will be assigned at a later date; describe each person's duties and responsibilities and their expertise (including years of experience) to perform project tasks; indicate whether the staff person is assigned to work full-time or part-time (if part-time, indicate the percentage of time each person is assigned to the project).If the applicant has experienced staff or if the applicant proposes to use a contractor sub-grantee, the extent to which the applicant provides a rationale for how it will utilize its staff or a contractor or sub-grantee to incorporate its proposed activities, methods, and how these media techniques will most effectively deal with the national need described by the applicant in response to the need described in Rating Factor 2. To the extent possible, applicants should demonstrate effectiveness in terms of scope and cost.(10) Points for current FHIP grantees (15) Points for new applicantsb. 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 applicantsc. Performance on past project(s). HUD will assess your organization's past performance in conducting activities relevant to your application. For current FHIPs, past performance will be assessed based on your most recent performance assessment received from your HUD Government Technical Representative (GTR) for the past two (2) complete fiscal years (FY 2004 and FY 2005).This information will be provided to the Technical Evaluation Panel (TEP) by HUD staff. Based on past performance, the following points will be deducted from your score under this rating sub-factor:(1) 10 points out of 10 possible points will be deducted if you received a ``fair performance'' assessment;(2) 5 points out of 10 possible points will be deducted if you received a ``good performance'' assessment; and(3) 0 points will be deducted if you received an ``excellent performance'' assessment. 2. Rating Factor 2: Need/Approach to the Problem (10 Points)This factor addresses the extent to which the applicant documents and defines the national need that its proposed activities and methods are intended to address, and how its proposal offers the most effective approach for dealing with that national need. In responding to this factor, an applicant will be evaluated on the extent to which the applicant defines, describes, and documents the national need the application intends to address, which demonstrates a grasp of the elements of the problem, its pervasiveness at the national level, and an understanding of the necessary mass media vehicles. The applicant's description of the national need will be used to evaluate the depth of the applicant's understanding of the problem as an indication of ability to address the problem. 3. Rating Factor 3: Soundness of Approach (45 Points)This factor addresses the quality and cost-effectiveness of the applicant's proposed Statement of Work (SOW). You must describe your project in detail, and how it will support the goals and policy priorities outlined in the General Section. For each goal and policy priority that your project addresses, you must propose performance measures/outcomes in support of these goals, and establish numerical baselines and targets for those measures. The SOW must address the strategy, quality and time frames needed to carry out the project and all activities as proposed.a. (8 Points) Support of HUD Goals. HUD encourages applicants to undertake specific activities that will assist the Department in implementing its policy priorities and which will help the Department achieve its goals and objectives in FY 2007. Describe how your proposed project will further and support HUD's policy priorities for FY 2007. The quality of the responses provided and the extent to which a program will further and support one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority selected will be addressed.Applicants that just list a priority will receive no points. Each policy priority addressed if applicable, must discuss the national need in relation to the project's purpose, the persons to be served and the methodology for carrying out these activities. Each policy priority has a point value of one point, with the exception of the policy priority to remove regulatory barriers to affordable housing which has a point value of up to 2 points; and, promoting participation by grassroots faith-based and other community-based organizations, or partnering with an organization promoting participation in grassroots faith-based and other community-based organizations, which has a point value of up to 4 points. It is up to the applicant to determine which of the policy priorities to address to receive the available 8 points. To secure the possible 2 points for efforts to remove regulatory barriers to affordable housing, an applicant must submit the completed questionnaire (HUD 27300), and provide the required documentation and contact information. Please see the General Section for further information on Removal of Regulatory Barriers to Affordable Housing. The questionnaire is part of the electronic application package. For[[Page 11519]]the full list of each policy priority, please refer to the General Section.b. (22 Points) Statement of Work.Submit a proposed SOW that comprehensively outlines in chronological order the administrative and program activities and tasks to be performed during the grant period. Your outline should also include a schedule of proposed activities and products (with interim implementation steps), staff allocation over the term of the project, staff acquisitions and training, and activities of partners and subcontractors. However, points will be assigned based on the relevance of proposed activities to national needs stated in Factor 2, the attention given to implementation steps, the consistency of proposed activities with organizational expertise and capacity, and the accuracy of the SOW and budget.For this Component, HUD anticipates that products will be available in at least 3 languages, including English. Deliverables may include Public Service Announcements (PSAs) for radio and television in both majority and minority markets, and posters and other graphic materials. Graphic materials may include, but are not limited to, enlarged reproductions of several print PSAs, separately produced and printed posters for national public dissemination, and the development of ad slicks to market in newspapers and magazines nationwide. The applicant should plan on using a clipping service or other appropriate means to collect information on frequency and scope of the placement of ads.Applicant's SOW should:(1) Clearly describe the specific activities and tasks to be performed, the sequence in which the tasks are to be performed, noting areas of work which must be performed simultaneously, estimated completion dates, and the work and program deliverables to be completed within the grant period, including specific numbers of quantifiable end products and program improvements the applicant aims to deliver by the end of the award agreement period as a result of the work performed;(2) Provide national media market coverage, specific protected class focus, as well as focus on the 40th Anniversary of the signing of the Fair Housing Act, and(3) Describe their methods for distribution of finished materials. Applicants must describe the methods they will use to distribute and gauge the effectiveness of their national marketing strategies. In addition, applicant must be prepared to present the Media Campaign in time for beginning of Fair Housing Month activities in April of 2008.c. (15 Points) Budget Form and Budget Information. A written budget narrative must accompany the proposed budget. HUD will also assess the soundness of your approach by evaluating the quality, thoroughness, and reasonableness of the budget and financial controls of your organization, including information on your proposed program cost categories. As part of your response, you must prepare a budget that is:(1) Reasonable in achieving the goals identified in your proposed SOW;(2) Relate tasks in the SOW to the proposed budget costs;(3) Cost-effective, and includes a brief discussion of the extent to which your proposed program is cost effective in achieving the anticipated results of the proposed activities in the targeted area. Also, indicate how the proposed project is quantifiable based on the needs identified in Rating Factor 2. Also indicate whether your proposed project is justifiable for all cost categories in accordance with the cost categories indicated in the HUD-424 CB. If you are awarded a grant or cooperative agreement under FHIP, staff will request that you include your approved indirect cost rate as part of your negotiations with HUD. If you do not have a Federally approved indirect cost rate and HUD is the cognizant agency, HUD will submit a request within 30 days after award to establish a rate. For information on indirect cost rates, you can review HUD's training on http://www.hud.gov./offices/adm/grants/fundsavail.cfm .(4) In addition, the proposed activities will be conducted in a manner (e.g., languages, formats, locations, distribution, use of majority and minority media) that will reach and benefit all members of the public, especially members of target groups identified in Factor 2;(5) How proposed activities will yield long-term results and innovative strategies or ``best practices'' that can be readily disseminated to other organizations and State and local governments; and(6) The proposed Media Campaign Component will make available activities, training and meeting sites, and information services and materials in places and formats that are accessible to all persons including persons with disabilities. 4. Rating Factor 4: Leveraging Resources (5 Points Maximum)This factor addresses your ability to secure additional resources to support your project. Points will be awarded on the basis of the percentage of non-FHIP resources you have received at application submission, in the form of firm commitments, or planned collaborative efforts you have with Fair Housing Assistance Program agencies.a. Firm Commitment of Leveraging or Collaboration. HUD requires you to secure resources from sources other than what is requested under this FHIP NOFA. Leveraging of community resources may include funding or in-kind contributions, such as workspace or services or equipment, allocated to the purpose(s) of your proposal. Contributions from affiliates, subsidiaries, divisions, or employees of the applicant do not qualify as in-kind contributions. These resources may be provided by governmental entities (including other HUD programs if such costs are allowed by statute), public or private non-profit organizations, faith-based organizations, for-profit or civic private organizations, or other entities willing to work with you. Applicants may also leverage resources from their organization's previously established savings and/or investment accounts; however, evidence of these resources must be provided. If leveraging community resources, in order to secure points you must establish leveraging of resources by identifying sources of contributors who have already provided to you letters of firm commitment from the organizations and/or individuals who will support your project. Leveraging through collaboration will require that you provide a list of activities you have or plan to have with Fair Housing Assistance Program (FHAP) agencies nationwide.Whether leveraging community or through collaboration, you must provide a letter of firm commitment from that agency, organization and/ or individual on their letterhead stating their intent to work with you on your project. Each letter of firm commitment must:(1) Identify the agency, organization and/or individual committing resources to the project, the timeframes and timelines for use of the funds, state that the funds will be used for fair housing to support the applicant should they be awarded, and identify any affiliation with the applicant,(2) Identify the sources and amounts of the leveraged resources (the total FHIP and non-FHIP amounts must match those in your proposed budget submitted under Factor 3), and[[Page 11520]](3) Describe how these resources will be used under your SOW. The letter must be dated and signed by the agency, individual and/or organization official legally able to make commitments for the organization. It must also be provided on the letterhead of the agency, organization and/or individual. If the resources are in-kind or donated goods, the commitment letter must indicate the fair market value of those resources and describe how this fair market value was determined. (Do not include indirect costs within your in-kind resources). In-kind matching and leveraging contributions, as well as Program Income must comply with 24 CFR 84.23 and 84.24 requirements. FHIP funds cannot be used for in-kind or donated services (for example, a current staff person on a FHIP-funded project). No points will be awarded for general letters of support endorsing the project from the agency or organizations, including elected officials on the local, State, or national levels, and/or individuals in your community. See General Section for instructions on how third party documents are to be submitted to HUD via the electronic submission process. If your project will not be supported by non-FHIP resources, then you will not receive any points under this factor. Points under the factor will be assigned based on the following scale:One point will be awarded if less than 5% of the projects total costs come from non-FHIP resources.Two points will be awarded if between 5% and 10% of the project's total costs are from non-FHIP resources.Three points will be awarded if between 11% and 20% of the project's total costs are from non-FHIP resources.Four points will be awarded if between 21% and 30% of the project's total costs are from non-FHIP resources.Five points will be awarded if at least 31% of the project's total costs are from non-FHIP resources.Five points will be awarded if your application contains a firm letter of commitment from a Fair Housing Assistance Program agency stating their firm commitment to work with you on your project. Should the letter lack any of the required information listed in (1) through (3) above, `no' points will be awarded under this factor. 5. Rating Factor 5: Achieving Results and Program Evaluation (15 Points)a. In evaluating this factor, HUD will assess the extent to which you demonstrate how you will measure the results of the work of your organization as set out in your budget and Statement of Work. Applicants must select from the list of activities and outcomes detailed in the Logic Model and should determine from these selections, their specific methods and measures to assess progress, evaluate program effectiveness, and identify program changes necessary to improve performance. This will ensure that performance measures are met and that grantees are establishing achievable realistic goals. Applicants who have identified outputs and outcome measurements and methods for assessing those measurements against commitments made in the application, will receive higher points than those that do not. To meet this Factor requirement, you must submit a completed HUD's Logic Model (HUD-96010).Instructions and a Microsoft ExcelTMform are provided in the forms appended to the Instruction Download on http://www.Grants.gov/APPLY. Applicants that do not have access to Microsoft ExcelTMmay 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; orSelf-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 Process1. 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 Componentc. For all initiatives, all eligible applications will be reviewed and points awarded based upon:(1) Narrative responses to the Factors for Award and accompanying materials, and(2) RC/EC/EZ-IIs bonus points, as applicable. Ineligible applications will not be ranked. The maximum number of points to be awarded for the Rating Factors is 100. See the General Section for information on Bonus Points.Only applications with a score of seventy-five (75) points or more will be considered of sufficient quality for[[Page 11521]]funding. Generally, applications of sufficient quality for funding will be selected in rank order under each Initiative or Component.PBFC applicants will be evaluated competitively against other PBFC applicants who apply and have received two years of excellent performance reviews for FHIP PEI awards made in any two consecutive years from FY 2003 through FY 2005, as well as scoring a 95 on their most current performance review. These applicants will then be rated by the Technical Evaluation Panel and ranked by score. Only those applicants who receive a minimum final score of 95 or above from the TEP will be considered for funding under this Component.2. Tie Breaking. When two or more applications have the same total overall score, the application with the higher score under Rating Factor 3 will be ranked higher. If applications still have the same score, the following factors will be selected sequentially until one applicant can be determined: higher score under Rating Factor 1, the higher score under Rating Factor 2, the lower amount of FHIP funding requested.3. Achieving Geographic Diversity of Awards.a. PEI and EOI: HUD reserves the right to apply geographic diversity, to ensure that, to the extent possible, applications from more States for each Initiative or Component are selected for funding. If the Selecting Official exercises this discretion, there will be two determinants used: (1) geography and (2) score. Geographic diversity shall be applied to all qualified applications (applications of sufficient quality for funding--applications that received a score of 75 or more points) in each Initiative or Component in which the Selecting Official applies geographic diversity. The geographic diversity provision will be applied as follows: when there are two or more applications of sufficient quality from the same State, the application(s) with the lower score(s) will be moved to the end of the qualified queue. The applications moved to the end of the qualified queue will retain their geographic rank order. If sufficient funds remain, it is possible that applications moved to the end of the queue may be selected for award. For the Clinical Law Program Component, and the Media Campaign Component, the geographic diversity provision does not apply.4. Adjustments to Funding. As provided in the General Section, HUD may approve an application for an amount lower than the amount requested, fund only portions of the application, withhold funds after approval, reallocate funds among activities and/or require that special conditions be added to the grant agreement, in accordance with 24 CFR 84.14, the requirements of the General Section, or where:a. HUD determines the amount requested for one or more eligible activities is unreasonable or unnecessary;b. An ineligible activity is proposed in an otherwise eligible project;c. Insufficient amounts remain to fund the full amount requested in the application, and HUD determines that partial funding is a viable option;d. The past record of key personnel warrants special conditions; ore. 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 InformationA. Award Notices1. Applicant Notification and Award Procedures.a. Notification. No information about the review and award process will be available during the period of HUD evaluation, which begins on the application deadline date under this NOFA and lasts approximately 90 days thereafter. However, you will be advised, in writing or by telephone, if HUD determines that your application is ineligible or has technical deficiencies which may be corrected as described in the General Section. HUD will communicate only with persons specifically identified in the application on the SF-424. HUD will not provide information about the application to third parties such as subcontractors.b. Negotiations. If you are selected, HUD will require you to participate in negotiations to determine the specific terms of your cooperative or grant agreement. HUD will follow the negotiation procedures described in the General Section. The selection is conditional and does not become final until the negotiations between the applicant and the Department are successfully concluded and the grant or cooperative agreement is signed and executed. HUD will negotiate only with the person identified in the application as the Director of the organization or if specifically identified in the application as the Project Director. HUD will not negotiate with any third party (i.e., a subcontractor, etc.). The Grant Officer and Government Technical Representative will determine on a case-by-case basis if technical assistance or special conditions are required.Performance Based Funding Component-Applicants selected for funding under the PBFC will be required to submit a SOW and a separate budget for each year that projects the agency's activities for a period of three years commensurate with the level of funding.c. Applicant Debriefing. After awards are announced, applicants may receive a debriefing on their application as described in the General Section. Materials provided during the debriefing will be the applicant's final scores for each rating factor and final evaluator comments for each rating factor. Applicants requesting a debriefing must send a written request to Annette Corley, Grant Officer, U.S. Department of Housing and Urban Development, FHIP/Support Division, 451 Seventh Street, SW., Room 5224, Washington, DC 20410. HUD will not release the names of applicants or their scores to third parties.B. Administrative and National Policy Requirements1. Accessibility Requirements. All activities, facilities, and materials funded by this Program must be accessible to persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).2. Protected Classes. All FHIP-funded projects must address housing discrimination based upon race, color, religion, sex, disability, familial status, or national origin.3. Environmental Requirements. In accordance with 24 CFR 50.19(b)(3), (4), (9), (12), and (13) of HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under related laws and authorities.[[Page 11522]]4. Procurement of Recovered Materials. State agencies (FHAP agencies) and agencies of a political subdivision of a State that are using assistance under a HUD program NOFA for procurement, and any person contracting with such an agency with respect to work performed under an assisted contract, must comply with the requirements of Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. See General Section for details.5. Product Information. Press releases and any other product intended to be disseminated to the public must be submitted to the Government Technical Representative (GTR) two weeks before release for approval and acceptance.6. Ensuring the Participation of Small Businesses, Small Disadvantaged Businesses, and Women Owned Businesses. (See General Section).7. Payment Contingent on Completion. Payment of FHIP funds is made on a reimbursement basis. Payments are contingent on the satisfactory and timely completion of your project activities and products as reflected in your grant or cooperative agreement. Requests for funds must be accompanied by financial and progress reports.8. Copyright Materials. You may copyright any work that is eligible for copyright protection subject to HUD's right to reproduce, publish, or otherwise use your work for Federal purposes, and to authorize others to do so as required in 24 CFR 84.36.9. Complaints Against Awardees. Each FHIP award is overseen by a HUD Grant Officer (See http://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. Reporting1. 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 http://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 activitiesTasksSubmitted bySubmitted to Activities1. Complete HUD-22081 Race and 45 Days.................... GTR/GTM............... Ethnic Data Reporting Form. 2. Complete HUD-28807 Disclosure Submit DisclosureWhen changes occur.... GTR/GTM. Statements.Statement. If no changes occur, submit statement of no change with final report. 3. Complete SF-269A FinancialSubmit SF-269A and Copy of Quarterly............. GTR/GTM. Status Report and WrittenWritten Report. Quarterly Status Reports on All Activities. 4. Voucher for Payment............. Submit payment request to Per Payment Schedule.. GTR/GTM. LOCCS. 5. Complete Listing of Current or Submit listing for45 Days and at end of GTR/GTM. Pending Grants/Contracts/Other recipient and anyGrant. Financial Agreements.contractors.[[Page 11523]]6. Prepare and Submit Draft of Submit Draft of Report. One month before end GTR/GTM. Final Report, including HUD 96010. Report your eLogic Model of grant term. Reporting your short- and intermediate-term outputs and outcomes as contained in the eLogic Model submitted and approved in your grant agreement. Your report and eLogic Model should identify results and benefits to date of the work accomplished under the FHIP award. In addition, the eLogic Model should include an attachment that addresses the management questions applicable to your work program. Complaint and testing activities should provide data on complaints received and tests conducted by basis, issues, and outcomes. This should include number of credible, legitimate complaints filed with HUD, a State or local Fair Housing Agency, Department of Justice or private litigator; and types of relief/results. 7. Complete Final Report andSubmit a copy of the Final Within 90 days after GTR/GTM. Provide Copies of All FinalReport, including a final end of grant term. Products Not Previously Submitted. Logic Model with all outputs and outcomes identified, and management questions responded to. Submit all Final Products not previously submitted to GTR and GTM. 8. Submit 2 copies of Final Report Submit detailed description Within 90 days after GTR/GTM. and all final program products of items submitted to GTR end of grant term. produced under the Grant (with and GTM. diskette, where feasible) to HUD.VII. Agency ContactsYou 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 Information1. Paperwork Reduction Act. The information collection requirements contained in this document have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control approval number 2529- 0033. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to a collection of information unless the collection displays a currently valid OMB control number. Public reporting burdens for the collection of information is estimated to approximate 105 hours per annum per respondent for the application and grant administration. This includes the time for collecting, reviewing, and reporting the data for the application, semi-annual reports and final report. The information will be used for grantee selection and monitoring the administration of funds. Response to this request for information is required in order to receive the benefits to be derived.[[Page 11524]][GRAPHIC] [TIFF OMITTED] TN13MR07.011[[Page 11525]]Housing Counseling ProgramOverview InformationA. 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 AnnouncementI. Funding Opportunity DescriptionA. Program Description. This program supports the delivery of a wide variety of housing counseling services to homebuyers, homeowners, low- to moderate-income renters, and the homeless. The primary objectives of the program are to expand homeownership opportunities, improve access to affordable housing and preserve homeownership. Counselors provide guidance and advice to help families and individuals improve their housing conditions and meet the responsibilities of tenancy and homeownership. Counselors also help borrowers avoid inflated appraisals, unreasonably high interest rates, unaffordable repayment terms, and other conditions that can result in a loss of equity, increased debt, default, and eventually foreclosure. Applicants funded through this program may also provide Home Equity Conversion Mortgage (HECM) counseling to elderly homeowners who seek to convert equity in their homes into income that can be used to pay for home improvements, medical costs, living expenses, or other expenses.B. Grant Applicant Categories. HUD will award a single comprehensive grant to qualified applicants through one of three categories:(1) Local Housing Counseling Agencies (LHCAs);(2) National and Regional Intermediaries (Intermediaries); and(3) State Housing Finance Agencies (SHFAs).Supplemental funding is available to qualified intermediaries for counseling and educational activities in conjunction with HUD's Home Equity Conversion Mortgage (HECM) Program.C. Authority. HUD's Housing Counseling Program is authorized by section 106 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701x).The Home Equity Conversion Mortgage (HECM) Program is authorized by section 255 of the National Housing Act (12 U.S.C. 1715z-20).D. Definitions.1. Affiliate. An affiliate is a separately incorporated or organized housing counseling agency connected with an intermediary or SHFA for the purposes of its housing counseling program. To be eligible for a sub-grant an affiliate must be: (1) Duly organized and existing as a nonprofit, (2) in good standing under the laws of the state of its organization, and (3) authorized to do business in the states where it proposes to provide housing counseling services.2. Applicant. ``Applicant'' refers to a HUD-approved housing counseling agency or SHFA applying for a Housing Counseling grant from HUD through this NOFA. The term ``Applicant'' includes the agency's branch or branch offices identified in its application.3. Branch. ``Branch'' or ``Branch Office'' refers to an organizational and subordinate unit of an LHCA or Intermediary not separately incorporated or organized. A Branch or Branch Office must be in good standing under the laws of the state where it is authorized to do business and where it proposes to provide housing counseling services. A Branch or Branch Office cannot be an applicant, affiliate or sub-grantee.4. Grantee. ``Grantee'' refers to the HUD-approved housing counseling agencies or SHFAs that receive housing counseling funds from HUD through this NOFA. The term ``Grantee'' includes the agency's branch or branch offices identified in its application.5. HUD HECM Network Counselor. A ``HUD HECM Network Counselor'' is a housing counselor that has passed the HECM exam administered by HUD and/or its agent, and is approved by HUD to provide HECM counseling nationally by telephone.6. Intermediary. ``Intermediary'' refers to a HUD-approved national or regional organization that provides housing counseling services through its branches or affiliates.7. Local Housing Counseling Agency (LHCA). ``LHCA'' refers to a HUD-approved Local Housing Counseling Agency. LHCAs must be approved by one of HUD's four HOCs. Affiliates of HUD-approved Housing Counseling intermediaries are not HUD-approved LHCAs by virtue of their affiliation with the intermediary. They are, however, eligible to individually apply for HUD approval as an LHCA.8. State Housing Finance Agency (SHFA). For the purpose of this NOFA, a ``SHFA'' is the unique public body, agency, or instrumentality created by a specific act of a state legislature and empowered to finance activities designed to provide housing and related facilities and services, for example through land acquisition, construction or rehabilitation, throughout a state. The term state includes the fifty states, Puerto Rico, the District of Columbia, Guam, the Commonwealth of the Northern Mariana Islands, American Samoa, and the U.S. Virgin Islands.9. Sub-grantee. ``Sub-grantee'' refers to an organization to which the grantee awards a sub-grant, and which is accountable to the grantee for the use of the funds provided. A Sub-grantee may be separately incorporated or organized, but connected with an intermediary or SHFA for purposes of this NOFA.All Sub-grantees must be identified in the grantee's application. Under certain conditions, grantees may amend their Sub-grantee list after awards are made.II. Award InformationA. Amount Allocated. Of the approximately $41.5 million appropriated for housing counseling in FY2007 under the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007), approximately $41.08 million is available for eligible applicants under this NOFA. Approximately $38.08 million is available for comprehensive counseling. Approximately $3.0 million is available for HECM counseling.B. Specific Allocations. Comprehensive counseling funding is distributed over three applicant categories, as shown below.[[Page 11526]]Total amount Applicant categoriesWho is eligible availableCategory 1--LHCAs................. HUD-approved Local $14,748,800 Housing Counseling Agencies. Category 2--Intermediaries........ HUD-approved21,054,720 National and Regional Intermediaries. Category 3--SHFAs................. State Housing2,276,480 Finance Agencies.1. Category 1--Local Housing Counseling Agencies (LHCAs). For the grant period October 1, 2007 through September 30, 2008, approximately $14,748,800 is available from HUD to directly fund HUD-approved LHCAs. A LHCA can only request funding for its main office and branches located in the same state as the main office and/or located in one other contiguous state.2. Category 2--Intermediaries. For the grant period October 1, 2007 through September 30, 2008, approximately $24,054,720 is available from HUD to directly fund HUD-approved Intermediaries, including $21,054,720 for comprehensive counseling and $3.0 million for HECM counseling.3. Category 3--State Housing Finance Agencies (SHFAs). For the grant period October 1, 2007 through September 30, 2008, approximately $2,276,480 is available to fund SHFAs that provide housing counseling services directly or serve as intermediaries to Affiliates who offer housing counseling services.C. Individual Awards1. 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 InformationA. Eligible Applicants. Eligible applicants include: HUD-approved Local Housing Counseling Agencies (LHCAs); HUD-approved national and regional intermediaries (Intermediaries); and State Housing Finance Agencies (SHFAs).B. Cost Sharing or Matching. No specific ratio is required. However, in order to receive points under Rating Factor 4, applicants are required to demonstrate the commitment of other private and public sources of funding to supplement HUD funding for the applicant's counseling program. HUD does not intend for its Housing Counseling grant to cover all costs incurred by an applicant.C. Other. 1. Eligible Activities for Awards Under All Applicant Categories. Grantees and sub-grantees will only be reimbursed for the applicable activities outlined in this Section.a. Individual counseling or group education/classes regarding the following topics:(1) Pre-Purchase/Homebuying. This includes: evaluating mortgagor readiness; search assistance/mobility; fair housing, including whether or not the beneficiary belongs to a protected class, and how to recognize discrimination; budgeting for mortgage payments; money management (does not include administration of debt management plans whereby an organization pays bills on behalf of a client); selecting a real estate agent; and home inspection. This also may include guidance on: alternative sources of mortgage credit; how to apply for special programs available to potential homebuyers; how to identify and avoid predatory lending practices; locating housing that provides universal design and visitability; locating sources and methods to help pay for accessibility modifications; how to purchase a home using the Section 8 Homeownership Voucher Program; and referrals to community services and regulatory agencies. Applicants that provide homebuyer education must also offer individual counseling that complements the group sessions.(2) Resolving or Preventing Mortgage Delinquency or Default. This includes: restructuring debt, obtaining re-certification for mortgage subsidy, establishing reinstatement plans, seeking loan forbearance, and managing household finances. This can also include helping clients affected by predatory lending, homeownership preservation and foreclosure prevention strategies, explaining the foreclosure process, providing referrals to other sources, and assisting clients with locating alternative housing, or pursuing loss mitigation strategies.(3) Non-Delinquency Post-Purchase, Including Improving Mortgage Terms and Home Improvement. This includes information and advice on finding favorable mortgage loan terms, personal money management, and relations with lenders. It also includes: home improvement and rehabilitation; property maintenance; loan and grant options; the loan or grant application processes; what housing codes and housing enforcement procedures apply for the intended activity; accessibility codes and how to design features to provide accessibility for persons with disabilities; non-discriminatory lending and funding for persons who modify their dwellings to accommodate disabilities; visitability and universal design; how to specify and bid construction work; how to enter into construction contracts; and how to manage construction contracts, including actions to address the non-performance of contractors. Agencies that provide post-purchase education classes must also offer individual counseling to complement group sessions.(4) Locating, Securing, or Maintaining Residence in Rental Housing. This refers to renter-related topics, including: helping clients obtain and utilize rent subsidies; pre-rental search assistance/mobility counseling; budgeting for rent payments; educating clients on landlords' and renters' rights; explaining the eviction process; ensuring clients understand their rights when faced with displacement; explaining the responsibility of the entity causing displacement; and providing assistance with locating alternate housing.(5) Shelter or Services for the Homeless. Includes referrals to social, community, and homeless services such as emergency shelter or transitional housing.b. HECM Counseling. This includes providing the statutorily- required counseling to individuals/families that may be eligible for, or are interested in obtaining, an FHA-insured Home Equity Conversion Mortgage (HECM). This counseling assists elderly homeowners who seek to convert equity in their[[Page 11527]]homes into income that can be used to pay for home improvements, medical costs, living expenses, or other expenses.c. Marketing and Outreach Initiatives. This includes providing general information and materials about housing opportunities and issues, conducting informational campaigns, advocating with lenders for non-traditional lending standards, and raising awareness about critical housing topics, such as predatory lending or fair housing issues. (Note: affirmative fair housing outreach should be directed at those populations least likely to seek counseling services, including those of racial, religious or national groups not normally served by the sponsoring agency. To do so, it may be necessary to broaden the target areas or provide translation and interpretive services in languages other than English in order to reach a greater variety of racial and ethnic minorities. It may also require providing outreach and services in alternative formats for persons with disabilities).d. Training. Training to increase the capacity of housing counselors and program managers.e. Computer equipment/systems. Computer equipment/systems with the objective of improving the quality of counseling and education services available.f. Administrative Costs. For intermediaries and SHFAs, administrative costs associated with managing a network of housing counseling agencies and providing technical assistance.2. Threshold Requirements. Applications that do not meet all of the following Threshold Requirements are not eligible to receive an award from HUD.a. Applicants, and subgrantees, must meet the Threshold Requirements in the General Section.b. Minimum grant request. Applications must contain a request for comprehensive funds of not less than $20,000 from LHCAs, not less than $50,000 from SHFAs and not less than $200,000 from Intermediaries. Applications for lesser amounts will not be considered. Intermediaries must request a minimum of $500,000 for HECM supplemental funding. HUD will consider the amount of the comprehensive counseling grant being requested to be the value entered into box 18a on form SF-424. For intermediaries also requesting HECM supplemental funding, box 18a of form SF-424 should reflect the total of the comprehensive request and the HECM supplemental request. For these intermediaries requesting both, the narrative response to Factor 3 must make clear the exact comprehensive and supplemental amounts being requested.c. Only HUD-approved Housing Counseling Agencies and SHFAs may apply. Applicants must be currently approved by HUD as an LHCA or as a housing counseling intermediary, and have secured HUD approval as a housing counseling agency by the publication date of this Housing Counseling Program NOFA. SHFAs are not required to be HUD-approved, but must meet the eligibility requirements listed in this NOFA.d. Applicants Requesting Supplemental HECM Funding. No separate application is needed to apply for supplemental funding. However, applicants requesting supplemental HECM funding must meet the following requirements:(1) Request the supplemental funding by identifying in box 18a of form SF-424 the total of the comprehensive request and the HECM supplemental request, and making clear in the narrative response to Factor 3 the exact comprehensive and supplemental amounts being requested;(2) Identify HECM-related needs in the target community in its response to Rating Factor 2;(3) Respond to all HECM-related requests for information throughout the NOFA;(4) Include counseling and other related activities targeted at HECM clients over and above the proposed comprehensive counseling activities listed in response to the Rating Factors; and(5) Indicate in the Rating Factors how many individuals will be served specifically with the requested supplemental funding for HECM counseling in addition to those served under the comprehensive counseling award. Be sure to clearly identify the total number projected to be served, the activities to be provided, and the output and outcome goals to be achieved with the supplemental funding. 3. Other Program Requirementsa. 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 Applications1. HUD-approved LHCAs. HUD-approved LHCAs may apply for and receive: one grant under Applicant Category 1; or one sub-grant from an intermediary or SHFA under Applicant Category 2 or 3, but not both. The only exceptions to this rule are: (a) HUD-approved LHCAs with one or more HUD HECM Network Counselors may receive a sub-grant or be reimbursed exclusively for HECM counseling activities from a HUD- approved intermediary administering the HECM supplemental funds made available through this NOFA or by another entity designated by HUD; and/or (b) HUD-approved LHCAs may also receive a sub-grant or be reimbursed for default counseling activities by a HUD-approved intermediary that is dedicated to foreclosure prevention exclusively.Funded LHCAs may not make sub-grants to other HUD-approved LHCAs or non-HUD-approved entities.2. HUD-approved Intermediaries. HUD approved intermediaries may only apply for a grant under Applicant Category 2. HUD-approved intermediaries are also eligible for supplemental funding for HECM counseling.3. SHFAs. SHFAs may only apply for grants under Applicant Category 3 for comprehensive counseling funds. c. Sub-Grantees of Intermediaries and SHFAs(1) Sub-grantees of intermediaries and SHFAs are not required to be HUD-approved, although HUD-approved LHCAs may apply to an intermediary or SHFA as a sub-grantee.(2) Intermediaries and SHFAs that award sub-grants to counseling agencies that are not HUD-approved must assure that the sub-grantee organizations meet or exceed HUD's approval standards.(3) Sub-grantees must also be in compliance with all civil rights threshold requirements. Intermediaries that do not ensure their sub- grantee's compliance with HUD standards may be prohibited from participating in the Housing Counseling Program. HUD will monitor sub- grantees.(4) To be eligible for funding under Categories 2 or 3, proposed sub-grantees or branches must not have directly applied for or received a grant under Category 1 of this NOFA, or applied for or received a sub-grant or funding from another intermediary or SHFA under Category 2 or 3 of this NOFA. Sub-[[Page 11528]]grantees or branches may apply for and receive funding from only one intermediary or SHFA under Category 2 or 3, but not both. The only exceptions to this rule are: (a) Sub-grantees or branches that have one or more HUD HECM Network Counselors that receive a sub-grant or funding from an intermediary or SHFA under Category 2 or 3 may also receive a sub-grant or funding or be reimbursed exclusively for HECM counseling activities, from a HUD-approved intermediary administering the HECM supplemental funds made available through this NOFA or by another entity designated by HUD; and/or (b) sub-grantees or branches may also receive a sub-grant or be reimbursed for default counseling activities by an intermediary that is dedicated to foreclosure prevention.(5) Intermediaries and SHFAs that make sub-grants must execute sub- grant agreements with sub-grantees that clearly delineate the mutual responsibilities for program management, including appropriate time frames for reporting results to HUD. Intermediaries and SHFAs have wide discretion to decide how to allocate their HUD Housing Counseling funding among sub-grantees, with the understanding that a written record must be kept documenting and justifying funding decisions. This record must be made available to sub-grantees and to HUD.d. List of HUD-approved Housing Counseling Agencies. Pursuant to section 106 (c)(5)(D) of the Housing and Urban Development Act of 1968, HUD maintains a list of all HUD-approved and HUD-funded counseling agencies, including contact information that interested persons can access. All HUD-approved LHCAs and their branches, and all sub-grantees and branches that receive funding under Applicant Categories 2 and 3 of this NOFA may be placed on this list and must accept subsequent referrals, or when they do not provide the services sought, make a reasonable effort to refer the person to another organization in the area that can provide the services. e. Non-Discrimination Requirement(1) Grant recipients and sub-grantees are prohibited from discriminating on behalf of or against any segment of the population in the provision of services or in outreach.(2) Organizations funded under this program may not engage in inherently religious activities, such as worship, religious instruction, or proselytization, as part of the programs or services funded under this program. If an organization conducts such activities, these activities must be offered separately, in time or location, from the programs or services funded under this part, and participation must be voluntary and not a condition of the HUD-funded programs or services.f. Indirect Cost Rate. Grantees that plan to use grant funds to cover direct costs only are not required to provide an indirect cost rate. However, Grantees that plan to use grant funds to cover any indirect costs must submit their approved indirect cost rate established by the cognizant federal agency. If the grantee does not have an established indirect cost rate, it will be required to develop and submit an indirect cost proposal to HUD, or the cognizant federal agency as applicable, for determination of an indirect cost rate that will govern the award. Applicants that do not have a previously established indirect cost rate with a federal agency shall submit an initial indirect cost rate proposal immediately after the applicant is advised that it will be offered a grant and, in no event, later than three months after the start date of the grant. OMB Circular A-122 established the requirements to determine allowable direct and indirect costs and the preparation of indirect cost proposals, and can be found at http://www.whitehouse.gov/omb. Applicants can review Indirect Cost Training on www.hud.gov at: http://www.hud.gov/offices/adm/grants/training/training.cfm .g. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). Section 3 does not apply to Housing Counseling Grants.h. Ensuring the Participation of Small Businesses, Small Disadvantaged Businesses, and Woman-Owned Businesses. See the General Section for information on this topic.i. Subcontracting. Grantees and sub-grantees must deliver all of the counseling activities set forth in the applicant's work plan provided in Factor 3 of this NOFA. Subcontracting with other entities is permitted only in geographical areas where no HUD-approved housing counseling agency exists; however, the subcontractor must meet or exceed the standards for a HUD approved agency.j. Conflicts of Interest. See the General Section. In addition, a grantee or sub-grantee that is using grant funds to pay a subcontractor for housing counseling services pursuant to a housing counseling sub- agreement is prohibited from having a controlling interest in that subcontractor or vice versa. In other words, a grantee or sub-grantee cannot use grant funds to pay for housing counseling services by a subcontractor, if the subcontractor is partially or fully-controlled by the grantee or sub-grantee, or affiliate or vice versa.k. Accessible Technology. See the General Section.l. Participation in HUD Sponsored Program Evaluation. See the General Section.IV. Application and Submission InformationA. Receiving an Application Package. Applicants may download the instructions to the application found on the Grants.gov Web site at http://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 http://www.Grants.gov. In addition to the instructions in the General Section follow the instructions below:1. Size Limitations and Format for Narrative Statements. Applicants must be as specific and direct as possible. For LHCAs, the narrative portion (responses to all factors) must be limited to 50 double-spaced, 12-point font, single-sided pages. Intermediaries and SHFAs are limited to a total of 100 double-spaced, 12-point font, single-sided pages for the narrative portion. Pages in excess of the size limit will not be read. Number the pages of the narrative statements and include a header that includes the applicant's name and the Rating Factor number and title. Within each narrative, clearly identify each sub-factor immediately above the response for that sub-factor.2. Application Checklist. The Application Checklist indicates forms, information, certifications and assurances that apply to this NOFA.Housing Counseling NOFA Application Checklista. SF-424, Application for Federal Assistanceb. SF-424 Supplement--Survey on Ensuring Equal Opportunity for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) (optional)c. HUD 424 CB, Grant Application Detailed Budget (``HUD Detailed Budget Form'' on Grants.gov);[[Page 11529]]d. SF-LLL, Disclosure of Lobbying Activities (if applicable)e. HUD-27300, Questionnaire for HUD's Initiative on Removal of Regulatory Barriers (``HUD Communities Initiative'' on Grants.gov) (optional regarding eligibility, but mandatory to receive credit in Factor 2 for the Regulatory Barriers policy priority)f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD Applicant Recipient Disclosure Report'' on Grants.gov)g. HUD-2990, Certification of Consistency with the RC/EZ/EC-II Strategic Plan (LHCAs only, if applicable)h. HUD-2991, Certification of Consistency with the Consolidated Plan (optional)i. HUD-2994, You Are Our Client Grant Applicant Survey (optional)j. HUD-96010, Program Outcome Logic Modelk. 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 sub-grantees or branches;[[Page 11530]](c) Number of bilingual housing counselors working for the applicant and, if applicable, proposed sub-grantees or branches;(d) Average years of housing counseling experience for housing counselors working for the applicant and, if applicable, proposed sub- grantees or branches;(e) Average years of housing counseling program management experience for the project director(s) for the applicant and, if applicable, proposed sub-grantees or branches;(f) Average years of related experience, such as experience in mortgage lending, for counselors and project managers;(g) Proposed average hourly labor-rate for housing counselors and project managers, including benefits.(2) Knowledge and Experience (11 points). Using the information provided above, demonstrate that the applicant, including proposed sub- grantees and branches, has sufficient personnel with the relevant knowledge and experience to implement the proposed activities in a timely and effective manner, and bilingual language skills, if appropriate.Specifically, for LHCAs, scoring will be based on the number of years of recent and relevant experience of Housing Counseling Program project directors and recent housing counseling and relevant experience of housing counselors.For intermediaries and SHFAs, scoring will be based on:The number of years of recent and relevant experience of project directors of proposed sub-grantees and branches;The number of years of recent housing counseling and relevant experience of counselors in proposed sub-grantees and branches;The number of years, for key intermediary or SHFA personnel, of recent experience administering a housing counseling program consisting of a network of multiple housing counseling agencies. HUD will award higher scores to applicants with more experienced staff and management;Related experience, such as experience in mortgage lending, will also be considered, but will not be weighted as heavily in the scoring as direct housing counseling or housing counseling program management experience;HUD will also factor in other information that demonstrates the capacity of the applicant, such as relevant staff trainings and certifications.In scoring this section, HUD will evaluate whether the applicant has experience providing the proposed services. HUD will award higher scores to applicants with staff and management that have the greatest combination of experience, training and demonstrated competency.(a) LHCAs may provide individual descriptions of staff limited to one page. These descriptions do not count toward narrative page limitations. Intermediaries and SHFAs acting as intermediaries should summarize in a single chart, for each applicable employee, subcontractor, and consultant of proposed sub-grantees or branches, the number of years of direct counseling or counseling program management experience, and the number of years of relevant experience. Total each column. Do not submit individual resumes for sub-grantee staff. HUD staff will verify experience information submitted during monitoring reviews. The following must be included in each person's description:The names and titles of employees, including subcontractors and consultants who will perform the activities proposed in the applicant's work plan in Rating Factor 3. Clerical staff should not be listed.Individual current housing counseling duties and responsibilities;Experience in providing one-on-one and group counseling (describe each separately);Relevant professional background and experience, and;Bilingual language skills, if applicable.Experience is relevant if it corresponds directly to projects of a similar scale and purpose. Provide the number of years of experience for each position listed and indicate:Where and when each position was held;Whether the position was full-time or part-time;In the case of part-time positions, the number of hours per week.Applicants for HECM supplemental funding must specify the HECM experience of project directors, HUD HECM Network Counselors and the organization. They must also indicate the number of HUD HECM Network Counselors that are in the applicant's network at the time of application, and that the applicant proposes to fund with the requested award;(b) Also indicate in the chart for all housing counselors and project directors the specialized trainings received within the last two years relevant to the proposed activities, including specific trainings regarding FHA programs. Include when the training was received and who provided it. Do not include on-the-job training. Applicants that seek supplemental funds for HECM counseling must indicate what relevant training counselors received to prepare them as HECM counselors.(c) Indicate which housing counselors are certified housing or financial counselors. Describe what type of certification is held, who provided it, when the certification was received, and if applicable, the date certification expires.(d) Identify the Client Management System utilized by the applicant, affiliates, and branches, if applicable, during the grant period October 1, 2005, to September 30, 2006. Applicants that used a system during this period that interfaces or will interface with HUD's database will be awarded more points than applicants that did not utilize a web-based system.If the applicant does not currently use an on-line or web-based system but plans to in the coming grant period, October 1, 2007 through September 30, 2008, indicate which system will be used, and how its use will be implemented in terms of training employees to use it and its ability to improve client services and generate reports.(3) Grant and Program Requirement Compliance (14 points).In scoring this Section, HUD will evaluate how well the applicant met the Program requirements, including reporting and grant document execution, if applicable, for the period October 1, 2005, to September 30, 2006, and its ability to spend all grant funds allotted.If the applicant did not receive an FY2005 HUD grant, it must provide a response, with sufficient detail for HUD to evaluate compliance, based on activities and requirements under other sources of funding, such as other federal, state, or local grant awards. Identify the source(s) and amount(s) of funds used for housing counseling. Provide relevant contact information for the agencies or organizations administering these programs so HUD can verify that the information you report is accurate.(a) Grantee Requirements. HUD will evaluate the applicant's performance with regard to the timeliness and completeness with which the applicant satisfied grant requirements, including grant document execution, grant reporting requirements including quarterly (if applicable), mid-term and final reports.(b) Form HUD-9902. HUD will deduct points if the applicant was required to submit a form HUD-9902 for the period October 1, 2005 through September 30,[[Page 11531]]2006, but failed to do so in a timely manner.(c) Expending Grant Funds. If grant awards were not fully expended during the grant period October 1, 2005, to September 30, 2006, provide an explanation as to the reason why and the steps the applicant has taken to ensure that future funding will be expended according to the terms of the grant agreement.(d) Performance Reviews. Significant findings on performance reviews conducted by HUD staff will be taken into consideration when scoring this section. Significant findings may be findings that suggest an applicant has operated its agency in a manner inconsistent with the Housing Counseling program.(e) Housing Counseling System (HCS). HUD will evaluate applicant's timeliness and effectiveness in validating and updating agency information in HCS. Intermediaries and SHFAs must describe procedures and quality control measures used to verify sub-grantee, and if applicable branch or affiliate, information is validated in HCS on a regular basis.(4) Management--Goals and Results (5 points). In scoring this section, HUD will compare applicant output and outcome goals and actual results for the period October 1, 2005 through September 30, 2006, and evaluate subsequent changes in approach resulting from any differences, if applicable. HUD's primary concern is how the applicant managed change, when needed, within the organization as well as a clear and reasonable explanation as to why goals were not met, or why they were exceeded, and what steps were taken organizationally to accommodate either scenario.For applicants that received a FY2005 housing counseling grant covering the period October 1, 2005 to September 30, 2006, HUD will compare the projections made in the Program Outcome and Output Logic Model, Form HUD-96010 submitted with the FY2005 Housing Counseling NOFA, including any adjustments based on actual award amounts, to the corresponding actual results for that period reported by the applicant on the Form HUD-9902 submitted to HUD.Applicants who did not receive a FY2005 Housing Counseling Grant and therefore did not finalize outcome and output projections, or who are recently approved, or who were a sub-grantee of an intermediary or SHFA for the period of October 1, 2005 through September 30, 2006, and are now applying for funding under the LHCA category must indicate the detailed, quantifiable goals the organization set for itself for the period covering October 1, 2005 to September 30, 2006, or for the 12 month period ending December 31, 2006 if more appropriate to the applicant's or other grant-requiring reporting schedule. Also provide the actual results corresponding to these goals and explain any differences in goals versus actual results and indicate what measurement reporting tools were used as well as describe the evaluation process. The Logic Model Instructions, which is tab 1 of Form HUD-96010, provides information regarding measurement reporting tools and the evaluation process. If describing goals corresponding to other grant programs or sources of funding, provide relevant contact information for the agencies or organizations administering those programs so HUD can verify that the goals and corresponding achievements you report are accurate. b. Rating Factor 2: Need/Extent of the Problem (12 Points).This factor addresses the extent to which there is a need for funding the proposed activities described in the applicant's work plan, and the degree to which the applicant's work plan substantively addresses departmental policy priorities.(1) Needs Data (6 points). Provide current or recent economic and demographic data, and any other evidence that demonstrates housing counseling need relevant to the target area. All proposed activities in Factor 3 must have corresponding need-related data. Sources for all data provided must be clearly cited. Do not submit copies of reports or tables.To the extent that the community the applicant serves has documented need in its Consolidated Plan, Analysis of Impediments to Fair Housing Choice (AI), or other planning documents, provide these in the response. Economic and demographic data must include persons with disabilities located in the target area. The U.S. Census Bureau, for example, maintains disability data by state, county, and metropolitan statistical area (MSA) at the following Web site: http://www.census.gov/hhes/www/disability/disability.html. Additionally, the HUD USER Research Information Service and Clearinghouse, available at http://www.huduser.org/, allows users to search over 800 HUD publications by subjects and keywords.In scoring this Section, HUD will evaluate the degree to which the applicant provides current or recent economic and demographic data, and any other evidence that demonstrates housing counseling need relevant to the target area and the activities proposed in projected work plan activities detailed in Rating Factor 3. Applicants that fail to identify current or recent objective data will not receive full points for this factor.(2) Departmental Policy Priorities (6 points). The Departmental policy priorities are described in detail in the General Section. Of those listed, the following five apply to the Housing Counseling Program for the purpose of this NOFA. Indicate if and describe how the applicant's work plan substantively addresses each of these departmental policy priorities. Applicants are advised to review the policy priorities in the General Section, to assure they fully understand the meaning of each, prior to responding to this sub-factor.In scoring this section, the applicant will receive one point for each of the departmental policy priorities (a)--(d) that the projected work plan in Factor 3 substantively addresses. Up to 2 points are available for priority (e). The General Section and HUD's Notices identify how policy priority points will be awarded. Copies of HUD's notices published on this issue, can be found on HUD's Web site at http://www.hud.gov/grants/index.cfm.(a) Providing Increased Homeownership and Rental Opportunities for Low- and Moderate-Income Persons, Persons with Disabilities, the Elderly, Minorities, and Families with Limited English Proficiency.(b) Providing Full and Equal Access to Grassroots, Faith-Based and Other Community-Based Organizations in HUD Program Implementation.(c) Participation of Minority-Serving Institutions in HUD Programs. Identify partnerships with minority-serving institutions of higher learning such as colleges and trade schools.(d) Participation in Energy Star. Applicants must provide information on how they promote or plan to promote Energy Star materials and practices and buildings constructed to Energy Star standards to homebuyers, renters and other applicable counseling clients. Describe any outreach activities previously conducted and/or planned to promote Energy Star products.(e) Removal of Regulatory Barriers to Affordable Housing. Under this policy priority, higher rating points are available to (1) governmental applicants that are able to demonstrate successful efforts in removing regulatory barriers to affordable housing and (2) nongovernmental applicants that are associated with jurisdictions that have undertaken successful efforts in removing barriers. To obtain the policy[[Page 11532]]priority points for efforts to successfully remove regulatory barriers, applicants must complete form HUD-27300, ``Questionnaire for HUD's Initiative on Removal of Regulatory Barriers.'' A limited number of questions on form HUD-27300 expressly request the applicant to provide brief documentation with its response. Other questions require that, for each affirmative statement made, the applicant supply a reference, URL or brief statement indicating where the back-up information may be found, and a point of contact, including a telephone number or e-mail address. Applicants that do not provide the required URL references, points of contact (POC) or other back-up documentation will not be eligible for the points associated with this policy priority. When addressing this policy priority, Intermediaries and SHFAs should complete a HUD-27300 that identifies the jurisdiction in which the preponderance of services will be performed if an award is made.c. Rating Factor 3: Soundness of Approach/Scope of Housing Counseling Services (35 Points). This factor addresses the quality and effectiveness of the applicant's historical and proposed housing counseling activities.(1) Historical Performance-Quality and Complexity of Services (8 Points).In scoring this section, HUD will evaluate the quality of, the variety of, and the level of effort and time associated with all the housing counseling services provided by the applicant from all funding sources during the period October 1, 2005 through September 30, 2006. Responses should contain ``Historical Performance'' as part of the heading for the response. Applicants must provide the following information:(a) Average hours of housing counseling per client, for the period October 1, 2005, through September 30, 2006, for each of the following service types, including follow-up, the applicant organization provides. Do not provide a range of hours.(i) Pre-purchase Counseling(ii) Homebuyer Education(iii) Delinquency/Default Counseling(iv) Non-Delinquency Post-Purchase Counseling(v) Home Equity Conversion Mortgage (HECM) Counseling(vi) Post-Purchase Education(vii) Rental Counseling(viii) Homeless/Displacement Counseling(ix) Predatory Lending Counseling(x) Homeownership Voucher Counseling and Education(xi) Fair Housing Issues.(xii) Other (describe)Describe the level of effort and time required to provide the housing counseling services described and to meet the needs of clients. Explain the average counseling time per client figures above. Scoring will be based on the degree to which the applicant demonstrates, as compared to other applicants, that sufficient time and resources were devoted to ensure that clients received quality counseling.(b) Types of Counseling and Services Offered: HUD will retrieve this information from the HUD-9902, ``All Counseling Activities'' column, through the Housing Counseling System (HCS). Verify that the information from this source is accurate. Scoring of the variety of housing counseling services offered is weighted to provide the most points for HECM and Post Purchase Default/Loss Mitigation counseling.(c) Group Education and One-On-One Counseling. For the period October 1, 2005, through September 30, 2006, HUD will retrieve from Section 6a-b of form HUD-9902, ``All Counseling Activities'' column, the number of clients that participated in Homebuyer Education Workshops or other types of classes offered as group sessions and will retrieve from Section 7a-e, the number of clients that participated in one-on-one counseling. Applicants should explain the figures provided in Form HUD-9902, ``All Counseling Activities'' column, regarding group session participation and one-on-one counseling. Describe how clients come to participate in one or the other, the relationship between the two, and the role that each plays in the applicant's overall service provision. Estimate the percentage of clients participating in both group education sessions and one-on-one counseling. Scorers will evaluate the extent to which an agency encouraged and provided one-on- one counseling, which HUD considers the most effective form of housing counseling, instead of over-relying on homebuyer education workshops and other forms of group sessions.(d) For intermediaries and SHFAs, HUD will evaluate the number and location of sub-grantees and branches that received funding from the applicant through a FY2005 HUD housing counseling grant(s), if applicable, covering the period October 1, 2005-September 30, 2006.(2) Historical Performance--Impact/Outcomes (9 points). To score this Section, HUD will evaluate the applicant's performance for the period October 1, 2005, to September 30, 2006 as reported on the HUD 9902, ``All Counseling Activities'' column. The quantity of clients the applicant served will be compared to similar applicants providing similar services. Clients served numbers will also be analyzed in the context of the applicant's total housing counseling budget for the same period, FY2005. HUD will also consider the degree to which the services provided were time and resource intensive. Additionally, for intermediaries and SHFAs, HUD will evaluate the geographic coverage and scope of the applicant's activities for the period October 1, 2005, through September 30, 2006, including the number of states served by affiliates or branches, if applicable, and the overall size of the housing counseling network during that period.(a) Cost per client. Clients served figures will be obtained from the Form HUD-9902, ``All Counseling Activities'' column, for the period October 1, 2005 through September 30, 2006, submitted to HUD by the applicant, which reflects activities funded both with HUD housing counseling grant funds, if applicable, and with other leveraged resources. Applicants that were not required to submit Form HUD-9902 for the period October 1, 2005 through September 30, 2006 must complete one as part of this application. In addition, the applicant must provide the following information.(i) Total housing counseling budget for the period October 1, 2005- September 30, 2006, including HUD housing counseling grant(s) or sub- grants, if applicable, as well as other resources leveraged specifically for housing counseling. Do not include funds for down payment or closing cost assistance, Individual Development Accounts, emergency services, or other resources not used for the direct provision of housing counseling.(ii) If projections for outputs and/or outcomes were not met, indicate how location, type of counseling, client type, and expenses may have affected client volume. Justify expenses and explain why they were reasonable, strategic, and appropriate.(b) Percentage of Grant Funding Passed Through: Intermediaries and SHFAs that received one or more FY2005 HUD housing counseling grant, for the grant period October 1, 2005, to September 30, 2006, must also indicate what percentage of their grant(s) was passed through directly to sub-grantees or branches, and explain how funds not passed through were spent.LHCAs applying under Applicant Category 1 that received one or more FY2005 HUD housing counseling grants for the grant period October 1, 2005, to September 30, 2006, must indicate what percentage of their grant(s) was spent on[[Continued on page 11533]]From the Federal Register Online via GPO Access [wais.access.gpo.gov] ][[pp. 11533-11582]] Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs[[Continued from page 11532]][[Page 11533]]the salaries and benefits of housing counselors and project directors. Explain how other funds were spent.All Applicants must indicate the sources and amounts spent on formal staff training during the grant period October 1, 2005, to September 30, 2006. Do not include on-the-job training.Applicants that did not receive a FY2005 HUD housing counseling grant must characterize their performance through other housing counseling funding sources, for example other federal, state or local government grants, providing as much detail, similar to that requested above, as possible.(c) Geographic Coverage: Intermediaries and SHFAs must identify the sub-grantees, affiliates and branches, and corresponding states, to which the applicant provided housing counseling funding, for the period October 1, 2005, through September 30, 2006, through:(i) FY2005 HUD housing counseling grant funds, if applicable.(ii) All housing counseling resources.(3) Projected Performance/Work Plan--Quality and Complexity of Services (9 points). This section involves information on the housing counseling services and other activities to be conducted during the period October 1, 2007, through September 30, 2008. In scoring this Section, HUD will consider the types and variety of housing counseling and education services being offered, and other activities occurring in support of the applicant's housing counseling program.HUD will also evaluate the quality of the applicant's proposed housing counseling services, and level of effort and time associated with providing the proposed counseling services to the number of clients it estimates it will serve. Scoring will be based on the degree to which the applicant demonstrates, as compared to other applicants, that for each type of counseling service delivered, average, greater than average or less than average time and resources will be devoted to ensure that clients receive quality counseling.Applicants must provide the following information, which will be used in conjunction with responses in Rating Factor 5, as a basis to support the scoring of the sub-factors below. There must be consistency between Rating Factor 3 and the projected outputs and outcomes in Rating Factor 5. Responses must contain ``Projected Performance'' as part of the heading for the response.(a) Describe the various types of housing counseling and education services, and if applicable intermediary activities, the applicant proposes to undertake, and identify the geographic area the services will cover. Also, describe planned follow-up activities, if applicable. Proposed services and activities must relate to the needs identified in Rating Factor 2. Scoring of the variety of housing counseling services offered is weighted to provide the most points for one-on-one counseling regarding HECM and Post Purchase Default/Loss Mitigation. To be eligible for the full points available for these service types, applicants proposing to provide HECM and/or Default/Loss Mitigation counseling must have prior HUD approval to provide these services.Intermediaries and SHFAs acting as intermediaries should describe in detail their plans to train proposed sub-grantees and branches, provide technical assistance, and evaluate compliance with program requirements, for example through site visits.(b) Average hours of housing counseling time the applicant estimates per client, for each of the activities listed in part (a), including follow-up. Do not provide a range of hours. If the projected average times are the same as those listed for the period covering October 1, 2005-September 30, 2006, the applicant may simply state so in lieu of listing them again here.(c) Indicate the names and titles of employees, including subcontractors and consultants, allocated to each proposed activity, as well as the corresponding staff hours for each task, and demonstrate that the applicant has the human resources to accomplish the proposed activities and serve the number of individuals the applicant proposes to serve. The staff information should include who from Rating Factor 1 will be involved and any new staff, subcontractors or consultants that will be hired for the October 1, 2007-September 30, 2008 grant period.(d) Indicate proposed amount to be spent on formal staff training during the grant period October 1, 2007, to September 30, 2008 from all sources. Do not include on-the-job training.(e) Describe plans to effectively serve and/or communicate with persons with limited English proficiency (LEP) and persons with disabilities who require alternative formats, for example materials that are available in languages other than English.(f) Intermediaries and SHFAs must also:(i) Describe the housing counseling and education activities to be provided by proposed sub-grantees and branches, explicitly stating the types of services to be offered, preferably in a chart.(ii) Describe the applicant's legal relationship with sub-grantees (i.e. membership organization, field, or branch office, subsidiary organization, etc.)(iii) Explain the process that will be used to determine sub- grantee funding levels and distribute funds. If applicable, indicate how sub-grantee funding levels are adjusted on an on-going basis based on performance.(4) Projected Performance/Work Plan--Coordination (5 points). HUD will consider the extent to which, as compared to similar applicants, the applicant can demonstrate it will coordinate proposed activities with other organizations, and if applicable, with other services and products offered by the applicant's organization in a manner that benefits their clients. Scoring will also be based on the degree to which the applicant takes steps to avoid conflicts of interest, and discloses to clients that they have a choice in matters such as the loan product they choose and the house that they purchase.(a) Identify and describe partnerships and efforts to coordinate proposed activities with other organizations, including, but not limited to, emergency and social services providers, lending organizations, homeowner insurance providers, down payment and closing cost assistance programs, nonprofit housing providers, and local or state government. For example, describe agreements with lenders regarding non-traditional lending standards or participation in the Consolidated Planning process or the Analysis of Impediments. Any written agreements or memoranda of understanding in place should be described. These agreements and memoranda of understanding will be reviewed by HUD staff as a part of the biennial reviews and on-site monitoring visits. Applicants should also highlight internal products and functions, if applicable, such as loan products available to clients, down payment and closing cost assistance programs, as well as internal affordable housing programs that can be a resource for clients. Applicants requesting HECM supplemental funding should highlight the partnerships or internal products that are relevant to HECM activities.(b) Describe plans to avoid conflicts of interest, such as methods for disclosing to participants that they are free to choose lenders, loan products, and homes, regardless of the recommendations made by counselors. To receive full credit in this Section, the applicant must submit the disclosure forms and materials used by the applicant to communicate to clients that, while affordable homes, lending[[Page 11534]]products and other forms of assistance might be available through the applicant, and partnerships in which the applicant has entered, the client is under no obligation to utilize these services. These plans and disclosures will also be reviewed by HUD staff as a part of the biennial reviews and on-site monitoring visits.(5) Projected Performance/Work Plan--Coverage/Efficient Use of Resources (4 points). In scoring this Section, HUD will evaluate the geographic coverage of the applicant's proposed activities, and spending decisions.(a) Percentage of Grant Funding To Be Passed Through: Intermediaries and SHFAs must indicate what percentage of their proposed award will be passed through directly to sub-grantees and branches, and explain how funds not passed through will be spent. LHCAs that apply under Applicant Category 1 must indicate what percentage of their proposed award will be spent on the salaries and benefits of housing counselors and project directors. Explain in detail how other proposed funds will be spent.(b) Geographic Coverage: Intermediaries and SHFAs must identify the sub-grantees and branches, and corresponding states, the applicant proposes will receive funding through this grant award. Indicate which, if any proposed sub-grantees and branches, serve Colonias. In the event that an intermediary is also applying for HECM supplemental funding, indicate the agencies and corresponding states in which the HUD HECM Network counselors you propose to fund are located. Applicants unable to precisely identify proposed sub-grantees and branches to receive funding through the proposed grant must identify the most likely sub- grantees and branches, based on past experience, and explain what process will be used to select actual sub-grantees and branches. Pursuant to the applicable regulations at 24 CFR 84.82(d)(3)(iii) and 85.30(d)(4), grantees must receive HUD's prior written approval for sub-grants.d. Rating Factor 4: Leveraging Resources (10 Points). HUD housing counseling grants are not intended to fully fund an applicant's housing counseling program, or that of its sub-grantees. All organizations that use housing counseling grant funds are expected to seek other private and public sources of funding for housing counseling to supplement HUD funding. Any agency that does not have other resources available will receive no points for this factor. Applicants will be evaluated based on their ability to show that they have obtained additional resources for their housing counseling activities, for the period October 1, 2007--September 30, 2008, including: direct financial assistance; in- kind contributions, such as services, equipment, office space, labor; etc. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities committed to providing assistance. Grantees will be required to maintain evidence that leveraged funds were actually provided to the agency. These files will be reviewed by HUD staff as a part of the biennial reviews and on-site monitoring visits.(1) All Applicants must provide a comprehensive list of all leveraged funds and in-kind contributions being claimed. Include the amount and the source, and total it. Intermediaries and SHFAs must itemize the list of leveraged resources by each proposed sub-grantee and/or funded branch office. All leveraged resources claimed by an applicant, including cash and third party in-kind, must meet all of the criteria set forth in 24 CFR 84.23 and must be accounted for in the budget form 424CBW.(2) Additionally, for Category 1--Local Housing Counseling Agencies (LHCAs), in order to obtain points under this factor, the Applicant must demonstrate leveraging by providing letters and, if applicable, copies of relevant grant agreements, from entities or individuals, or both, committing resources to the project, that include:(a) The identity of the entity or individual committing resources to the project.(b) Dollar value of the resources to be committed. For in-kind resources with no clear total dollar value indicated, Applicants should estimate their value and describe in detail how the estimate was determined. Values for recipient contributions of services and property shall be established in accordance with the applicable cost principles.(c) The type of resources to be committed.(d) An indication that the resources will be available during the grant period pertaining to this NOFA, October 1, 2007-September 30, 2008.(e) An indication that the award, or a specific portion of it, is intended for housing counseling.(f) The signature of an official of the entity legally able to make commitments on behalf of the entity.(g) No conditions that would nullify the commitment. (It is, however, acceptable for the commitment to be conditional on HUD funding.)(3) Additionally, resources provided by the applicant may count as leveraged resources. These amounts must include only funds that will directly result in the provision of housing counseling services, but not resources for activities such as down payment and closing cost assistance, IDA programs, and emergency services.(4) Intermediaries and SHFAs should include information on leveraged resources for only anticipated sub-grantees and branches that will be funded through this application.(5) Points for this factor will be awarded based on the amount of leveraging that meets the criteria in this section and the percentage of the applicant's total housing counseling budget that the requested HUD housing counseling funds would represent. The amount of grant funds requested will impact the ratio used to score this factor, as this factor evaluates the proposed HUD grant as a percentage of the total counseling budget. For example, a LHCA requesting the maximum comprehensive grant amount of $150,000 with leveraged funds equaling that grant will only receive 7 points. If that same LHCA requests only $100,000 with the same leveraged funds of $150,000, the score will be 9. Depending on organization type, the following scales will be used to determine scores for this factor:LHCAs and SHFAs1-25%--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 pointIntermediaries1-15%--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 pointe. Rating Factor 5: Achieving Results and Program Evaluation (13 points). This factor emphasizes HUD's determination to ensure that applicants meet commitments made in their applications and grant agreements and assess their performance in achieving agreed upon performance goals. This reflects HUD's Strategic goal to embrace[[Page 11535]]high standards of ethics, management and accountability.The purpose of this factor is for the applicant to identify projected outputs and outcomes corresponding to the proposed workplan in Factor 3. The developed logic model submitted with the application will serve as a reporting tool for applicants selected to receive an award, allowing HUD to compare proposed program outputs and outcomes with actual results. In scoring this Factor, HUD will consider the appropriateness of the goals given the award the applicant is applying for and evaluate the proposed outputs and outcomes for their effectiveness and efficiency in delivering housing counseling services to the population to be serviced. Additionally, scorers will evaluate the extent to which an applicant's proposal includes one-on-one counseling or encourages affiliates to undertake one-on-one counseling. HUD considers one-on-one counseling the most effective form of housing counseling, as compared to homebuyer education workshops and other forms of group sessions.(1) Program Outcome Logic Model (2 points). Applicants must select appropriate outputs and outcomes from a series of ``pick lists'' for the Housing Counseling Program. The pick list can be found in the form HUD-96010 in the Grants.gov Housing Counseling Program Instructions Download. Using the pick list, for each column of the logic model, applicants can select and insert their outputs and outcomes in the appropriate columns of the Logic Model.The pick lists also provide for an associate unit of measure for each output and outcome, and applicants must utilize the measure provided that is associated to the activity. Applicants must identify projected output and outcome values that correspond to the unit of measure. For example, insert whole numbers, not percentages, when the unit of measure is `Households'.These amounts should represent results to be achieved entirely as a result of the HUD housing counseling funding. If, in reality, various funding sources will contribute to the services provided each individual, the applicant must prorate their response to reflect a figure representing services provided with only funding from the proposed grant.Applicants should use the same methodology to complete the logic model as they do for form HUD-9902. For example, the logic model is not designed to record the exact number of clients projected or served, but rather the number of unique counseling or education services provided. So an individual or household that receives multiple, distinct types of counseling or education in a reporting period is recorded on the logic model multiple times. For example, if an individual comes in for one type of counseling (e.g. pre-purchase), they are recorded. If, later in the reporting period, the same individual comes in for another type of counseling, for example default counseling, record this new activity. By contrast, if multiple topics are covered in one counseling session, it is only recorded as one activity. Moreover, the form is designed to capture participation in each complete course on a unique education topic. For example: whether or not the course is completed in one 8- hour session, or four 2-hour classes, it is counted as one course.In addition, HUD has provided a series of management questions, which awardees will be expected to respond to in reporting back to HUD. The management questions place a framework around the data you will be reporting to HUD. The management questions are included in the Logic Model and applicants should use them as a guide to understanding what HUD is interested in learning about the major element of your program. HUD will provide training on the Logic Model through webcasts and detailed step-by-step instructions for using the new form and format. The schedule for the webcasts and instructions can be found at http://www.hud.gov/offices/adm/grants/fundsavail. For FY2007, HUD is considering a new concept for the Logic Model. The new concept is a Return on Investment (ROI) statement. HUD will be publishing a separate notice on the ROI concept.Applicants must complete and submit Form HUD-96010 reflecting projected outputs and outcomes under the proposed HUD Housing Counseling grant. The Form HUD-96010 must identify:(a) Outputs. Outputs are the direct products of the applicant's activities that lead to the ultimate achievement of outcomes. Based on the proposed work plan in Factor 3 and the amount being requested through this NOFA, applicants should select the appropriate outputs and their associated units of measure from the choices provided in the pick list, and provide the corresponding number to be achieved for each proposed output.If requesting supplemental funding, indicate the specific number of households the applicant projects it, or if applicable, sub-grantees and branches, will serve under the comprehensive counseling portion of the requested award and with requested HECM supplemental funding.(b) Outcomes. Outcomes are benefits accruing to the households as a result of participation in the program. Outcomes are performance indicators the applicant expects to achieve or goals it hopes to meet over the term of the proposed grant. Using the pick lists provided, applicants should select each appropriate outcome and associated unit of measure related to the proposed work plan, and provide the corresponding number to be achieved for each proposed outcome. Projected outcomes should reflect the number you expect to report in the HUD Housing Counseling Grant Activities column on the Form HUD- 9902.The proposed outcomes the applicant provides will be compared to actual results in the measurement of grant performance and future grant application evaluations.(2) Projected Performance/Work Plan--Impact (6 points). In scoring this Section, HUD will evaluate the proposed outputs from the logic model, specifically the number of clients that the applicant estimates will be served under the proposed HUD grant, by the applicant and sub- grantees, if applicable, for the grant period October 1, 2007, to September 30, 2008. Scoring will be based on the cost per client, compared to historical averages for similar services and similar applicants. Proposed clients served numbers will also be analyzed in the context of budget, costs, spending decisions, the types of services provided, level of effort expended, etc.(a) Provide a context for, or qualify the number of clients the applicant projects to serve with the proposed HUD grant. Indicate how location, counseling and client types, and expenses may affect client volume, and whether the impact will be short-term or long-term. Justify proposed expenses and explain why they are reasonable, strategic, and appropriate for the counseling activities identified above.(3) Projected Performance--Group Education and One-On-One Counseling. (3 points). HUD will utilize logic model output projections to evaluate what percentage of total clients the applicant estimates will participate in group education, what percentage will participate in one-on-one counseling, and what percentage will participate in both group sessions and one-on-one counseling. Applicants must complete each of these output projections. Describe how clients are selected for one or the other, the relationship between the two, and the role that each will play in the overall service[[Page 11536]]provision. Scorers will evaluate the extent to which an agency plans to encourage and provide one-on-one counseling, which HUD considers the most effective form of housing counseling, instead of over-relying on homebuyer education workshops and other forms of group sessions.(4) Evaluation Plan. (2 points). Applicants must also submit an evaluation plan for how they are going to track actual accomplishments against anticipated achievements and ensure that the program can provide the services projected to be delivered and outcomes projected to be achieved.(a) Information Collection. Describe the applicant's procedures for measuring outputs and outcomes. Describe follow-up activities with clients to collect outcome information.(b) Data Analysis and Work Plan Adjustments. Indicate how the information will be evaluated, and the steps the applicant has in place to make adjustments to the work plan if performance targets are not met within established timeframes. National and regional intermediaries and SHFAs should indicate if and how the performance of sub-grantees and branch offices affects current and future sub-grants and allocations.B. Review and Selection Process. Two types of reviews will be conducted.1. Technical Review. First, each application will be reviewed for technical sufficiency, in other words, whether the application meets the threshold requirements set out in this NOFA and the General Section and whether all required forms have been submitted. The General Section provides the procedures for corrections to deficient applications.2. General Review. The second review considers the responses to the rating factors outlined above and other relevant information. Applications will be evaluated competitively, and ranked against all other applicants that applied in the same funding category.3. Rating Panels. Detailed information on the rating review panels appears in the General Section.4. Minimum Score for Fundable Applications. The minimum score for fundable applications is 75 points.5. Funding Methodology.a. Comprehensive Counseling. Only applicants who receive a score of 75 points or above will be considered eligible for funding. All eligible applicants will then be funded in proportion to the score they receive. Regarding the comprehensive counseling portion of an award, all grantees will receive the lower of either the comprehensive award amount determined with the formula, or the amount actually requested by the applicant. HUD will consider the amount of the comprehensive counseling grant being requested to be the value entered into box 18a on form SF-424. For intermediaries also requesting HECM supplemental funding, box 18a of Form SF-424 should reflect the total of the comprehensive request and the HECM supplemental request. For those intermediaries requesting both, the narrative response to Factor 3 must make clear the exact comprehensive and supplemental amounts being requested. The minimum award is $20,000 for LHCAs; $50,000 for SHFAs; and $200,000 for intermediaries.b. Supplemental Funding. The same methodology described above in section a will be used to distribute the available HECM supplemental funds. Regarding supplemental funding, all grantees will receive the lower of either the supplemental award amount determined with the formula, or the specific amount of supplemental funding actually requested by the applicant. Each applicant will only submit one application and receive a score based on the application for the comprehensive counseling grant. Comprehensive counseling funds will be allocated based on this score. Subsequently, for HECM supplemental funding, responses to each rating factor will be evaluated on a yes/no, adequate/inadequate basis. An adequate response will result in a score for the supplemental funding identical to the comprehensive score on each respective rating factor. An inadequate supplemental response will result in a 1-point deduction from the comprehensive score. After all five rating factors have been evaluated, the adjusted ratings will result in a distinct score for the HECM supplemental funds. This method will result in scores for supplemental funding that may be equal to the comprehensive score, or up to five points less than the comprehensive score. In no case can an applicant receive a higher score on an application for supplemental funding than it received on its comprehensive application. An applicant will receive a separate score for its application for comprehensive counseling, and for HECM supplemental funding. The base award for the HECM supplemental funding will be $40,000 for intermediaries. Only applicants scoring 75 points or above are eligible for supplemental funding. HUD may award one or more HECM supplemental grants to intermediaries. HECM supplemental grant funds are awarded based upon scores beginning with the highest until the funds are expended. Applications that receive 75 points or more will not necessarily receive supplemental funding.6. Reallocation of Unspent Funds. If funds designated for a specific grant Category, HOC, or for supplemental funding remain unspent after the formulas have been run and award recommendations are determined, HUD may, at its discretion, reallocate those funds to any other funding Category or supplemental funding area under this NOFA. Additionally, HUD may reallocate unspent funds to any HOC jurisdiction or to HUD Headquarters for awards under this NOFA. HUD may also reallocate unspent funds for housing counseling support activities. Any reallocation will be based on demand and unmet need.VI. Award Administration InformationA. 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 Requirements1. Environmental Requirements. In accordance with 24 CFR 50.19(b)(9) and (12) of the HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under the related laws and authorities.2. Audit Requirements. Grantees that expend $500,000 or more in federal financial assistance in a single year (this can be program year or fiscal year) must be audited in accordance with the OMB requirements as established in 24 CFR part 84. Additional information regarding this requirement can be accessed at the following Web site: http://harvester.census.gov/sac .3. Other Matters.a. Relocation. See the General Section.b. OMB Circulars and Government-wide Regulations Applicable to[[Page 11537]]Financial Assistance Programs. See the General Section.c. Prohibition Against Lobbying Activities. See the General Section.d. Procurement of Recovered Materials. See the General Section.f. Executive Order 13279 Equal Protection of the Laws for Faith- Based and Community Organizations. See the General Section.g. Salary Limitation for Consultants. See the General Section.h. Executive Order 13132, Federalism. See the General Section.C. Reporting1. 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 http://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 centerStatesPhiladelphia Homeownership Center:Ms. Brenda Bellisario, Director, Connecticut, Delaware, District Program Support Division,of Columbia, Maine, Maryland, Wannamaker Building, 100 PennMassachusetts, Michigan, New Square East, 12th Floor,Hampshire, New Jersey, New Philadelphia, PA 19107-3389. For York, Ohio, Pennsylvania, programmatic information contact: Rhode Island, Vermont, Robert Wright, Robert--Virginia, West Virginia. Wright@hud.gov, (215) 656-0527 x3406. Atlanta Homeownership Center:Ms. Gayle Knowlson, Director,Alabama, Puerto Rico, Florida, Program Support Division, 40Georgia, Illinois, Indiana, Marietta Street, 8th Floor,Kentucky, Mississippi, North Atlanta, GA 30303-2806. ForCarolina, South Carolina, programmatic information contact: Tennessee. E. Carolyn Hogans, E.--Carolyn-- Hogans@hud.gov, (404) 331-5001, x2129. Denver Homeownership Center:Ms. Irma Devich, Director, Program Arkansas, Colorado, Iowa, Support Division, 1670 Broadway, Kansas, Louisiana, Minnesota, Denver, CO 80202-4801. ForMissouri, Montana, Nebraska, programmatic information contact: New Mexico, North Dakota, Vic Karels, 303-675-1640, Victor-- Oklahoma, South Dakota, Texas, E._Karels@hud.gov.Utah, Wisconsin, Wyoming. Santa Ana Homeownership Center:Mr. Jerrold Mayer, Director,Alaska, Arizona, California, Program Support Division, Santa Hawaii, Oregon, Idaho, Nevada, Ana Federal Building, 34 Civic Washington. Center Plaza, Room 7015, Santa Ana, CA 92701-4003. For programmatic information contact: Rhonda J. Rivera, rhonda--j.-- rivera@hud.gov, 1-888-827-5605 x3210.VIII. Other InformationA. Satellite Broadcast. HUD will hold an informational broadcast via satellite for potential applicants to learn more about the program, the FY2007 Logic Model requirements, and the application. For more information about the date and time of the broadcast, consult the HUD Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.B. Paperwork Reduction Act. The information collection requirements contained in this document have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2502-0261. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection displays a currently valid OMB control number. Public reporting burden for the collection of information is estimated to average 68 hours per annum per respondent for the application and grant administration. This includes the time for collecting, reviewing, and reporting the data for the application, semi-annual reports and final report. The information will be used for grantee selection and monitoring the administration of funds. Response to this request for information is required in order to receive the benefits to be derived. BILLING CODE 4210-01-P[[Page 11538]][GRAPHIC] [TIFF OMITTED] TN13MR07.012[[Page 11539]]Lead-Based Paint Hazard Control Grant Program, Lead Hazard Reduction Demonstration Grant Program, and Operation Lead Elimination Action ProgramOverview InformationA. Federal Agency Name: Department of Housing and Urban Development, Office of Healthy Homes and Lead Hazard Control.B. Funding Opportunity Title: Lead-Based Paint Hazard Control Program, Lead Hazard Reduction Demonstration Program, and Operation Lead Elimination Action Program).C. Announcement Type: Initial announcement.D. Funding Opportunity Number: FR-5100-N-20; OMB Approval Number 2539-0015.E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.900 Lead-Based Paint Hazard Control in Privately Owned Housing and 14.905 Lead Hazard Reduction Demonstration Program, and 14.903 Operation Lead Elimination Action Program.F. Dates: Applications must be received and validated by Grants.gov no later than 11:59:59 p.m. eastern time on May 18, 2007 for the Lead- Based Paint Hazard Control and Operation Lead Elimination Action Programs, and the application deadline date for the Lead Hazard Reduction Demonstration is May 30, 2007. See the General Section for specific instructions regarding application submission.G. Additional Overview Content Information:1. Purpose of the Program.a. The purpose of the Lead-Based Paint Hazard Control Program is to assist states, Native American Tribes, and local governments in undertaking comprehensive programs to identify and control lead-based paint hazards in eligible privately owned housing for rental or owner- occupants.b. The purpose of the Lead Hazard Reduction Demonstration Grant Program is the same as the Lead-Based Paint Hazard Control, but the Lead Hazard Reduction Demonstration Grant Program is targeted for urban jurisdictions with the highest lead-based paint hazard control needs.c. The purpose of the Operation Lead Elimination Action Program is to provide grants to private sector and non-profit organizations to leverage funds for addressing lead hazards in privately owned housing units and eliminating lead poisoning as a major public health threat to young children.2. Available Funds. Approximately $148.4 million (Lead-Based Paint Hazard Control Program, Lead Hazard Reduction Demonstration Program and Lead Elimination Action Program).3. Eligible Applicants.a. To be eligible to apply for funding under the Lead-Based Paint Hazard Control (LBPHC) Grant Program, the applicant must be a state, Native American Tribe, city, county, or other unit of local government. Multiple units of a local government (or multiple local governments) may apply as a consortium; however, you must identify a lead applicant that will be responsible for ensuring compliance with all requirements specified in this NOFA. State government and Native American tribal applicants must have an Environmental Protection Agency (EPA) authorized lead-based paint training and certification program.b. To be eligible to apply for the Lead Hazard Reduction Demonstration (LHRD) Grant Program, the applicant must be a city, county, Native American Tribe, or other unit of local government. The applicant must have at least 3,500 pre-1940 occupied rental housing units, as listed at the 2000 Census Web site identified in Form HUD 96013, Need/Extent of the Problem. In addition, a State may apply on behalf of one or more of the eligible local jurisdictions if it has an EPA-authorized lead-based paint training and certification program. A list of eligible applicants can be downloaded with the application from http://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 AnnouncementI. Funding Opportunity DescriptionA. Program Description. The Lead-Based Paint Hazard Control Program (LBPHC), the Lead Hazard Reduction Demonstration Grant Program (LHRD) and the Operation Lead Elimination Action Program (LEAP) are authorized by Section 1011 of the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and Community Development Act of 1992, Pub. L. 102-550). HUD's authority for making funding available under this NOFA for the Lead-Based Paint Hazard Control Program, the Operation Lead Elimination Action Program and the Lead Hazard Reduction Demonstration Program is the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). The Lead- Based Paint Hazard Control Grant Program assists states, Native American Tribes and local governments, and the Lead Hazard Reduction Demonstration Program assists urban jurisdictions with the highest lead-based paint hazard control needs, in undertaking programs for the identification and control of lead-based paint hazards in eligible privately owned rental and owner-occupied housing units. Operation Lead Elimination Action Program (LEAP) provides grants to private sector and non-profit organizations to leverage funds for addressing lead hazards in privately owned housing units and eliminating lead poisoning as a major public health threat to young children. HUD is interested in promoting lead hazard control approaches that result in the reduction of elevated blood lead levels in children for the maximum number of low-income families with children under six years of age, for the longest period of time, and that demonstrate techniques which are cost- effective, efficient, and replicable elsewhere. Refer to the HUD Web site http://www.hud.gov/offices/lead/regs/leadtitlex.pdf to obtain information on Title X. HUD's Lead Safe Housing Regulation is available at http://www.hud.gov/offices/lead/leadsaferule/LSHRFinal21June04.rtf, and the companion interpretive guidance publication at http://ttp://cannot access the information you can call the NOFA Information Center at 800-HUD-8929. If you are a hearing- or speech-impaired person, you may request the information by telephone TTY by calling the toll-free Federal Information Relay Service at 800-877-8339.Because lead-based paint is a national problem, these funds will be awarded to programs that will fulfill the following objectives:1. Maximize the combination of children less than six years of age protected from lead poisoning and housing units where lead-hazards are controlled;[[Page 11540]]2. Target the reduction of elevated blood lead levels in children for the maximum number of low-income families with children less than six years of age, for the longest period of time;3. Stimulate lower-cost and cost-effective methods and approaches to lead hazard control work that can be replicated;4. Build local capacity to safely and effectively address lead hazards during lead hazard control, renovation, remodeling, and maintenance activities by integrating lead safe work practices into housing maintenance, repair, weatherization, rehabilitation, and other programs that will continue beyond the grant period;5. Affirmatively further fair housing and environmental justice;6. Develop a comprehensive community approach to address lead hazards in housing by mobilizing public and private resources, involving cooperation among all levels of government, the private sector, and grassroots community-based non-profit organizations, including faith-based organizations, to develop cost-effective methods for identifying and controlling lead-based paint hazards;7. Establish a public registry (listing) of lead-safe housing or inclusion of the lead-safe status of properties in a publicly accessible address-based property information system to be affirmatively marketed to families with young children; and8. To the greatest extent feasible, promote job training, employment, and other economic opportunities for low-income and minority residents and businesses that are owned by and/or employ minorities and low-income persons as defined in 24 CFR 135.5 (see 59 FR 33881, published June 30, 1994).B. Changes in the FY 2007 NOFA1. 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 InformationA. Funding Available. From current and past years' funding, approximately $76.4 million will be available for the Lead-Based Paint Hazard Control Program, approximately $54.7 million will be available for the Lead-Based Paint Hazard Reduction Grant Program, and approximately $17.3 million will be available for Operation Lead Elimination Action Program.1. Approximately 26 to 40 grants will be awarded to applicants for the Lead-Based Paint Hazard Control Program. Approximately 14 to 22 grants will be awarded to applicants for the Lead Hazard Reduction Demonstration Program, and approximately 9 to 12 grants will be awarded to applicants for Operation Lead Elimination Action Program. Grant award amounts for the entire period of performance for Lead-Based Paint Hazard Control Program grants shall be from approximately $1 million up to a maximum of $3 million per grant, for the Lead Hazard Reduction Demonstration Program grants, from approximately $1 million up to a maximum of $4 million per grant, and for Operation Lead Elimination Action Program (LEAP) grants a maximum of $2 million per grant. Applications for amounts larger than the applicable maximum amount for a program will be deemed ineligible and will not be reviewed.2. The start date for grants is expected to be no later than October 1, 2007. The period of performance shall not exceed 36 months. Period of performance extensions for delays due to conditions beyond the grantee's control will be considered by HUD in accordance with 24 CFR 84.25(e)(2) or 85.30(d)(2), as applicable, and the OHHLHC Program Guide. Such extensions, when granted, are one time only, and for no longer than a period of one year from the original period of performance end date.B. Contracts or Other Formal Arrangements.1. If selected for funding, grantees are required to maintain a contract administration system to ensure sub-grantee and contractor conformance with the terms, conditions, and specifications of contracts. Grantees must enter into written contracts or agreements with sub-grantees and contractors, which identify specific services to be provided such as:Staffing requirements,Time periods for the performance of work,Project budget, and total amount of compensation to be provided,Methods and documentation requirements for obtaining reimbursement of expenses,Record keeping and reporting requirements,Requirements placed upon the sub-grantee or contractor to comply with applicable federal laws, regulations, circulars, and Executive Orders,Provisions for the grantee with access to financial and other documents and files for the purpose of monitoring sub-grantee or contractor performance and compliance with the local contract or agreement, and applicable Federal laws, regulations, circulars and Executive orders.2. All applicants are encouraged to enter into formal arrangements with grassroots community-based non-profit organizations, including faith-based organizations, or other community-based organizations, particularly if such organizations will be reimbursed for eligible activities under this NOFA. (This does not apply to Native American Tribes.) These formal arrangements could be a contract, a Memorandum of Understanding (MOU), a Memorandum of Agreement (MOA), or a letter of commitment. Such relationships should be established prior to the actual execution of an award or within 120 days of the effective start date of the grant agreement.III. Eligibility InformationA. Eligible ApplicantsSee the General Section for additional eligibility requirements applicable to HUD Programs. See chart below that describes eligible applicants, match percentage requirement, minimum percentage of federal funds for direct lead hazard control activities, and maximum administrative cost.[[Page 11541]]Match Requirements and Administrative Costs by Grant ProgramsPercent of HUD awardProgramsEligible applicantsDirect lead hazard control MatchcostsAdministrative costLead-Based Paint Hazard Control State, Native American 10%........................ Minimum 65%................ Maximum 10%. Program (LBPHC).Tribe, city, county, or other unit of local government. Multiple units of a local government (or multiple local governments) may apply as a consortium; however, you must identify a lead applicant that will be responsible for ensuring compliance with all requirements specified in this NOFA. State government and Native American tribal applicants must have an Environmental Protection Agency (EPA) authorized lead-based paint training and certification program. Lead hazard Reduction Demonstration City, county, Native10%........................ Minimum 80%................ Maximum 10%. (LHRD).American Tribe, or other unit of local government. The applicant must have at least 3,500 pre-1940 occupied rental housing units, as listed at the 2000 Census Web site identified in Form HUD 96013, Need/Extent of the Problem. In addition, a State may apply on behalf of one or more of the eligible local jurisdictions if it has an EPA-authorized lead-based paint training and certification program. A list of eligible applicants can be downloaded with the application from http://www.grants.gov, inAppendix A. Operation Lead Elimination Action For-profit and non-profit None....................... Minimum 65%................ Maximum 10%. Program (LEAP).entities; colleges and universities; and national and local groups. For profit institutions are not allowed to earn a fee.B. Cost Sharing and MatchThis section applies to all three grant programs. See Chart above for statutory match requirements. Match and Leverage Guidance in Appendix B can be downloaded with the application from http://www.grants.gov/applicants/apply_for_grants.jsp. If an applicant does not meet the minimum requirements of 10 percent match for LBPHC it will be considered ineligible for an award.Under Rating Factor 4, Leveraging, HUD provides rating points to applicants that documenting additional resources to increase the scope or effectiveness of the proposed program activities. For the LBPHC and LHRD that have a required match, HUD will award points to applicants that provide additional resources over required match amount. For LEAP applicants, which has no matching requirement, HUD will award points based upon the amount of resources that are leveraged by the applicant. The larger the amount of funds or in-kind services that are secured by the applicant, the higher the number of points that will be awarded under Rating Factor 4. For all programs, match and/or leverage contributions may be in the form of cash including private sector funding, or in-kind (non-cash) contributions or a combination of these sources. With the exception of Community Development Block Grant (CDBG) funds, or other programs that allow their funds to be considered local funds and therefore eligible to be used as matching funds, federal funds may not be used to satisfy any statutorily required matching requirement, as applicable. Both CDBG and other local funds must be used for otherwise eligible grant-related lead hazard control activities to be eligible as match or leverage funds. For cash and in kind match and leveraged contributions, the applicant must submit a letter of commitment, signed by an official of the organization legally able to make commitments on behalf of the organization. The letter must indicate the amount and source, and detail how the contribution will support the proposed grant program. The signature of the authorized official on the Form SF-424 is deemed as official documentation of commitment of match or other contributed resources of the applicant organization. A separate letter from the applicant organization is not required. For LEAP applicants, a leveraged resource only from the private sector is considered eligible. All matching and leveraged contributions shall be used for the same purposes as allowed for by the federal funds.C. Other1. Eligible Costs and Activities. This section applies to all three grant programs unless otherwise specified.All lead hazard control activities funded under the LBPHC, LHRD and LEAP must be conducted in compliance with the applicable requirements of HUD's Lead-Safe Housing Regulation, 24 CFR part 35, and the companion Interpretive Guidance publication. Activities must also comply with any additional requirements in effect under a state or Tribal Lead-Based Paint Training and Certification Program that has been authorized by the EPA pursuant to 40 CFR 745.320.There are, in general, four categories of eligible costs under each competitive grant program included in this NOFA: (1) Direct costs for lead-based paint hazard identification and control activities, (2) other direct costs, (3) indirect costs, and (4) administrative costs. a. Definition of Direct Costs and Description of Lead-Based Paint Hazard Identification and Control Activities.Direct costs are defined as the allocable portion of allowable costs incurred directly for the purposes of the grant. Direct costs for lead hazard control activities consist of lead dust, soil and paint- chip testing and associated laboratory costs, the purchase or lease of a maximum of two X-ray fluorescence analyzers (if not otherwise available), and XRF maintenance, lead paint inspection and risk assessments, interim controls, abatement of lead-based paint or lead- based paint hazards (see section C.1(a)(4)(b) for abatement limitations), occupant protection and temporary relocation of occupants when lead hazard control work supported by this program is conducted in a unit, and clearance examinations. Direct costs for[[Page 11542]]lead-based paint hazard identification and control activities do not include universal blood lead testing, housing rehabilitation beyond what is specifically required to carry out effective lead hazard control, training, community education and outreach, applied research and purchase of supplies or equipment and administrative costs. Eligible activities to meet the minimum 65% (LBPHC and LEAP) or 80% (LHRD) direct lead hazard control costs, as applicable, are as follows:(1) Performing lead dust, soil and paint-chip testing, lead-based paint inspections, risk assessments, clearance examination, and engineering and architectural activities that are required for, and in direct support of, interim control and lead hazard abatement work, of eligible housing units constructed prior to 1978 to determine the presence of lead-based paint and/or lead hazards from paint, dust, or soil through the use of acceptable testing procedures.(2) All laboratory analysis in support of required testing and evaluation under this NOFA must be conducted by a laboratory recognized for the analysis by the EPA National Lead Laboratory Accreditation Program (NLLAP).(3) All lead-based paint testing results, summaries of lead-based paint hazard control treatments, and clearances must be provided to the owner of the unit, together with a notice describing the owner's legal duty to disclose the results to tenants and buyers. Grantee files must contain verifiable evidence of providing lead hazard control reports, such as a signed and dated receipt. Refer to 24 CFR 35.125 of the Lead Safe Housing Regulation.(4) All lead-based paint hazards identified in housing units and in common areas of multifamily housing enrolled in this grant program must be controlled or eliminated by either of the following strategies or a combination of the two;(a) Interim Controls. According to the HUD Guidelines, interim controls of lead-based paint hazards including lead-contaminated dust and soil in housing must include specialized cleaning techniques to address lead dust.(b) Lead-Based Paint Hazard Abatement. Abatement of all lead-based paint or lead-based paint hazards is generally authorized only in states or localities that require complete abatement by law. HUD does not consider abatement of all lead-based paint to be cost effective in most circumstances; therefore, a grantee must make a special request in writing prior to conducting complete abatement of lead-based paint or lead-based paint hazards. Abatement of lead-contaminated soil should be limited to areas with bare soil in the immediate vicinity of the structure (i.e., the drip line or foundation of the unit being treated, and children's play areas).(5) Undertaking minimal housing rehabilitation activities that are specifically required to carry out effective hazard control, and without which the hazard control could not be completed and maintained. These grant funds may be used for lead hazard control work done in conjunction with other housing rehabilitation programs, to the extent practicable. HUD encourages integration of this grant program with housing rehabilitation, maintenance, weatherization, and other energy conservation activities.(6) Carrying out temporary relocation of families and individuals while the remediation is conducted and until the time the affected unit receives clearance for re-occupancy. See Section III.C.4.e, Real Property Acquisition and Relocation of the General Section and Section VI.B.4 of this NOFA for discussion of regulations that apply when relocating families. b. Description of Eligible Other Direct Costs.(1) Purchasing or leasing equipment having a per-unit cost under $5,000 (except for the purchase or lease of up to two X-ray florescence analyzers used by the grant program).(2) Performing blood lead testing and air sampling to protect the health of the hazard control workers, supervisors, and contractors.(3) Conducting pre-hazard control blood lead testing of children under six years of age residing in or frequently visiting units undergoing lead hazard control work.(4) Conducting targeted outreach, affirmative marketing, education or outreach programs on lead hazard control and lead poisoning prevention designed to increase the ability of the program to deliver lead hazard control services including educating owners of rental properties, tenants, and others on the Residential Lead-Based Paint Hazard Reduction Act, Lead-Safe Housing Rule, and applicable provisions of the Fair Housing Act especially as it pertains to familial status (e.g., families with children) and disability discrimination, offering educational materials in languages that are common in the community other than English, consistent with HUD's published Limited English Proficiency (LEP) Recipient Guidance, 68 FR 70968, and providing training on lead-safe maintenance and renovation practices and management. Upon request, this also would include making all materials available in alternative formats to persons with disabilities (e.g., Braille, audio, and large type).(5) Supporting data collection, analysis, and evaluation of grant program activities. This includes compiling and delivering such data as may be required by HUD.(6) Preparing a final report at the conclusion of grant activities.(7) Providing resources to build capacity for lead-safe housing and lead hazard control, including free delivery of HUD-approved lead-safe work practices training courses for housing rehabilitation contractors, rehabilitation workers, homeowners, renters, painters, remodelers, maintenance staff, and others conducting renovation, rehabilitation, maintenance or other work in private housing; free delivery of lead sampling technician training, lead-based paint worker or contractor certification training; and subsidies for licensing or certification fees to low-income persons seeking credentials as lead-based paint workers or contractors or lead sampling technicians.(8) Conducting planning, coordination, and training activities to comply with HUD's Lead-Safe Housing Regulation (24 CFR part 35, subparts B-R). These activities should support the expansion of a workforce properly trained in lead-safe work practices that is available to conduct interim controls on HUD-assisted housing covered by these regulations.(9) Conducting outreach and related activities that will result in increased lead hazard control activities in low-income privately owned or owner-occupied housing with lead-based paint hazards. For LEAP grants, outreach and/or related activities, must be tied to a leveraging strategy.(10) Participating in applied research, studies, or developing information systems to enhance the delivery, analysis, or conduct of lead hazard control activities, or to facilitate targeting and consolidating resources to further childhood lead poisoning prevention efforts.c. For reference to the Administrative Cost requirements, please see Appendix D, which can be downloaded with the application from http://www.grants.gov/applicants/apply_for_grants.jsp.d. For reference to the Indirect Cost requirements see Appendix C, which can be downloaded with the application from http://www.grants.gov/applicants/apply_for_grants.jsp .[[Page 11543]]2. Eligibility of HUD-Assisted Housing. The Table 10, ``Eligibility of HUD Assisted Housing,'' that lists the housing units that may participate under each of the three competitive programs detailed in this NOFA can be downloaded with the application from http://www.grants.gov/applicants/apply_for_grants.jsp .3. Threshold Requirements. To be an eligible applicant, you must meet all of the threshold requirements in Section III.C of the General Section as well as any specific threshold requirements listed in this subsection. Applications will not be funded if they do not meet the threshold requirements.a. Applicants under the Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Programs are required to match 10 percent of the funds requested with other funds or resources. There is no match requirement for LEAP.b. Applicants under the Lead Hazard Reduction Demonstration Program must be a city, county, Native American Tribe, or other unit of local government. The applicant must have at least 3,500 pre-1940 occupied rental housing units, as listed at the 2000 Census Web site identified in Form HUD 96013, Need/Extent of the Problem. A list of eligible applicants can be downloaded with the application from http://www.grants.gov/applicants/apply_for_grants.jsp. In addition, a State may apply on behalf of one or more of the eligible local jurisdictions if it has an EPA-authorized lead-based paint training and certification program. There is no minimum threshold requirement for the number of pre-1940 occupied units for LBPHC or LEAP.c. All applicants under the Lead Hazard Reduction Demonstration Program must provide the actual number of children with documented elevated blood levels residing within the jurisdiction(s) where the lead hazard control work will be conducted for the most recent twelve- month period available since January 1, 2003 and identify the source of the data. Failure to provide these data will result in the application not being rated or ranked.d. EPA Authorization. If you are a state government or Native American Tribal government, you must have an EPA-authorized Lead-Based Paint Training and Certification Program in effect, on the application deadline date, to be eligible to apply for Lead Based Paint Hazard Control and Lead Hazard Control Reduction Demonstration Grant funds. The approval date in the Federal Register notice published by the EPA will be used in determining the Training and Certification status of the applicant state or Native American Tribal government. If you do not have an EPA authorized program on the application submission date, the application will not be rated or ranked. Further, if you do not have an EPA authorized program on the grant award date, you will not be awarded a grant under this NOFA.e. Consolidated Plans. (This requirement does not apply to Native American Tribes.) You must submit, as an appendix, the current lead- based paint element from the approved Consolidated Plan of the jurisdiction(s) where the lead-based paint hazard control will be conducted. In lieu of submitting a hard copy of the lead-based paint element from the current consolidated plan(s), you may substitute a Web site address. The Web site must contain the lead-based paint element of the current Consolidated Plan(s). If the jurisdiction does not have a currently approved Consolidated Plan, but is otherwise eligible for LBPHC and LHRD grant programs, you must include the jurisdiction's abbreviated Consolidated Plan, which includes a lead-based paint hazard control strategy developed in accordance with 24 CFR 91.235. You should include the discussion of any lead-based paint issues in your jurisdiction's Analysis of Impediments, particularly as it addresses your target areas.f. An applicant requesting a grant amount greater than the maximum grant award amount will be deemed ineligible and not reviewed or rated.g. Applications that do not have either a narrative response to the rating factors or form HUD-424 CBW Budget worksheet will not be reviewed or rated.h. Fiscal Year 2006 awardees of LBPHC, LHRD, reopened LHRD, or LEAP grants, are not eligible to apply for any of these three programs during this competitive NOFA cycle.i. Applicants may submit up to one application for each of the competitive programs covered by this NOFA for which they are eligible. 4. Environmental Requirementsa. Recipients of Lead-Based Paint Hazard Control Grants and Lead Hazard Reduction Demonstration grants must comply with 24 CFR part 58, Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities, and must carry out environmental review responsibilities as a responsible entity under part 58.b. Work on properties assisted with LEAP funds under this NOFA is covered by the provisions of section 305(c) of the Multifamily Housing Property Disposition Reform Act of 1994, which are implemented by HUD regulations at 24 CFR part 50. Under part 50, a responsible entity, usually a local government unit, must assume the environmental review responsibilities for activities funded under LEAP. Under 24 CFR 50.3(h), if a responsible entity or the recipient objects to the responsible entity performing the environmental review for LEAP activities, HUD may designate another responsible entity to perform the review or may perform the environmental review itself under the provisions of 24 CFR part 50.c. For all grants under this NOFA, recipients and other participants in the project are prohibited from undertaking, or committing or expending HUD or non-HUD funds (including leveraged or match funds) on a project or activities under this NOFA (on activities other than listed in 24 CFR 58.34, 58.35(b) or 58.22(f)) until the responsible entity completes an environmental review and the applicant submits and HUD approves a Request for the Release of Funds and the responsible entity's environmental certification (both on form HUD 7015.15). In the case of LEAP grants, the grantee must await HUD's completing the review and notifying the grantee of the approval of the environmental review before initiating work. The results of the environmental review may require that proposed activities be modified or proposed sites may be rejected. The results of the environmental reviews may require that proposed activities be modified or proposed sites rejected. For part 58 procedures, see http://www.hud.gov/offices/cpd/energyenviron/environment/index.cfm. For assistance, contact Edward Thomas, the Office of Healthy Homes and Lead Hazard Control Environmental Officer at (215) 861-7670 (this is not a toll-free number) or the HUD Environmental Review Officer in the HUD Field Office serving your area. If you are a hearing- or speech-impaired person, you may reach the telephone number via TTY by calling the toll-free Federal Information Relay Service at 1-800-877-8339. Recipients of a grant under these funded programs will be given additional guidance in these environmental responsibilities.5. Administrative and Other Requirements. If awarded a grant, you must comply with the requirements and maintain appropriate documentation to demonstrate compliance with the requirements specified below. The requirements apply to all grant programs unless otherwise specified.a. Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and Community Development Act of 1992), Section 1011. Section 217 of Public Law 104-134 (the Omnibus Consolidated[[Page 11544]]Rescissions and Appropriations Act of 1996, 110 Stat. 1321, approved April 26, 1996) amended Section 1011(a) of the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X) to read as follows:``Section 1011. Grants for Lead-Based Paint Hazard Reduction in Target Housing``(a) General Authority. The Secretary is authorized to provide grants to eligible applicants to evaluate and reduce lead-based paint hazards in housing that is not federally assisted housing, federally owned housing, or public housing, in accordance with the provisions of this section. Grants shall only be made under this section to provide assistance for housing that meets the following criteria--``(1) for grants made to assist rental housing, at least 50 percent of the units must be occupied by or made available to families with incomes at or below 50 percent of the area median income level and the remaining units shall be occupied or made available to families with incomes at or below 80 percent of the area median income level, and in all cases the landlord shall give priority in renting units assisted under this section, for not less than 3 years following the completion of lead abatement activities, to families with a child under the age of six years, except that buildings with five or more units may have 20 percent of the units occupied by families with incomes above 80 percent of area median income level;``(2) for grants made to assist housing owned by owner-occupants, all units assisted with grants under this section shall be the principal residence of families with income at or below 80 percent of the area median income level, and not less than 90 percent of the units assisted with grants under this section shall be occupied by a child under the age of six years or shall be units where a child under the age of six years spends a significant amount of time visiting.''(1) Trained and Certified Professionals. Funded activities must be conducted by persons qualified for the activities according to 24 CFR part 35, subparts B-R (possessing certification as abatement contractors, risk assessors, inspectors, abatement workers, or sampling technicians, or others having been trained in a HUD-approved course in lead-safe work practices).(2) Lead hazard evaluation and control work must be conducted in compliance with HUD's Lead Safe Housing Rule, 24 CFR part 35, the HUD Guidelines, and applicable federal, state and local regulations and guidance.(3) You must document the income and family composition of occupants of units assisted to meet Title X requirements. Identify the key staff who will certify as to the eligibility of each unit assisted under the grant based on the determination of income, and when required, the presence of a child under six years of age.6. Prohibited Practices. You must not engage in the following prohibited practices:a. Open flame burning or torching;b. Machine sanding or grinding without a high-efficiency particulate air (HEPA) exhaust control;c. Uncontained hydroblasting or high-pressure wash;d. Abrasive blasting or sandblasting without HEPA exhaust control;e. Heat guns operating above 1,100 degrees Fahrenheit;f. Chemical paint strippers containing methylene chloride or other volatile hazardous chemicals in a poorly ventilated space; andg. Dry scraping or dry sanding, except scraping in conjunction with heat guns or around electrical outlets or when treating no more than two square feet in any one interior room or space, or totaling no more than 20 square feet on exterior surfaces.7. Written Policies and Procedures. You must have clearly established, written policies and procedures for eligibility, program marketing, unit selection, expediting work on homes occupied by children with elevated blood lead levels, and all phases of lead hazard control, including risk assessment, inspection, development of specifications, pre-hazard control blood lead testing, financing, temporary relocation and clearance examination. Grantees, subcontractors, sub-grantees, sub-recipients, and their contractors must adhere to these policies and procedures.8. Continued Availability of Lead-Safe Housing to Low-Income Families. Units in which lead hazards have been controlled under this program shall be occupied by or continue to be available to low-income residents as required by Title X (Section 1011). You must maintain a publicly available registry (listing) of units in which lead hazards have been controlled and ensure that these units are affirmatively marketed to agencies and families as suitable housing for families with children less than six years of age. The grantee must also provide the owner with the lead hazard evaluation and control information generated by activities under this grant, so that the owner can comply with his/ her disclosure requirements under 24 CFR part 35, Subpart A.9. Testing. In developing your application budget, include costs for lead paint inspection, risk assessment, and clearance examination for each dwelling that will receive lead hazard control, as follows:a. General. All testing and sampling shall comply with the Lead Safe Housing Rule and conform to the current HUD Guidelines, the EPA lead hazard standards at 40 CFR part 745, and federal, state, or tribal regulations developed as part of the appropriate contractor certification program, whichever is most stringent.b. Lead-Based Paint and Lead-Based Paint Hazard Identification. A lead-based paint inspection and risk assessment is required.c. Clearance Testing. If rehabilitation is conducted in conjunction with lead hazard control, clearance may be conducted either after the lead hazard control work is completed, and again after any subsequent rehabilitation work is completed, or after all of the lead hazard control and rehabilitation work is completed. Clearance shall be successfully completed before re-occupancy.10. Blood lead testing. Each child under six years of age should be tested for lead poisoning within the six months preceding the lead hazard control work. Any child with an elevated blood lead level must be referred for appropriate medical follow-up. The standards for such testing are described in the Centers for Disease Control and Prevention (CDC) publications Preventing Lead Poisoning in Young Children (1991), and Screening Young Children for Lead Poisoning: Guidance for State and Local Public Health Officials (1997).11. Cooperation With Related Research and Evaluation. You shall cooperate fully with any research or evaluation sponsored by HUD, CDC, EPA or another government agency associated with this grant program, including preservation of project data and records and compiling requested information in formats provided by the researchers, evaluators or HUD. This also may include the compiling of certain relevant local demographic, dwelling unit, and participant data not contemplated in your original proposal. Participant data shall be subject to the Privacy Rule of the Health Insurance Portability and Accountability Act of 1996 (HIPAA). HIPAA and the Privacy Rule can be found at http://www.hhs.gov/ocr/hipaa.12. Data Collection. You shall collect, maintain, and provide to HUD the data[[Page 11545]]necessary to document and evaluate grant program outputs and outcomes.13. Financial Control. Financial control systems shall be established including methods and procedures to ensure that only grant eligible expenses are charged to the grant as reimbursable expenses or project match; that appropriate documentation of time worked on and charged to the grant is maintained; that no more than 10 percent of grant funds are used for administrative costs and that indirect cost allocation plans are updated annually.14. Section 3 Employment Opportunities. Please refer to Section III.C of the General Section. The requirements of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) are applicable to this program. This sub-factor will be evaluated on the extent to which an applicant describes how it proposes to:a. Provide opportunities to train and employ Section 3 residents; andb. Award contracts to Section 3 contractors, as each of those terms is defined in the regulations, 24 CFR Part 135. Applicants that demonstrate their responsiveness to the section 3 requirements may receive up to 2 points (see Rating Factor 3). Annual submission of Form HUD-60002 is required. Regulations regarding the provision of Section 3 of the Housing and Urban Development Act of 1968 can be located at 24 CFR Part 135.15. Replacing Existing Resources. Funds received under the grant programs covered under this NOFA shall not be used to replace existing community resources dedicated to any ongoing project.16. Certifications and Assurances. By signing the SF-424, you are agreeing to the certifications and assurances listed in the General Section and this NOFA.17. Code of Conduct. If awarded assistance, you will be required, prior to entering into a grant agreement with HUD, to submit a copy of your Code of Conduct and describe the methods you will use to ensure that all officers, employees, and agents of your organization are aware of your Code of Conduct. An applicant who submitted an application during FY2005 or FY2006 and included a copy of its code of conduct will not be required to submit another copy if the applicant is listed on HUD's Web site http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm. An applicant must also include a copy of its code of conduct if the information listed on the above Web site has changed (e.g., the person who submitted the previous application is no longer your authorized organization representative, the organization has changed its legal name or merged with another organization, or the address of the organization has changed, etc.). Refer to the General Section for further information about the Code of Conduct requirements.18. Lead-Safe Work Practice Training Activities. Under the Lead- Based Paint Hazard Control Grant Program, you are encouraged to provide resources to promote the expansion of a workforce that is:--Properly trained in lead-safe work practices; --Available to conduct interim controls and/or lead hazard abatement; --Able to follow lead-safe work practices while performing work on HUD assisted housing units; and --Able to safely repair, rehabilitate, and maintain other privately owned residential property.19. Coordination among Critical Agencies.a. Under the Lead-Based Paint Hazard Control or Lead Hazard Reduction Demonstration programs, you shall participate in the state- wide or jurisdiction-wide strategic plan to eliminate childhood lead poisoning as a major public health problem by 2010, or assist in the development of a plan in states or localities that do not have such a plan. The CDC strategic elimination plans for state and local childhood lead poisoning prevention programs can be downloaded from http://www.cdc.gov/nceh/lead/StrategicElimPlans/strategicplans.htm. Additionally, if awarded lead hazard control or lead hazard demonstration funds, you shall enter into or extend existing collaborative arrangements with childhood lead poisoning prevention programs among health agencies, housing agencies, community development agencies, and code enforcement agencies (or equivalent) for their target area(s), local jurisdiction(s), and, for state or tribal applicants, with their state or tribal health agencies, housing agencies, development agencies, and code enforcement agencies (or equivalent). Arrangements must describe how the health department and the housing and/or development agency have or will consider enrolling housing units (or multifamily buildings) in which one or more children under age 6 years have elevated blood lead levels, with priority to housing where repeated and/or severe cases of childhood lead poisoning have occurred. HUD encourages LEAP applicants to enter into such agreements.20. Work Plan. Upon award, you shall develop a work plan including measurable quarterly performance goals and specific time-phased objectives for each of the major activities and tasks required to execute the project. These major activities and tasks are outlined in the Quarterly Progress Reporting System (Form HUD-96006) and include: Program Management and Capacity Building including data collection and program evaluation; Community Education, Outreach and Training; and Lead Hazard Activities including testing, interventions, and temporary relocation.a. Describe how lead hazard units, especially those known to house elevated blood lead level children under six years of age, will be identified, selected, prioritized, and considered for treatment under this grant and/or other programs of the grantee or grantee's team members. An elevated blood lead level is defined as an excessive absorption of lead that is a confirmed concentration of ten (10) micrograms of lead per deciliter of whole blood.You must demonstrate how you consider housing units identified by local health and child welfare agencies where incidences of childhood lead poisoning have occurred, particularly those where multiple poisonings have been reported, for enrollment into lead hazard control treatment programs, as well as demonstrate the use of other sources of information on high priority housing;b. Your work plan should address your jurisdiction's Consolidated Plan goals for pursuing community planning and development and housing programs relative to lead and other housing-related issues that affect the health of residents. The work plan must include a detailed strategy to:(1) Obtain data from state or local health departments or from families themselves (either directly, for example, through service organizations that families distribute their information) on the addresses of housing units in which children have been identified as lead poisoned, as required by 24 CFR 91.100(a)(2).(2) Continue or enter into collaborative agreements or arrangements with applicable state or local health and child welfare agencies, community development organizations, and housing agencies and/or other housing organizations to team with HUD Lead-Based Paint Hazard Control, Lead Hazard Reduction Demonstration, and LEAP grantees to identify and address childhood lead poisoning in the jurisdiction collaboratively, and describe the methods for coordinating among these agencies.[[Page 11546]](3) Demonstrate specific steps and/or actions that will be taken to ensure that other resources in the community are utilized to increase funding, provide training, and to link with other local programs engaged in lead hazard control activities.(4) Describe how the project will be managed, and the timeline for staffing the program, establishing a lead-based paint contractor pool, and obtaining HUD approval for the Request for the Release of Funds (HUD Form 7015.15).(5) Describe how assistance and funding will flow from you to the actual performers of the hazard reduction work.(6) Describe the selection process for sub-grantees, sub- contractors, or sub-recipients.(7) Describe the financing mechanism used to support lead hazard control work in units (name of administering agency, eligibility requirements, type of financing, etc.), any owner matching requirement, and the terms, conditions, and amounts of assistance available, include affordability terms and provisions for forgiveness and recapture of funds.(8) Perform combined lead-based paint inspection and risk assessment procedures using the HUD Guidelines, applicable sections of the Lead Safe Housing Rule and use EPA standards to identify lead hazards and to conduct clearance testing.(9) Describe the process for developing work specifications and bids on properties selected for lead hazard control work.(10) The specific intervention methods and clearance procedures to be conducted for units enrolled and treated.(11) The number of rental-occupied, vacant, and owner-occupied units, including the number of single-family and multifamily units, proposed for interim controls and hazard abatement.(12) The occupant protection and relocation plan for residents required to be out of their homes during hazard control activities. The relocation should be in accordance with Section III.C.4.e.(13) The outputs and overall outcomes for community education, outreach, and training activities, including the nature and number of events and the number of individuals to receive education, outreach, and training.(14) The blood lead testing and other measures to be undertaken to protect children under six years of age and other occupants of units undergoing lead hazard control work.(15) The evaluation process used to measure program performance, with particular attention given to program performance in the five key areas evaluated by OHHLHC on a quarterly basis (NOFA Rating Factor 5 response): number of units inspected and risk assessed; number of units cleared of lead hazards; the amount of grant funds disbursed through HUD's Line of Credit Control System (LOCCS); the number of persons reached through outreach and education efforts; and the number of persons trained in lead hazard control courses. For LEAP only, the quarterly assessment will include one additional performance measure, which is the amount of leverage.(16) The grantee's accounting, finance, and internal audit procedures;(a) Procedures for tracking funds obtained through government resources (including HUD, other federal agencies, and state and local governments), match and leverage; and(b) Procedures for the procurement process and the reimbursement process of vendors, contractors, and sub-grantees.(17) Quarterly performance benchmarks. The benchmarks identified in the work plan for a 36-month period of performance are on the Work Plan Development Worksheet with Minimum Benchmark Standards for 36 Months-- Form HUD-96008. (You can download Form HUD-96008 from http://www.grants.gov/applicants/apply_for_grants.jsp , in the application instructions download section.) All applicants are required to complete the Factor 3 Table--Soundness of Approach, and the Work Plan Development Worksheet with Minimum Benchmark Standards for 36 Months-- Form HUD-96008 for the purposes of developing your work plan. Applicants selected for award may be asked to modify the work plan to reflect agreed upon benchmarks determined during pre-award negotiations.21. Detailed Budget. Submit a detailed budget that identifies the total budget (federal share and matching and/or leverage contribution) on Form HUD-424 CBW and budget and cost justification narrative for all budget categories of your grant request. You must provide a separate estimate for the overall grant management element (Administrative Costs), which is more fully defined in Section IV.E of this NOFA. All applicants must provide a detailed budget for any subcontractors, sub- grantees, or sub-recipients receiving greater than 10 percent of the federal budget request. In the event of a discrepancy between grant amounts requested in various sections of the application, the amount you indicate on the Form SF-424 will govern as the correct value.22. Institutional Review Board (IRB). Indicate if your program includes conducting research involving human subjects in a manner which requires IRB approval and periodic monitoring under 24 CFR part 60, which incorporates the Department of Health and Human Service's regulations, at 45 CFR part 46. For additional information on what constitutes human subjects' research or how to obtain an institutional assurance, see the Department of Health and Human Services, Office of Human Research Protection (OHRP) Web site at http://www.hhs.gov/ohrp/.IV. Application and Submission ProceduresA. Address to Request Application PackageSee the General Section for specific procedures concerning the electronic application submission requirements. The application and Instructions are available at http://www.grants.gov/applicants/apply_for_grants.jsp. If you have difficulty accessing the information, you may call the help desk help line at (800) 518-GRANTS or e-mailing 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 SubmissionApplicants eligible to apply under this NOFA are to follow the submission requirements described below: 1. Applicant Information a. Application Format.(1) Application including narrative responses, attachments, tables, appendices, and other required forms should be limited to a total of 150 pages. Number all pages of the application sequentially from page 1 to the end of the application, including charts, figures, tables and appendices. If the application exceeds the 150-page limit and has no page numbers, HUD will consider only the first 150 pages it[[Page 11547]]prints for review (forms will be counted first).(2) The application narrative response to the Rating Factors is limited to a maximum of 20 pages (excluding appendices and worksheets) of size 8\1/2\'' x 11'' using a 12-point (minimum) font with not less than 1'' margins on all sides.(3) Materials provided in the appendices should directly refer to the specific rating factor narrative. Applicants are strongly urged to not submit information that is not required and/or requested in the NOFA or relevant to a specific narrative response. The narrative rating responses should be submitted as a single Microsoft Word document file. All attachments must identify the related factor in the footer by providing the rating factor and the page number (e.g., Factor 1 Attachment, pg. 1), and should be submitted as a single zip file attachment to the electronic application.b. Information contained in the abstract will not be considered in the evaluation and scoring of your application.c. Application Checklist (Voluntary). Your application must contain all of the required information requested in this NOFA and the General Section. These items include the standard forms, and the certifications and assurances listed in the General Section that are applicable to this NOFA. The forms required for application submission and instructions can be found in the application at http://www.grants.gov/applicants/apply_for_grants.jsp. The ``Checklist and Submission Table of Contents'' below includes a list of the required items needed for submitting a complete application and receiving consideration for funding. Checklist and Submission Table of Contents (Counts Towards the 150 Page Limit)Application Checklist (paper copy applications only)Applicant Abstract (limited to a maximum of 2 pages)Rating Factors Response (limited to a maximum of 20 narrative pages plus the following forms):1. Capacity of the Applicant and Relevant Organizational Experience--Form HUD-96012;2. Needs/Extent of the Problem--Form HUD-96013;3. Soundness of Approach (Work Plan/Budget)--Form HUD-96014;4. Leveraging and Matching Resources--Form HUD-96015; and5. 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 Restrictions1. Administrative Costs. There is a 10 percent maximum allowance for administrative costs. Additional information about allowable administrative costs is provided in Appendix D of this NOFA at http://www.grants.gov/applicants/apply_for_grants.jsp .2. Ineligible Activities. You may not use grant funds for any of the following activities:a. Purchase of real property.b. Purchase or lease of equipment having a per-unit cost in excess of $5,000, except for the purchase and lease of up to two X-ray fluorescence analyzers used by the grant program.c. Chelation or other medical treatment costs related to children with Elevated Blood Lead levels (EBLs). Non-federal funds used to cover these costs may be counted as part of the required matching contribution.d. Lead hazard evaluation or control activities in publicly-owned housing, or project-based Section 8 housing (this housing stock is not eligible under Section 1011 of the Lead-Based Paint Hazard Reduction Act).e. Lead hazard evaluation or control activities in housing covered by a settlement agreement, consent decree, court order or other similar action by HUD or EPA regarding the Lead Disclosure Rule (24 CFR part 35, Subpart A, or the equivalent 40 CFR part 745, subpart F), or by HUD regarding its Lead Safe Housing Rule (24 CFR part 35, subparts B-R).f. Presumption of the presence of lead-based paint or lead-based paint hazards. A lead-based paint inspection and risk assessment are required.g. Activities that do not comply with the Coastal Barrier Resources Act (16 U.S.C. 3501).h. Lead-hazard control or rehabilitation of a building or manufactured home that is located in an area identified by the Federal Emergency Management Agency (FEMA) under the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) as having special flood hazards unless:(1) The community in which the area is situated is participating in the National Flood Insurance Program in accordance with the applicable regulations (44 CFR parts 59-79), or less than a year has passed since FEMA notification regarding these hazards; and(2) Where the community is participating in the National Flood Insurance Program, flood insurance on the property is obtained in accordance with section 102(a) of the Flood Disaster Protection Act (42 U.S.C. 4012a(a)). You are responsible for assuring that flood insurance is obtained and maintained for the appropriate amount and term.F. Other Submission Requirements: Applicants are required to submit applications electronically via the Web site http://www.grants.gov. See the General Section for additional information on the electronic process and how to request a waiver from the requirement, if necessary. Applicants[[Page 11548]]should submit their waiver requests in writing by e-mail. Waiver requests must be submitted no later than 15 days prior to the application deadline date and should be submitted to Jonnette Hawkins, Director, Program Management and Assurance Division, Office of Healthy Homes and Lead Hazard Control, 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 InformationA. Criteria: The following section applies to all applicants unless otherwise specified.1. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (20 points maximum for all applicants)All applicants.a. Capacity of the Applicant (10 points). This rating factor addresses your capacity to successfully implement the proposed activities. The applicant must demonstrate that it has sufficient personnel or will actively retain qualified experts or professionals, and is prepared to perform lead-based paint hazard evaluation, lead- based paint hazard control intervention work, and other proposed activities within 120 days of the effective date of the grant award. HUD reserves the right to terminate the grant if sufficient personnel or qualified experts are not retained to actively perform these program activities within this 120-day period. All applicants must respond to this Rating Factor, including completing the Factor 1 Table. The ``applicant'' includes the applicant organization as a whole, and the applicant staff, including key personnel responsible for implementing the program.Applicants are to list by name and/or position title all key personnel, whether currently vacant or contingent upon an award, including the percentage of time to be dedicated to the proposed program. Key personnel should include, at a minimum, one Project Director and one Program Manager. The applicant must describe the relevant knowledge and experience of the Project Director and Program Manager, and any additional key personnel, who will carry out program activities, including the time commitment of each to the proposed program. The day-to-day Program Manager must be experienced in the management of housing rehabilitation or lead hazard control, childhood lead poisoning prevention, or similar work involving project management, and must be dedicated to the proposed program for a minimum of 75 percent of the time. The applicant must describe the roles and responsibilities of each key personnel, including any/all relevant current or previous experience in the planning and management of large, complex and interdisciplinary programs involving housing rehabilitation, lead hazard control, childhood lead poisoning prevention, or similar work. Resumes (maximum three pages each for up to three key personnel) or position descriptions for those key personnel to be hired, and organizational charts for the grant program must be submitted as an appendix. Similarly, applicants must list and describe sub-grantees, sub-contractor organizations, sub-recipients and consultants that will provide services and carry out critical activities for the proposed grant program. Provide the capacity of the above entities as demonstrated by experience in initiating and implementing related environmental, health, or housing projects. List key personnel from each sub-grantee or sub-contractor organization who will provide services, their respective roles and responsibilities on the proposed program and the time commitment to the proposed program.b. Relevant Organization Experience (10 points).(1) New Applicants. Your organizational capacity should be demonstrated by describing prior experience in initiating and implementing lead hazard control or related environmental, health or housing programs. Include a table that lists the relevant and most recent experience in initiating and implementing lead hazard control efforts and or related environmental, health or housing programs and/or grants awarded (which may also include philanthropic/foundation awards for LEAP applicants). Provide examples of relevant programs that you currently manage or have previously managed within the past three years (e.g., Lead Hazard Control, CDBG Housing Rehabilitation, Childhood Lead Poisoning Prevention Program, Healthy Homes Demonstration, Weatherization, LEAP, etc). Include the following details for each project:Title of the projectStart and end date of the projectFunding AgencyName of the Project Director and Program ManagerDollar amount of the projectProject goals and deliverablesWhether or not the project was completed on time and all goals achievedDiscussion of significant obstacles and how they were resolvedIf grant's performance was rated, the final rating received HUD's evaluation process will consider an applicant's past performance record as reported to HUD in effectively organizing and managing its grant operations, in meeting performance and work plan benchmarks and goals, and in managing funds, including its ability to account for funds appropriately, the timely use of funds received either from HUD or other federal, state or local programs, and meeting performance milestones. HUD may also use other information relating to these items from sources at hand, including public sources such as newspapers, Inspector General or Government Accountability Office Reports or Findings, hotline complaints, or other sources of information that possess merit.(2) Current or previous grantees under any of this NOFA's programs: HUD will evaluate the applicant's quarterly performance reports for the most recent four (4) quarters, and award a maximum of 10 points based on the performance ratings.2. Rating Factor 2: Need/Extent of the Problem (20 points maximum for Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Programs, and 10 points maximum for LEAP).This factor refers to whether or not the community where eligible lead hazard control activities will be conducted has significant lead- based paint hazards to be addressed and an urgent need exists for HUD funding to address the problem in the identified target area(s). A target area is the area in which you will be performing lead hazard control activities; the area may be a whole jurisdiction, or, if a portion of a jurisdiction is being targeted, a specific set of Census tracts. Each applicant will be evaluated and scored in this rating factor based on documented need as evidenced by thorough, credible, and applicable data and information. For you to receive maximum points for this rating factor there must be a direct and substantial relationship between your proposed lead hazard control activities, the Consolidated Plan's lead element, and the documented community needs. Since an objective of the program is to[[Page 11549]]prevent at-risk children from being poisoned, specific attention must be paid to documenting the identified need as it applies to any selected targeted area(s). The applicant shall complete the Factor 2 Table--Need/Extent of the Problem.Multiple tables (one per target area) are permissible. Provide the number of children less than 6 years of age in the target area(s). You must identify the Census 2000 tract numbers for each target area that is smaller than your jurisdiction. The data submitted to HUD may be verified using data available from the Census http://factfinder.census.gov, HUDuser http://www.huduser.org/datasets/il/fmr99rev/hud99revmd.txt, and other sources available to HUD. Points will be awarded in this rating factor based on the information documenting the number of children with an elevated blood lead level, the number of pre-1940 housing units, the number and percentage of families with incomes at or below 80% of the Area Medium Income as determined by HUD within your jurisdiction and/or target areas, and other socioeconomic or environmental factors in the applicants target area(s).a. Points will be awarded based on the documented number of children with an EBL entered in the Rating Factor 2 table. Documented Number of Children with an Elevated Blood Lead (EBL) (5 Points Maximum for LBPHC and LHRD Programs, and 3 Points Maximum for LEAP). See Rating Factor 2--Table 1 (LBPHC), Table 2 (LHRD) and Table 3 (LEAP) for ``Points Awarded for the Number of Children Under 6 Years of Age with an Elevated Blood Lead Level in the Applicant's Target Area(s),'' that can be downloaded for each grant program from http://www.grants.gov/applicants/apply_for_grants.jsp. Provide the Census tract numbers for each target area that is smaller than your jurisdiction area(s). Provide the actual number of children documented as having an elevated blood lead (EBL) residing within the target area and within the jurisdiction where the lead hazard control work will be conducted for the most recent complete calendar year and identify the source of the data. HUD will accept data for the most recent 12-month period available since January 1, 2003. States must report the number in each target area and each city, county, or other area where funds will actually be used. (Data are needed just in the application, and are not required during or after grant completion.) Consortia of local governments must report the number in the cities or counties making up the consortium. For the purposes of this application, the ``documented number of children'' with an EBL is based on the CDC level of concern. Failure to provide this number in the application means that no points will be awarded for this sub-factor.b. Points will be awarded based on other socioeconomic or environmental factors in the applicants target area(s). (Maximum 5 points for Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Programs, and 3 Points Maximum for LEAP). Describe the need and extent of the lead poisoning problem in children under six years of age in terms of other socioeconomic or environmental factors that demonstrate the need to establish or continue lead hazard control work in the jurisdiction and target area(s).c. Points will be awarded based on the documented housing market data relevant to the specified target area(s) entered in the Rating Factor 2 table. (5 Points maximum for LBPHC and LHRD Programs, and 2 Points Maximum for LEAP). Points will be awarded under the LBPHC and LEAP Programs for the number of pre-1978 occupied housing units in the applicant's target area(s), see Rating Factor 2--Table 4 (LBPHC) and Table 5 (LEAP) for ``Points Awarded for Number of Pre-1978 Occupied Housing Units in Target Area(s),'' that can be downloaded as part of the program instructions from http://www.grants.gov/applicants/apply_for_grants.jsp. Points will be awarded under the LHRD program for the number of pre-1940 occupied rental housing units in the applicant's target area(s), see Table 6 (LHRD) for ``Points Awarded for Number of Pre-1940 Occupied Rental Housing Units in Target Area,'' that can be downloaded as part of the program instructions from http://www.grants.gov/applicants/apply_for_grants.jsp .d. Points will be awarded based on the documented percentage of very-low income (less than 50 percent of the area median) and low- income (less than 80 percent of the area median income) families, as determined by HUD and entered in the Rating Factor 2 table (5 Points Maximum for LBPHC and LHRD Grant Programs and 2 Points Maximum for LEAP). http:/// See Rating Factor 2--Table 7 (LBPHC), Table 8 (LHRD) and Table 9 (LEAP) for ``Points Awarded for Number of Very Low and Low- Income Percentages of Families in Target Area(s),'' that can be downloaded from http://www.grants.gov, for each grant program.3. Rating Factor 3: Soundness of Approach (40 points maximum for all applicants)Applicants shall complete the Rating Factor 3 Table Soundness of Approach. (All Applicants: Based on analysis of internal historical data, lead hazard control costs average approximately $8,000 per unit. It is, therefore, anticipated that average per unit cost for all programs under this NOFA will be no more than this value. If your per- unit cost estimate exceeds the above dollar figure, you should justify the cost overrun).The work plan should include specific, measurable, and time-phased objectives for each major program activity and should reflect benchmark performance standards for unit evaluation, unit production, match/ leverage funds, community outreach and education, skills training, and other activities. Examples of benchmarks include number of units to be made lead-safe, number of children living in units to be made lead- safe, number of persons to be trained to perform lead hazard control activities, number of educational programs to be presented and/or the number of persons to be served by such programs. The benchmark form (Form HUD--96008) and policy guidance on developing work plans are available at the HUD Web site: http://www.hud.gov/offices/lead/lhc/pgi/index.cfm .a. Lead Hazard Control Work Plan Strategy (10 Points all Applicants): Describe the overall work plan goals and time-phased strategy to complete work within the 36-month period of performance (Form HUD--96008). Describe the methods, including schedule and milestones, that will be used to identify and control lead-based paint hazards and how the desired project benchmarks will be achieved. Include information about the estimated numbers of families to be contacted, units enrolled, units to receive risk assessments and inspections, units to receive lead hazard control work, individuals/ groups to be reached through education and/or outreach activities and trained.Additionally, provide responses to the following:(1) Program Administration and Financial Management. Describe the approach and method to successfully administer the proposed program.(a) Include details about staff and project oversight/monitoring, contract administration (routine monitoring of all sub-grantees and contractors to ensure conformity to the terms, conditions and specifications of[[Page 11550]]contracts or other formal agreements), and how funding will flow from the grantee to those who will perform work under the proposed program.(b) Discuss the lead hazard control financing strategy, including verification of financing eligibility requirements, terms, conditions, dollar limits, amounts available for lead hazard control work in the various categories of housing (e.g., single-family, multi-family, vacant, owner or tenant-occupied), and who is responsible for establishing, administering and overseeing this aspect of the program. Describe how recapture of grants or loan funds to owners of assisted units will occur when recipients fail to comply with any terms and conditions of the financing arrangement (e.g., failure to comply with affordability, affirmatively marketing and providing priority to renting units to families with children under six years of age, sale of property, etc.). Explain the type of assistance (e.g. grants, deferred/ forgivable loans and the basis and schedule for forgiveness), and the role of other resources such as private sector financing and matching, if any, from rental property owners.(c) Describe your involvement in coordination among critical agencies, including participation in the CDC state-wide or jurisdiction-wide strategic plan to eliminate childhood lead poisoning by 2010.(2) Program Start-Up. Describe program start-up activities during the first 120 days of the grant (hiring/training staff, establishing qualified contractor pool, outreach/education and unit enrollment activities).Provide information about internal and external capacity-building steps necessary to ensure a smooth and timely start-up phase. Provide detailed information about other organizations that provide the knowledge and skills required to address lead hazard control, including establishment of a qualified contractor pool, and other lead poisoning prevention actions that are essential for successfully implementing your program (e.g., education, testing, housing interventions).(a) Describe the proposed involvement of grassroots community-based nonprofit organizations, including faith-based organizations, in the program activities. These activities may include outreach, community education, marketing, inspection, and housing evaluations and interventions.(b) Explain how you will implement the environmental review and Request for Release of Funds process, and who is responsible to obtain the required HUD approval for intended lead hazard control work on eligible, enrolled units. Include a description of the steps to be taken, and who will be responsible, to comply with applicable environmental reviews for individual projects.(3) Outreach, Recruitment and Unit Enrollment. Describe the methods and strategies, including the individuals and/or sub-grantees, sub- recipients or contractors responsible for marketing and outreach to intended target area(s) and/or residents, including recruitment and enrollment activities to supply the program with sufficient numbers of eligible units within an established timeframe.(a) Describe how you will identify, select, prioritize and enroll eligible housing units in which you will undertake lead hazard control interventions, especially those known to house EBL children. Include the number of eligible privately-owned housing units, including the number of owner-occupied, rental, vacant, single and/or multi-family units to be enrolled.(b) Describe your planned approach to control lead hazards in vacant and/or occupied units before children are poisoned.(c) Describe measures you will take to sustain recruitment. Identify the staff responsible for both monitoring recruitment status and implementing the measures identified to sustain recruitment.(d) Explain how you will obtain data from state/local health departments, Childhood Lead Poisoning Prevention Programs (CLPPP) and other health care and housing agencies on the addresses of housing units in which children have been identified as lead poisoned, for purposes of recruiting and enrolling housing units.(e) Discuss how referrals from the Section 8, Housing Choice Voucher program and other agencies that provide housing assistance to low-income households with children, including CDBG, HOME Investment Partnerships Program-funded housing programs, weatherization or other sources, will be received and processed.(f) Describe how you will obtain information in order to document the occupants of units assisted and meet the Title X income and family composition requirements by identifying key staff who will certify as to the eligibility of each unit assisted, based on the determination of income, and when required, the presence of a child or children under six years of age.b. Technical Approach/Lead Hazard Control Intervention (10 Points for all Applicants). Describe the technical approach and associated costs for testing enrolled units, blood-lead testing of children in enrolled units, lead hazard control methods and strategies, occupant protection and temporary relocation.Describe the lead hazard control methods, and strategies, including the most cost-effective hazard control methods you will undertake and the number of single and multi-family units that you will treat based on the method selected (e.g., interim controls and/or hazard abatement). Explain your strategy to ensure that the units are maintained lead safe after treatment.If you maintain that approaches other than interim controls are necessary, a justification is necessary. For example, abatement might be justified in an area where significant amounts of low-income housing stock are highly distressed or where lead hazard control work is being combined with rehabilitation over $25,000 per housing unit. Where highly distressed housing stock exists, applicants should explain why options for households to move to lead-safe housing are not viable.Complete abatement of lead-based painted surfaces in units is generally not a cost effective strategy. In cases where only a few surfaces have identified lead-based paint hazards and if abatement is cost-effective, the applicant must provide a detailed rationale for selecting complete abatement as a strategy.(a) Management. Indicate the individual or entity responsible for, and describe the process for developing the work specifications and the lead hazard control contractor bid and selection process (i.e., the contracting) on properties selected for lead hazard control work. Explain the management process to ensure the cost-effectiveness of intended lead hazard control methods.(b) Coordination.(1) Explain the coordination of relevant activities among lead hazard control, rehabilitation, weatherization, and other contractors performing work other than lead hazard control.(2) Describe your testing methods, schedule, and costs for lead- based paint inspections and risk assessments and clearance examinations. If you propose to use a more restrictive standard than the HUD/EPA thresholds, provide the standard(s) that will be used. All testing shall be performed in accordance with applicable regulations.(3) Describe how you will ensure that contractors, property owners and maintenance personnel performing interim controls and lead hazard abatement work are properly trained and/or certified, and how work will be monitored and supervised to ensure that contractors perform work of reasonable quality in compliance with work[[Page 11551]]specifications and applicable federal/state/local regulations.(4) Provide a realistic schedule for completing key program activities and outputs, by quarter, so that all activities and outputs can be completed before or within the grant period of performance. Key production activities include unit enrollment, lead-based paint inspection and risk assessments, hazard control and clearance of units. Describe the estimated timeframe for treating a typical unit from referral and intake to hazard control and clearance. Explain how the program will accommodate emergency referrals (e.g., units occupied by a child under six years of age with an EBL).(5) Provide guidelines and/or flowcharts that demonstrate the agency and team member responsibilities for each step in the unit production process (from intake and enrollment to completion and clearance of units). Describe how coordination and hand-offs from individuals or agencies to and from each step in the unit production process will be carried out. Discuss how the actual production status of units, from intake and enrollment to completion and clearance, will be monitored, and how and when impediments to production will be identified and remedied.(6) Relocation:(a) Describe your plan for the relocation of occupants of units selected for remediation, if temporary relocation is necessary (see Section VI B.4, below). If temporary relocation is necessary, address the use of safe houses and other housing arrangements, storage of household goods, stipends, incentives, etc., and the source of funding for relocation.(b) If relocation is necessary for occupants of rental units, describe your plan for ensuring right of return and/or first referral for occupants of units selected for remediation who have had to move for the remediations to be performed. Describe your plan and the individual(s) responsible for occupant protection and the temporary relocation of occupants of units selected to receive lead hazard control work. Describe strategies to avoid overnight relocation in small-scale projects consistent with applicable subsections of HUD's Lead Safe Housing Regulations.(7) Describe the methods, measures and cost for performing blood lead testing in children less than six years of age.(a) Describe strategies to increase blood lead testing of children within the target area(s).(b) Explain who will be responsible for ensuring and how you will ensure that all children less than six years of age who occupy units to be assisted with lead hazard control work receive blood lead testing within six months of commencement of work on the unit.(c) Identify the individual responsible to ensure that children identified with an elevated blood-lead level are referred to appropriate medical care and how patient confidentiality, privacy and the security of medical information is protected as required by the Health Insurance Portability and Accountability Act (HIPAA) of 1996.c. Economic Opportunity (7 points for all applicants).(1) Section 3 Requirement (2 of 7 points). Explain how you will provide appropriate economic opportunities to Section 3 residents and Section 3 businesses of the target area, in compliance with Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and HUD's implementing rules at 24 CFR Part 135. Describe how you will accomplish Section 3 requirements by identifying the number of individuals to receive such training per discipline, the schedule for delivering said training for low and very low-income persons living within the applicant's jurisdiction, and how trained individuals will be linked to employment opportunities with Section 3 businesses owned by and/or employ low and very low-income persons living within the grantee's jurisdiction.(2) Lead Hazard Control Outreach (5 of 7 points).(a) Describe your involvement in collaborative agreements or arrangements with childhood lead poisoning prevention programs, housing, community development, and code enforcement agencies (or equivalent) for the target area(s), as applicable. If these collaborative agreements or arrangements are not yet made, address plans to develop these agreements.(b) Discuss the opportunity-to-learn approaches to educate children, parents, workers, business people, and other community members about lead poisoning prevention and lead hazard control. Include how the proposed educational program will continue to meet the needs of those children already living in units to receive lead hazard control work.(c) Community and Private Sector Involvement:(i) Describe the role of grassroots, community-based nonprofit organizations, including faith-based organizations, in specific program activities (e.g., hazard evaluation and control, monitoring, awareness, education and outreach within the community).(ii) Explain how the intended education program(s) will be culturally sensitive, targeted, and linguistically appropriate. Identify the means available to supply the educational materials in other languages (identify all that apply) common to the community.(iii) Include the estimated number of individuals to receive the intended education and the estimated number of events to be delivered.(d) Affirmatively Furthering Fair Housing:(i) Describe strategies and methodologies that affirmatively further fair housing and increase access to lead-safe housing for all segments of the population: homeowners, owners of rental properties, and tenants.(ii) Identify who will ensure and how the applicant will ensure that the program will continue to affirmatively market and match treated units with low-income families with children less than six years of age in the future.(iii) Explain how this outreach strategy will avoid housing discrimination against families with young children, and how families will have adequate, lead-safe housing choices in the future. The strategy could also include affirmatively marketing your services to those populations least likely to apply and who may not be served by any of the organizations working with you or the grantee team.d. HUD's Departmental Policy Priorities and Consolidated Plan (6 points for all applicants; each policy priority is 1 point, except the policy priority addressing Removal of Regulatory Barriers (#4, which is 2 points). Please note that HUD Form 27300 requires the submission of documentation and contact information to receive policy priority points. Indicate if, and describe how, you will address any of HUD's departmental policy priorities (see General Section for more detailed explanation of HUD's policy priorities). Applicants shall also provide evidence of the priority that the community's Consolidated Plan and Analysis of Impediments to Fair Housing Choice has placed on addressing the needs described.The policy priorities that are applicable to this NOFA, and which the applicant should address, are: (1) Improving our Nation's Communities (focus on distressed communities); (2) Providing Full and Equal Access to Grassroots Community-based Non-profit Organizations, including Faith-based Organizations in HUD Program Implementation; (3) Participation of Minority-Serving Institutions in HUD[[Page 11552]]Programs; (4) Removal of Regulatory Barriers to Affordable Housing; and (5) Promoting Energy Efficiency and Energy Star. HUD expects the applicants to implement Energy Star building techniques and utilize Energy Star appliances whenever activities of the grant afford the opportunity. (For information on Energy Star Programs and Appliances, see http://www.epa.gov/epahome/athome.htm and HUD's scheduled webcast.)Describe how the proposed program would contribute to satisfying the stated needs in the Consolidated Plan or Indian Housing Plan, and eliminate impediments identified in the Analysis of Impediments (AI).e. Data Collection and other Program Support Activities (2 Points for all Applicants).(1) Identify and discuss the specific methods you will use (in addition to HUD reporting requirements) to document activities, progress, and program effectiveness. Explain how you will make necessary changes to improve program performance.(2) Describe how databases, including web sites, computer, paper or other formats, will incorporate the provisions of the Privacy Act of 1974, such that the addresses of enrolled, treated and/or cleared housing units shall not include personal information that could identify any child affected.f. Budget Proposal (5 points).(a) Your budget proposal should thoroughly estimate all applicable costs (administrative, direct, indirect, and other direct costs), and be presented in a clear and coherent format in accordance with the requirements listed in the General Section. HUD is not required to approve or fund all proposed activities. You must thoroughly document and justify all budget categories and costs (Form HUD-424-CBW) and all major tasks, for yourself, sub-recipients, major subcontractors, joint venture participants, or others contributing resources to the project. A separate budget must be provided for partners who are proposed to receive more than 10 percent of the federal budget request. Your application will be evaluated on the extent to which your resources are appropriate for the scope of your proposed project.(b) Your narrative justification associated with these budgeted costs should be submitted as part of the Total Budget (Federal Share, Matching and Leveraging), but is not included in the 20-page limit for this submission. Separate narrative justifications should be submitted for partners that are submitting separate budgets. Your proposed budget should clearly identify the funding or cash equivalent amounts being provided as matching funds and as leveraged funds. These funds should reflect the numbers and contributions provided in response to Rating Factor 4, Leverage.(c) The application will not be rated on the proposed cost; however, cost will be considered in addition to the rated factors to determine whether the proposal is most advantageous to the Federal Government. Cost will be the deciding factor when proposals ranked under the listed factors are considered acceptable and are substantially equal.4. Rating Factor 4: Leveraging Resources (10 points maximum for Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Program, and 20 points maximum for LEAP). This rating factor applies to all programs unless otherwise specified.LBPHC and LHRD applicants will be given higher points for leveraged contributions that the applicant commits over and above the 10 percent or 25 percent statutory match requirement. For LEAP applicants, leveraged contributions at or above 100 percent of the federal requested amount are eligible to receive higher points. See Section III.B, Cost Sharing and Match, regarding letters of commitment from organizations other than the applicant required for the leveraging to be eligible for points. Based on the documented match/leverage funding, points will be awarded in accordance with the charts below.Lead-based paint hazard control and lead hazard reduction demonstrationDocumented leveraged contributions of the requested HUD Points amount: at least (percent)awarded10........................................................0 15........................................................1 20........................................................2 30........................................................3 40........................................................4 50........................................................5 60........................................................6 70........................................................7 80........................................................8 90........................................................9 100.......................................................10LEAP0.........................................................0 100.......................................................1.00 110.......................................................2.25 120.......................................................3.50 130.......................................................4.75 140.......................................................6.00 150.......................................................7.25 160.......................................................8.50 170.......................................................9.75 180.......................................................11.00 190.......................................................12.25 200.......................................................13.50 210.......................................................14.75 220.......................................................16.00 230.......................................................17.25 240.......................................................18.50 250.......................................................20.005. Rating Factor 5: Achieving Results and Program Evaluation (10 Points maximum for all applicants). This rating factor reflects HUD's goal to embrace high standards of ethics, management, and accountability.a. Description of program activities, outputs and short-term, intermediate-term and long-term outcomes (5 points).(1) State clearly the project goals (``benchmarks'') and activities to achieve these goals.(2) Describe how you will measure the results.(3) Explain how you will document and track your goals, program activities, and schedules.(4) Identify the procedures you will follow to make adjustments to your work plan to improve performance if benchmarks are not met within established timeframes.b. Logic Model (5 points).(1) Submit Form HUD-96010.HUD is using an electronic Logic Model with dropdown menus from which you can select needs, activities, and outcomes appropriate to your program. See the General Section for detailed information on the use of the Logic Model. HUD is requiring grantees to use program- specific questions to self-evaluate the management and performance of their program. Training on HUD's logic model and the reporting requirements for addressing the Management questions will be provided via satellite broadcast.In evaluating Rating Factor 5, HUD will consider how you have described the benefits and outcome measures of your program. HUD will also consider the evaluation plan, to ensure the project is on schedule and within budget.(2) Performance indicators should be objectively quantifiable and should measure actual achievements against anticipated achievements. Step 1. The planning component of the logic model should identify the problem or need and develop a plan. Step 2. The intervention component of the logic model should identify the kinds of services, activities, and outputs projected. Step 3. The[[Page 11553]]impact component of the logic model should identify the projected outcomes. Step 4. The accountability (phase one) component of the logic model should include data sources, measurement, and reporting tools. Step 5. The accountability (phase two) component of the logic model should include the evaluation methodology or the evaluation process. As a planning tool, the logic model can provide the statement of need and also provide the rationale for the proposed service or activity. For goals or benchmarks, the logic model can provide a set of quantifiable goals including timeframes. These goals allow you, the applicant, and HUD to monitor and assess your progress in achieving your program work plan. The process for the achievement of outcome goals should include identifying the expected outcome and the estimated number needed to achieve the goal or the expected outcome in terms of the community impact or changes in economic and social status. Some examples of measurement-reporting tools are survey instruments; attendance logs; case report; pre-post tests; or waiting lists. Describe where/how data are maintained, for example, central databases; individual case records; specialized access databases, tax assessor databases; and local precinct. Also, identify the location where the database is maintained, updated, etc., for example, on-site, subcontractor, or specify (e.g., identify what the other is).6. Bonus Points (2 Points for All Programs)Applicants are eligible for two bonus points for projects that the applicant proposes to conduct in federally designated Empowerment Zones (EZs), Renewal Communities (RCs), or Enterprise Communities designated by United States Department of Agriculture (USDA) in round II (EC-IIs) and that are certified to be consistent with the area's strategic plan or RC Tax Incentive Utilization Plan (TIUP). Applicants must submit a completed Certification of Consistency with the RC/EZ/EC-II Strategic Plan--Form HUD-2990 signed by the appropriate official of the RC/EZ/EC II and also meet the requirements listed in the General Section for a possible award of two bonus points.Discuss whether any of the proposed activities will occur in any of these areas and how they will benefit the residents of those zones or communities.B. Reviews and Selection Process1. Rating and Ranking. Please refer to the General Section.a. Applicants that meet all of the threshold requirements will be eligible to be scored and ranked, based on the total number of points allocated for each of the rating factors described in Section V.A of this NOFA.b. Remaining Funds. Refer to the General Section for HUD's procedures if funds remain after all selections have been made within a category.c. The scoring criteria to be used to award the maximum points for this NOFA are based on how fully and thoroughly the applicant answers each item listed in each rating factor.2. Factors for Award Used to Rate and Rank Applications.a. Implementing HUD's Strategic Framework and Demonstrating Results. HUD is committed to ensuring that programs result in the achievement of HUD's strategic mission. To support this effort, grant applications submitted for HUD programs will be rated on how well they tie proposed outcomes to HUD's policy priorities and Annual Goals and Objectives, and the quality of proposed Evaluation and Monitoring Plans.b. The maximum number of points to be awarded is 100 plus two bonus points as described in the General Section and above.c. The factors for rating and ranking eligible applicants under all categories, and the maximum points for each factor are stated below:Maximum pointsRating factorsLBPHC & LHRD LEAP1. Capacity of the Applicant and Relevant20 20 Organizational Experience............................ 2. Need/Extent of the Problem......................... 20 10 3. Soundness of Approach.............................. 40 40 4. Matching and Leveraging Resources.................. 10 20 5. Achieving Results and Program Evaluation........... 10 10 Empowerment Zone, Renewal Zones and Enterprise22 Community (II) Bonus Points..........................Total............................................. 102 102VI. Award Administration InformationA. Award Notices1. Applicants Selected for Award.a. Successful applicants will receive a letter from the Office of Healthy Homes and Lead Hazard Control Grant Officer providing details regarding the effective start date of the grant agreement and any additional data and information to be submitted to execute the grant. This letter is not an authorization to begin work or incur costs under the grant.b. HUD may require that a selected applicant participate in negotiations to determine the specific terms of the grant agreement, budget, and Logic Model. Should HUD not be able to successfully conclude negotiations with a selected applicant, an award will not be made. Applicants should note that, if they are selected for multiple awards, they must ensure that they have sufficient resources to provide the promised match and/or leveraging for the multiple awards. During negotiations, such applicants would be required to provide alternative match and/or leveraged resources, if necessary, before the grant can be awarded in order to avoid committing duplicate match and/or leveraged resources to more than one OHHLHC grant. If the applicant accepts the terms and conditions of the grant agreement, a signed grant agreement must be returned by the date specified. Instructions on how to have the grant agreement account entered into HUD's Line of Credit Control System (LOCCS) payment system will be provided. Other forms and program requirements will be provided. In accordance with OMB Circular A-133 (Audits of States, Local Governments and Nonprofit Organizations), if an awardee expends $500,000 in federal funds in a single year, they follow the requirements of the Single Audit Act and must submit their completed audit-reporting package along with the Data Collection Form (SF-SAC) to the Single Audit Clearinghouse. The address can be[[Page 11554]]obtained from their Web site. The SF-SAC can be downloaded at: http://harvester.census.gov/sac/ .2. Debriefing. The General Section provides the procedures for applicants to request a debriefing.3. Negotiation. Refer to the General Section for additional details.4. Adjustments to Funding. Refer to the General Section for additional details.B. Administrative and National Policy Requirements: Refer to the General Section for additional details regarding the Administrative and National Policy Requirements applicable to HUD Programs.1. National Historic Preservation Act. The National Historic Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR part 800 apply to the lead-hazard control or rehabilitation activities that are undertaken pursuant to this NOFA.2. Waste Disposal. You must handle waste disposal according to the requirements of the appropriate local, state, and federal regulatory agencies. You must handle disposal of wastes from hazard control activities that contain lead-based paint, but are not classified as hazardous in accordance with state or local law or the HUD Guidelines for the Evaluation and Control of Lead-Based Hazards in Housing (HUD Guidelines). The Guidelines are available from the HUD Web site at: http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm.3. Worker Protection Procedures. You must observe the procedures for worker protection established in the HUD Guidelines, as well as the requirements of the Occupational Health and Safety Administration (OSHA) (29 CFR 1926.62, Lead Exposure in Construction), or the state or local occupational safety and health regulations, whichever are most protective. If other applicable requirements contain more stringent requirements than the HUD Guidelines, the more rigorous standards shall be followed.4. Relocation. The relocation requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA), as amended, and the implementing government-wide regulation at 49 CFR part 24, that cover any person (including individuals, businesses, and farms) displaced as a direct result of the acquisition, rehabilitation, or demolition of real property, apply to this grant program. If such persons are required to temporarily relocate for a project, the requirements of the URA regulations at 49 CFR 24.2(a)(9) must be met. HUD recommends you review these regulations when preparing your proposal. (They can be downloaded from the Government Printing Office Web site at http://www.gpoaccess.gov/cfr/index.html by entering the regulatory citation in quotes without any spaces (e.g., ``49CFR24.2'') in the Quick Search box.). See Section III.C.4.e of the General Section for additional information about relocation.5. Davis-Bacon wage rates. The Davis-Bacon wage rates are not applicable to these programs. However, if you use grant funds in conjunction with other federal programs, Davis-Bacon requirements will apply to the extent required under the other federal programs.6. Procurement of Recovered Materials. See the General Section for information concerning this requirement.7. Executive Order 13202. ``Preservation of Open Competition and Government Neutrality Towards Government Contractors' Labor Relations on Federal and Federally-Funded Construction Projects.'' See General Section for information concerning this requirement.C. Reporting: Reports shall comply with section VI.C. of the General Section. In addition, successful applicants will be required to submit quarterly, annual and final program and financial reports according the requirements of the Office of Healthy Homes and Lead Hazard Control. Specific guidance and additional details will be provided to successful applicants. The following items are a part of OHHLHC reporting requirements.1. Final Work Plan and Budget are due within sixty days of signing the grant agreement.2. Progress reports are due on a quarterly basis. In quarterly reports, grantees provide information about accomplishments in the areas of program management; assessment and intervention activities; community education, outreach, training and capacity building; data collection and analysis; as well as a listing of completed units and financial report. Project benchmarks and milestones will be tracked using a benchmark spreadsheet that uses the benchmarks and milestones identified in the Logic Model form (HUD-96010) approved and incorporated into your award agreement. For specific reporting requirements, see policy guidance at http://www.hud.gov/offices/lead. For FY 2007, HUD is considering a new concept for the Logic Model. The new concept is a Return on Investment (ROI) statement. HUD will be publishing a separate notice on the ROI concept.3. Annual report shall be submitted at the end of each fiscal year. A final report is due at the end of the project period, which includes final project benchmarks and milestones achieved against the proposed benchmarks and milestones in the Logic Model (HUD-96010) approved and incorporated into your award agreement. Specific information on all reporting requirements will be provided to successful applicants.4. Racial and Ethnic Beneficiary Data. HUD does not require LBPHC, LHRD and LEAP awardees to report ethnic and racial beneficiary data as part of their initial application package. However, such data must be reported on an annual basis, at a minimum, during the implementation of your grant agreement. You must report the data as described in the General Section and use the Office of Management and Budget's Standards for the Collection of Racial and Ethnic Data, using Form HUD-27061, Race and Ethnic Data Reporting Form, if applicable (HUD Race Ethnic Form on Grants.gov), found on HUD's Web site at http://www.hudclips.org/cgi/index.cgi. Grantees can also use an online system to meet this requirement, provided the data elements and reports derived from the system are equivalent to the data collection in the form HUD-27061.5. All grant recipients must comply with reporting requirements of subpart E (Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for Low- and Very Low-Income Persons in Connection with Assisted Projects) and the HUD regulations at 24 CFR part 135).VII. Agency Contact(s)For questions related to the application process, you may contact the Grants.gov help line at 800-518-GRANTS. For programmatic questions, you may contact: Ms. Jonnette G. Hawkins, Director, Program Management and Assurance Division, Office of Healthy Homes and Lead Hazard Control: Department of Housing and Urban Development; 451 Seventh Street, SW., Room 8236, Washington, DC 20410-3000; telephone (202) 755- 1785, extension 7593 (this is not a toll-free number); facsimile (202) 755-1000; e-mail: 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); e-[[Page 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 InformationA. General. For additional general, technical, and grant program information pertaining to the Office of Healthy Homes and Lead Hazard Control, visit: http://www.hud.gov/offices/lead.B. Paperwork Reduction Act. The information collection requirements contained in this document have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection displays a currently valid OMB control number. Public reporting burden for the collection of information is estimated to average 80 hours to prepare the application, 16 hours to finalize the grant agreement, and 32 hours per annum for grant administration (progress reporting) per respondent. This includes the time for collecting, reviewing, and reporting the data for the application, quarterly reports, and final report. The information will be used for awardee selection and monitoring the administration of funds. Response to this request for information is required in order to receive the benefits to be derived.C. Appendices. Appendices A, B, C, D and E of this NOFA are available for downloading with the application at http://www.grants.gov/applicants/apply for grants.jsp. Appendix E lists HUD's comments on selected issues related to the Lead Hazard Reduction Demonstration Grant Program.[[Page 11556]][GRAPHIC] [TIFF OMITTED] TN13MR07.013[[Page 11557]]Lead Technical Studies and Healthy Homes Technical Studies ProgramsOverview InformationA. Federal Agency Name: Department of Housing and Urban Development, Office of Healthy Homes and Lead Hazard Control.B. Funding Opportunity Title: Lead Technical Studies and Healthy Homes Technical Studies.C. Announcement Type: Initial announcement.D. Funding Opportunity Number: FR-5100-N-25, OMB Paperwork Approval number is 2539-0015.E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.902, Lead Technical Studies Grant Program, and 14.906, Healthy Homes Technical Studies Grant Program.F. Dates: The application deadline date is May 18, 2007. Applications must be received and validated by Grants.gov no later than 11:59:59 pm eastern time on the application deadline date. See Section IV of the General Section, regarding application submission procedures and timely filing requirements.G. Additional Information:1. Purpose: To fund technical studies to improve existing methods for detecting and controlling lead-based paint and other housing- related health and safety hazards, to develop new methods to detect and control these hazards, and to improve our knowledge of lead-based paint and other housing-related health and safety hazards.2. Available funding: HUD anticipates that approximately $5.6 million will be available. Of this, approximately $3.6 million is for Lead Technical Studies and approximately $2.0 million is for Healthy Homes Technical Studies.3. Anticipated awards: Approximately 4 to approximately 10 awards will be made for the Lead Technical Studies Program, ranging from approximately $200,000 to a maximum of $1 million each for the entire period of performance. The anticipated amounts and number of individual awards for the Healthy Homes Technical Studies Program will be approximately 2 to approximately 6 awards, ranging from approximately $200,000 to a maximum of $1million each for the entire period of performance.4. Type of awards: Cooperative agreements, with substantial involvement of the government, will be awarded (see Paragraph II.C for a description of substantial involvement).5. Eligible applicants: Academic, not-for-profit and for-profit institutions located in the U.S., state and units of general local government, and federally recognized Native American tribes are eligible to apply. For-profit firms are not allowed to earn a fee (i.e., make a profit from the project).6. Cost sharing or ``matching'' is not required; however, applicant ``leveraging'' contributions are encouraged (see Section V.A.3.d).7. There is no limit on the number of applications that each applicant may submit.8. The applications for this NOFA can be found at http://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 AnnouncementI. Funding Opportunity DescriptionA. Purpose of the ProgramsThe overall goal of both the Lead and the Healthy Homes Technical Studies programs is to gain knowledge to improve the efficacy and cost- effectiveness of methods for evaluation and control of lead-based paint and other housing related health and safety hazards. This also supports HUD's Strategic Goal to Strengthen Communities and the associated policy priority to Improve Our Nation's Communities by improving the environmental health and safety of families living in public and privately owned housing.B. Program DescriptionHUD 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 StudiesThe 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 StudiesThe overall goals and objectives of the Healthy Home Initiative (HHI), which includes the Healthy Homes Technical Studies Program and the Healthy Homes Demonstration Grant Program (see the Healthy Homes Demonstration Grant Program NOFA published in this SuperNOFA), are to:(1) Mobilize public and private resources, involving cooperation among all levels of government, the private sector, grassroots community-based organizations, including faith-based organizations, and other non-profit organizations, to develop the most promising, cost- effective methods for identifying and controlling housing-related hazards; and(2) Build local capacity to operate sustainable programs that will continue to prevent, minimize, and control housing-related hazards in low- and very low-income residences when HUD funding is exhausted.The HHI departs from the more traditional approach of attempting to correct one hazard at a time. HUD is interested in promoting approaches that are cost-effective and efficient and result in the reduction of health threats for the maximum number of residents and, in particular, low-income children.In April 1999, HUD submitted a preliminary plan that described the HHI to Congress. The submission (Summary[[Page 11558]]and Full Report), and a description of the HHI are available on the HUD Web site at http://www.hud.gov/offices/lead/hhi/index.cfm.In addition to deficiencies in basic housing facilities that may impact health, changes in the U.S. housing stock and more sophisticated epidemiological methods and biomedical research have led to the identification of new and often more subtle health hazards in the residential environment (e.g., asthma triggers). While such hazards will tend to be found disproportionately in housing that is substandard (e.g., structural problems, lack of adequate heat, poor maintenance, etc.), such housing-related environmental hazards may also exist in housing that is otherwise of good quality. Appendix A of this NOFA briefly describes the key housing-associated health and injury hazards HUD considers targets for intervention. HUD has also developed resource papers on a number of topics of importance under the HHI, including mold, environmental aspects of asthma, carbon monoxide, and unintentional injuries. These resource papers can be downloaded at http://www.hud.gov/offices/lead/hhi/hhiresources.cfm.Brief descriptions of current and recently completed Healthy Homes Technical Studies projects and grantee contact information can be found on the HUD Web site at http://www.hud.gov/offices/lead/hhi/hhigranteeinfo.cfm .2. Community ParticipationHUD believes that it is important for researchers to incorporate some aspect of meaningful community participation in the development and implementation of studies that are conducted in communities and/or involve significant interaction with community residents. Community participation can improve study effectiveness in various ways, including the development of more appropriate research objectives, improving recruitment and retention of study participants, improving participants' involvement in and understanding of a study, improving ongoing communication between researchers and the affected community, and more effectively disseminating study findings. HUD encourages applicants to consider using a ``community based participatory research (CBPR)'' approach, where applicable, in study design and implementation. (See, e.g., the report published by the National Institute of Environmental Health Sciences titled ``Successful Models of Community-Based Participatory Research'' at: http://www.niehs.nih.gov/translat/pubs.htm ). CBPR is characterized by substantial community input in all phases of a study (i.e., design, implementation, data interpretation, conclusions, and communication of results).C. AuthorityThe 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 InformationA. Funding AvailableApproximately $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 GrantsThe 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 InstrumentAwards 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 InformationA. Eligible ApplicantsAcademic and non-profit institutions located in the United States, state and units of general local government, and federally recognized Native American tribes are eligible under all existing authorizations. For-profit firms also are eligible; however, they are not allowed to earn a profit from the project. Applications to supplement existing projects are eligible to compete with applications for new awards. Federal agencies are not eligible to submit[[Page 11559]]applications. The General Section identifies threshold requirements that must be met for an organization to receive an award.B. Cost Sharing or MatchingCost 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. Other1. Eligible Activities a. Lead Technical Studies.HUD is particularly interested in the following topics:(1) Development of alternative or improved clearance methods. The clearance of a dwelling following lead hazard control activities is achieved by collecting dust-wipe samples following a standard protocol, with subsequent analysis of the samples by a laboratory recognized under the National Lead Laboratory Accreditation Program (NLLAP). Lead hazard control costs could be reduced if immediate clearance results could be obtained in the field. Existing techniques that can be used to analyze dust samples in the field include the use of portable X-ray fluorescence (XRF) analyzers and anodic stripping voltammetry (ASV) instruments. It is theoretically possible to also employ colorimetric methods to analyze clearance samples. These techniques can be used in a screening context in which a ``failure'' would indicate the need for additional cleaning before definitive clearance wipe samples are collected for analysis by an appropriate laboratory. It is possible for an organization using a field-based technology to achieve recognition as a portable laboratory under NLLAP; however, it is HUD's understanding that, to date, this has not been done. HUD is interested in funding research that improves the performance of portable analytical technologies for lead dust-wipe analysis with the ultimate goal of improving the feasibility for such technologies to be used to conduct definitive analyses in the field.HUD has funded research for the on-site use of X-Ray Fluorescence (XRF) for dust wipe lead analysis and does not intend to fund additional work on this topic through this NOFA.(2) Reducing exterior soil as a cause of dust-lead hazards. Studies have shown that lead in exterior dust and soil can be an important source of lead exposure to young children, both through direct contact and indirectly when tracked or blown into the home. HUD has funded several studies that have assessed approaches to reducing the risk posed by this large environmental lead reservoir. These previous studies have focused on the following topics: reducing the bioavailability (as determined using in vitro testing) of lead in soil through the addition of composted biosolids or other additives; reducing soil hazards in urban yards through targeted landscaping (e.g., raised beds, improving ground cover); reducing exterior dust- lead levels through exterior building treatments and street and sidewalk cleaning; development of new sampling method for surface soils, and reducing surface soil-lead hazards by overlaying with clean soil and grass cover (see, e.g.: Binns et al., 2004, and Farfel et al., 2005, in Appendix B).Additional study is needed to assess the long-term effectiveness of interim controls to reduce soil and exterior dust-lead hazards. Research is also needed to develop interim controls and strategies for exterior dust and soil that are reasonable in cost, feasible to implement, and which do not require frequent maintenance to retain their effectiveness. Also, the relationship between control of soil lead hazards and interior dust lead levels has not been adequately described.(3) Effectiveness of Ongoing Maintenance Activities in Controlling Lead-Based Paint Hazards. There are few studies directly assessing the effectiveness of ongoing lead-based paint maintenance programs. HUD is interested in evaluating the effectiveness and feasibility of ongoing lead-based paint maintenance programs, identifying program components for which particular implementation difficulties exist, and evaluating proposed measures for overcoming those difficulties. Such an evaluation of program components could address whether and how technically- acceptable and cost-effective work practices are selected and implemented, how effectively supervisors monitor work activities to ensure that lead-based paint hazards are controlled and that dust and debris are contained and cleaned up during and after work, and how well clearance procedures (including necessary re-cleaning) are integrated into the maintenance program, among other factors.(4) Use of Available Databases to Evaluate the Efficacy of Lead Hazard Control Activities. Public databases can be used to help target and assess the effectiveness of lead hazard control activities. Examples of this include the use of census data to identify neighborhoods that are at high risk for lead poisoning (e.g., age and value of housing used in combination with indicators of socioeconomic status) and the use of blood-lead screening data to target dwellings that have been associated with repeated identification of resident children with elevated blood-lead levels. Geographic Information Systems (GIS) have also been successfully used as a tool to help target high-risk housing. At a broader level, serial blood-lead screening data could be used to assess the effectiveness of lead hazard control activities or laws that require lead hazard control treatments in high risk housing (e.g., by comparing community screening results before and after laws were enacted while accounting for the overall downward trend in blood lead levels and the performance of Lead Hazard Control grantees and other activities). HUD is interested in studies that assess effective and creative uses of public databases to improve the efficacy of lead hazard control programs (e.g., targeting neighborhoods), assess the effectiveness of enforcement and lead hazard control activities and regulations, and other uses of these data that further the goal of improving methods for the identification and control of residential lead-based paint hazards. Applicants proposing projects under this topic area should focus primarily on the use of existing data as opposed to the collection of new data through field activities. An applicant must demonstrate why the collection of any new data is important in the context of a proposed study (e.g., to validate a model developed using publicly available data) and that there is a limited amount of new data being collected.(5) Other Focus Areas that are Consistent with the Overall Goals of HUD's Lead Technical Studies Program. HUD will consider funding applications for technical studies on other topics that are consistent with the overall goals and objectives of the Lead Technical Studies program, as described above. In such instances, for an applicant to receive an award, it is necessary that the applicant describe in sufficient detail how the proposed study is consistent with the overall lead technical studies program goals and objectives.Note: A limited amount of lead hazard control activities, which involve construction rather than research, may be conducted as part of a project (see Section IV.E.9 of this NOFA).b. Healthy Homes Technical Studies(1) HUD expects to advance the recognition and control of residential[[Page 11560]]health and safety hazards and more closely examine the link between housing and health. The overall objectives of the Healthy Homes Technical Studies projects to be funded through this NOFA include, but are not limited to:(a) Development and evaluation of low-cost test methods and protocols for identification and assessment of housing-related hazards;(b) Development and assessment of cost-effective methods for reducing or eliminating housing-related hazards;(c) Evaluation of the effectiveness of housing interventions and public education campaigns, and barriers and incentives affecting future use of the most cost-effective strategies;(d) Investigation of the epidemiology of housing-related hazards and illness and injuries associated with these hazards, with an emphasis on children's health;(e) Evaluation of residential health and safety hazard assessment and control methodologies and approaches (including both existing methods and the evaluation of novel approaches);(f) Analysis of existing data or generation of limited new data to improve knowledge regarding the prevalence and severity of specific hazards in various classes of housing, with a focus on low-income housing. Specific examples include:(i) The prevalence of carbon monoxide and other indoor air quality hazards;(ii) The prevalence and patterns of moisture problems and biological contaminants associated with excess moisture (e.g., fungi, mold, bacteria, dust mites);(iii) The prevalence of specific childhood injury hazards in housing; and(iv) Improved understanding of the relationship between a residential exposure and childhood illness or injury.Applicants that propose this type of study should discuss how the knowledge that is gained from the study could be used in a program to reduce these hazards in target communities.(g) Low-cost analytical techniques and instruments for the rapid, on- and off-site determination of environmental contaminants of concern (e.g., bioaerosols, pesticides, allergens). HUD's primary interest is in the improvement of existing instruments or methods, and not in the development of new technologies or instruments. The OHHLHC has noted that these types of studies pose a high risk of experiencing significant delays. Applicants seeking to develop new technologies/ instruments should discuss why, if funded, their proposed project would be unlikely to experience significant delays in its completion.(2) HUD is particularly interested in the following topics:(a) Improving or assessing the efficacy of current methods for residential Integrated Pest Management (IPM). IPM approaches focus on the use of economical means for managing pests, which incorporate information on the life cycles of pests and their interaction with the environment, while minimizing hazards to people, property, and the environment. HUD is particularly interested in IPM methods for reducing cockroach and/or rodent populations in multifamily housing, with an emphasis on low-income housing.(b) Controlling excess moisture by reducing migration through the building envelope and condensation of water vapor on interior surfaces, with an emphasis on low-cost interventions for low-income housing;(c) Improving indoor air quality, such as through cost-effective approaches to upgrading residential ventilation or improving control/ management of combustion appliances. Applicants should discuss how proposed approaches might affect residential energy costs (e.g., increasing air exchange rates resulting in an increase in heating costs);(d) Dust control measures (e.g., preventing track-in of exterior dust and soil, improved methods for interior dust cleaning) have been identified as key areas in the HHI Preliminary Plan;(e) Evaluating the effectiveness of education and outreach methods designed to provide at-risk families with the knowledge to adopt self- protective behaviors with respect to housing-related health hazards. If you propose a study in this focus area you should cite and discuss the theoretical basis for the education/outreach approach that you are proposing.(f) Other Focus Areas that are Consistent with the Overall Goals of HUD's Healthy Homes Technical Studies Program. HUD will consider funding applications for technical studies on other topics that are consistent with the overall goals and objectives of the Healthy Homes Technical Studies program, as described above. In such instances, for an applicant to receive an award, it is necessary that the applicant describe in sufficient detail how the proposed study is consistent with the overall program goals and objectives.(3) General Information. In proposing to conduct a study on a particular topic, applicants should consider:(a) The ``fit'' of the proposed hazard assessment and/or control methods within the overall goal of addressing ``priority'' health and safety hazards in a cost-effective manner;(b) The efficacy of the proposed methods for hazard control and risk reduction (e.g., how long is effective hazard reduction maintained);(c) Where and how these methods would be applied and tested, and/or perform demonstration activities; and(d) The degree to which the study will help develop practical, widely applicable methods and protocols or improve our understanding of a residential health hazard.Applications for a study for which the sole or primary focus is on lead-based paint hazards are ineligible for funding under the Healthy Homes Technical Studies program. Such studies should be submitted for funding under the Lead Technical Studies Program.Applicants should consider the efficiencies that might be gained by working cooperatively with one or more recipients of HUD's Healthy Homes Demonstration and/or Lead Hazard Control grants, which are widely distributed throughout the United States. Information on current grantees is available at http://www.hud.gov/offices/lead.You may address one or more than one of the above technical studies topic areas within your proposal, or submit separate applications for different topic areas.Note: A limited amount of hazard control activities, which involve construction rather than research, may be conducted as part of a Healthy Homes Technical Studies project (see Section IV.E.9 of this NOFA).2. Threshold Requirements Applicable to all Applicants.To receive an award of funds from HUD, you must meet all the threshold requirements in the General Section.3. Program Requirements.The following requirements are applicable to both the Healthy Homes Technical Studies and Lead Technical Studies Programs:a. Program Performance. Grantees shall take all reasonable steps to accomplish all activities within the approved period of performance. HUD reserves the right to terminate the cooperative agreement prior to the expiration of the period of performance if the grantee fails to make reasonable progress in implementing the approved program of activities or fails to comply with the terms of the cooperative agreement.[[Page 11561]]b. Regulatory Compliance. Grantees must comply with all relevant federal, state, and local regulations regarding exposure to and proper disposal of hazardous materials.c. Blood Lead Testing. Any blood lead testing, blood lead level test results, medical referral, or follow-up for children under 6 years of age will be conducted according to the recommendations of the Centers for Disease Control and Prevention (CDC), Preventing Lead Poisoning in Young Children (see Appendix B of this NOFA).d. Restricted Use of Funds. HUD technical studies grant funds will not replace existing resources dedicated to any ongoing project.e. Laboratory Analysis for Lead. Laboratory analysis covered by the NLLAP will be conducted by a laboratory recognized under the program.f. Laboratory Analysis for Mold. Samples to be analyzed for mold (fungi) must be submitted to a laboratory accredited through the Environmental Microbiological Laboratory Accreditation Program (EMLAP), administered by the American Industrial Hygiene Association (AIHA).g. Human Research. Human research subjects will be protected from research risks in conformance with Federal Policy for the Protection of Human Subjects, required by HUD at 24 CFR 60.101, which incorporates the Department of Health and Human Services (DHHS) Protection of Human Subjects regulation at 45 CFR part 46.h. OSHA Compliance. The requirements of the Occupational Safety and Health Administration (OSHA) (e.g., 29 CFR part 1910 and/or 1926, as applicable) or the state or local occupational safety and health regulations, whichever are most stringent, will be met.i. Civil Rights. The institution administering the grant must meet the civil rights threshold set forth in the General Section.j. Disclosure. All test results and other information in pre-1978 housing related to lead-based paint or lead-based paint hazards must be provided to the owner of the unit, together with a statement describing the owner's legal duty to disclose the knowledge of lead-based paint and its hazards to tenants (before initial leasing, or before lease renewal with changes) and buyers (before sale) (24 CFR Part 35, subpart A). Disclosure of other identified housing-related health or safety hazards to the owner of the unit, for purposes of remediation, is encouraged but not required. k. Privacy. Submission of any information on the properties to databases (whether Web site, computer, paper, or other format) of addresses of identified, treated or cleared housing units is subject to the protections of the Privacy Act of 1974, and shall not include any personal information that could identify any child affected. You should also check to ensure you meet state privacy regulations.l. Applicants must incorporate meaningful community involvement into any study that requires a significant level of interaction with a community during implementation (e.g., projects being conducted within occupied dwellings or which involve surveys of community residents). The term community refers to a variety of populations comprised of persons who have commonalities that can be identified (e.g., based on geographic location, ethnicity, health condition, common interests). Applicants should identify the community that is most relevant to their particular project. There are many different approaches to involving the community in the conception, design, and implementation of a study and the subsequent dissemination of findings. Examples include but are not limited to: Establishing a structured approach to obtain community input and feedback (e.g., through a community advisory board); including one or more community-based organizations as study partners; employing community residents to recruit study participants and collect data; and enlisting the community in the dissemination of findings and translation of results into improved policies and/or practices. A discussion of community involvement in research involving housing- related health hazards can be found in Chapter 5 of the Institute of Medicine publication titled ``Ethical Considerations for Research on Housing-Related Health Hazards Involving Children'' (see Appendix B for more information on this report).m. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). This program is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u). Section 3 requires recipients to ensure that, to the greatest extent feasible, training, employment, and other economic opportunities will be directed to low- and very low-income persons, particularly those who are recipients of government assistance for housing, and to businesses which provide economic opportunities to low- and very low-income persons. The regulations may be found at 24 CFR part 135.n. Standardized Dust Sampling Protocol and Quality Control Requirements. Grantees collecting samples of settled dust from participant homes for environmental allergen analyses (e.g., cockroach, dust mite) will be required to use a standard dust sampling protocol, unless there is a strong justification to use an alternate protocol (e.g., the study involves the development of an alternative sampling method). The HUD protocol can be found on the OHHLHC Web site at: http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. Grantees conducting these analyses will also be required to include quality control dust samples, provided by OHHLHC at no cost to the grantee, with the samples that are submitted for laboratory analyses. For the purpose of budgeting laboratory costs, you should assume that 5 percent of your total allergen dust samples will consist of Quality Control samples.4. DUNS Requirement.Refer to the General Section for information regarding the DUNS requirement. A DUNS number must be provided for the institution that is submitting an application. Your DUNS number must be included in your electronic application submission. Be sure to use the DUNS number that you have registered as an Authorized Organization Representative (AOR) with Grants.gov and that your eBusiness Point of Contact has authorized you to submit an application on behalf of the applicant organization (see the General Section for details about the Grants.gov registration process).IV. Application and Submission InformationIf 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 PackageAll applications must be submitted electronically. The information required to submit an application is contained in the program section of this NOFA and the General Section. Applications can be downloaded from the web at: http://www.grants.gov/applicants/apply_for_grants.jsp. If you have difficulty accessing the information you may call the Grants.gov help line toll-free at (800) 518-GRANTS (4726) from Monday to Friday from 7 a.m. to 9 p.m. eastern time, or send an e-mail to Support@grants.gov.[[Page 11562]]B. Content and Form of Application Submission1. Applicant Data. Your application must contain the items listed in this section. These items include the standard forms contained in the General Section that are applicable to this funding announcement (collectively referred to as the ``standard forms''). Copies of these forms are available on line at http://www.grants.gov/applicants/apply_for_grants.jsp. The required items are:a. Application Abstract. An abstract with the project title, the names and affiliations of all investigators, and a summary of the objectives, expected results, and study design (two-page maximum) must be included in the proposal. Information contained in the abstract will not be considered in the evaluation and scoring of your application. Any information you wish to be considered should be provided under the appropriate rating factor response.b. All forms as required by the General Section. However, forms HUD-2991 (Certification of Consistency with the Consolidated Plan) and HUD-27061 (Race and Ethnicity Data) are not required with the application for these programs.c. Materials Submitted. A project description/narrative statement addressing the rating factors for award under the program (Lead Technical Studies or Healthy Homes Technical Studies) for which you are applying. The narrative statement must be identified in accordance with each factor for award (Rating Factors 1 through 5). Number the pages of your narrative statement. The project description or narrative must be included in the responses to the rating factors. The response to the rating factors should not exceed a total of 25 pages, single-sided, with a minimum 12-point font and a minimum margin width of 1-inch. Any pages in excess of this limit will not be read. The points you receive for each rating factor will be based on the portion of your narrative statement that you submit in response to that particular factor, supplemented by any appendices that are referenced in your narrative response to the rating factor. Supporting materials that are not referenced or discussed in your responses to the individual rating factors will not be considered. Additional materials (e.g., appendices) must be submitted with your application according to the directions in the General Section. The footer on the pages of these materials should identify the rating factor that they are supporting.d. Supporting Materials. Include the resumes of the principal investigator and other key personnel and other materials that are needed in your response to the rating factors (e.g., organizational chart, letters of commitment, a list of references cited in your responses to the rating factors). Each resume shall not exceed three pages, and is limited to information that is relevant in assessing the qualifications and experience of key personnel to conduct and/or manage the proposed technical studies. This information will not be counted towards the Rating Factors narrative 25-page limit. e. Additional Information. Submit other optional information provided in support of your application following the directions in the General Section. These additional optional materials must not exceed 20 pages. Any pages in excess of this limit will not be read. Do not include additional narrative information that is an extension of or expands upon any of your rating factor responses. Such narrative will not be considered.f. Budget. Include a total budget with supporting cost justification up to four pages, which will cover all budget categories of the federal grant request. This information will not be counted towards the Rating Factors narrative 25-page limit. Use the budget format discussed in Rating Factor 3, Section V.A.3.c, below. In completing the budget forms and justification, you should address the following elements:(1) Direct Labor costs, including all full- and part-time staff required for the planning and implementation phases of the project. These costs should be based on full time equivalent (FTE) or hours per year (hours/year) (i.e., one FTE equals 2,080 hours/year);(2) Allowance for one trip to HUD Headquarters in Washington, DC, for each year of your grant, planning each trip for two people. The first trip will occur shortly after grant award for a stay of two or three days, depending on your location, and the remaining trips will have a stay of one or two days, depending on your location;(3) A separate budget proposal for each subrecipient receiving more than 10 percent of the total federal budget request;(4) Supporting documentation for salaries and prices of materials and equipment, upon request; and(5) Indirect Cost Rates. Organizations that have a federally negotiated indirect cost rate should use that rate and the appropriate base. The documentation will be verified during award negotiations. Organizations that do not have a federally negotiated rate schedule must obtain a rate from their cognizant federal agency, otherwise the organization will be required to obtain a negotiated rate through HUD.g. Checklist for Technical Studies Program Applicants.(1) Applicant Abstract (limited to 2 pages).(2) Rating Factor Responses (Total narrative response limited to 25 pages.)(a) Capacity of the Applicant and Relevant Organizational Experience (21 points).(b) Need/Extent of the Problem (15 points).(c) Soundness of Approach (50 points).(d) Leveraging Resources (6 points).(e) Achieving Results and Program Evaluation (8 points).(f) Bonus Points (RC/EZ/EC-II) (2 points).(3) Required materials in response to rating factors (does not count towards 25-page limit).(a) Resumes of Key Personnel (limited to 3 pages per resume).(b) Organizational Chart.(c) Letters of Commitment (if applicable)--Letters of commitment should include language defining the activities to be performed, the contributions to be made, and the monetary value of each.Note: HUD recommends against including letters of support that do not commit services, materials, or funds; they will not add to the consideration of your application.(4) Optional material in support of the Rating Factors (20 page limit).(5) Required Forms and Budget Material.(a) Form SF 424 (Application for Federal Assistance).(b) Form HUD-424-CBW (Budget Worksheet).(c) Form HUD-96010 (Logic Model Form).(d) Form SF-424 Supplement, ``Survey on Ensuring Equal Opportunities for Applicants'' (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) (to be completed by private nonprofit organizations only).(e) Form SF LLL (Disclosure of Lobbying Activities, if applicable).(f) Form HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' (``HUD Applicant Recipient Disclosure Report'' on Grants.gov).(g) Form HUD-2990 (Certification of Consistency with the RC/EZ/EC- II Strategic Plan, required only for applicants who are seeking these 2 bonus points).[[Page 11563]](h) Form HUD-2994-A (You Are Our Client Grant Applicant Survey, Optional).(i) Form HUD-27300, ``Questionnaire for HUD's Removal of Regulatory Barriers'' (``HUD Communities Initiative Form'' on Grants.gov) including the required information, if applicable.(j) Form HUD-96011, ``Third Party Documentation Facsimile Transmittal'' (`` Facsimile Transmittal Form'' on Grants.gov) (Used as the cover page to transmit third party documents and other information designed for each specific application for tracking purposes. HUD will not read faxes that do not use the HUD-96011 as the cover page to the fax).C. Submission Dates and TimesElectronic 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 ReviewThis NOFA is excluded from the requirement of an Intergovernmental Review.E. Funding Restrictions1. 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; andb. 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 RequirementsApplicants 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 InformationA. Criteria1. Threshold Requirements. Applications that meet all of the threshold requirements will be eligible to be scored and ranked, based on the total number of points allocated for each of the rating factors described in Section V.A.3 of this NOFA. Your application must receive a total score of at least 75 points to be considered for funding.2. Award Factors. Each of the five factors is weighted as indicated by the number of points that are assigned to it. The maximum score that can be attained is 100 points plus a possible 2 bonus points. Applicants should be certain that each of these factors is adequately addressed in the project description and accompanying materials.3. Rating Factors.a. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (21 Points). This factor addresses the extent to which you have the ability and organizational resources necessary to successfully implement your proposed activities in a timely manner. The rating of your application will include any sub-grantees, consultants, sub-recipients, and members of consortia that are firmly committed to the project (generally, ``subordinate organizations''). In rating this factor, HUD will consider the extent to which your application demonstrates:(1) The capability and qualifications of key and supporting personnel (14 points). HUD will assess the qualifications of key personnel to carry out the proposed study as evidenced by relevant academic background, publications, and recent (within the past 10 years) research experience. Publications and/or research experience are considered relevant if they required the acquisition and use of knowledge and skills that can be applied in the planning and execution of the technical study that is proposed under this NOFA. HUD will also evaluate the qualifications of supporting personnel such as statisticians and research assistants. Partner organizations will also be evaluated with respect to their qualifications and capabilities to successfully implement their proposed project roles.(2) Past performance of the study team in managing similar projects (7 points). HUD will evaluate your demonstrated ability to successfully manage various aspects (e.g., personnel management, data management, quality control, reporting) of a complex technical study, as well as your overall success in completing projects on time and within budget. If applicable, provide the number and title of current and past OHHLHC grants as well as past performance of the organization (applicant and/ or partners) on other grant(s) or project(s) related to residential environmental health and safety research, or other relevant experience. Provide details about the nature of the project, the funding agency, and your performance (e.g., timely completion, achievement of desired outcomes). You should also discuss the degree to which the results from past research have been used to develop new or improved methods or tools for residential hazard assessment or control. If your organization has an[[Page 11564]]active OHHLHC grant or cooperative agreement, provide a description of the progress and outcomes achieved under that award.If you completed one or more HUD-funded Technical Studies grants, your performance will be evaluated in terms of achievements made under the previous grant(s). If you have completed a previous HUD-funded Technical Studies grant but you have not published the study results in a peer-reviewed scientific journal, you should explain why the results have not been published.b. Rating Factor 2: Need/Extent of the Problem (15 Points). This factor addresses the extent to which there is a need for your proposed technical study. In responding to this factor, you should document in detail how your project will make a significant contribution towards achieving some or all of HUD's stated goals and objectives for one or more of the topic areas described in Section I.B.1.a (Lead Technical Studies) or I.B.1.b (Healthy Homes Technical Studies), as appropriate for the program to which you are applying. For example, you should demonstrate how your proposed study addresses a need with respect to the development of improved methods for the assessment and control of residential lead-based paint hazards or addresses a need associated with an important housing-related health hazard, with an emphasis on children's health. This is especially important for applicants that are proposing to study a lead or healthy homes topic that is not highlighted as a priority area by HUD in section III.C of this NOFA; such applicants that do not provide supporting language to demonstrate this will not receive points under this rating factor. Specific topics to be addressed for this factor include (five points for each item):(1) A concise review of the research need that is addressed in your study and why it is high priority with respect to the program. For Healthy Homes Technical Studies applicants, include available documented rates of illness or injury associated with the hazard or hazards that you are addressing, including local, regional, and national data, as applicable.(2) A discussion of how your proposed project would significantly advance the current state of knowledge for your focus area, especially with respect to the development of practical, cost-effective solutions.(3) A discussion on how you anticipate your study findings will be used to improve current methods for assessing or mitigating the hazards under study. Indicate why the method/protocol that would be improved through your study would likely be widely adopted (e.g., low cost, easily replicated, lack of other options).c. Rating Factor 3: Soundness of Approach (50 Points). This factor addresses the quality of your proposed technical study plan. Specific components include:(1) Soundness of the study design (26 points). Clearly and thoroughly describe the design of your proposed study and identify the major objectives. If possible, your study should be designed to address testable hypotheses that are clearly stated. The study should be presented as a logical sequence of steps or phases with individual tasks described for each phase. Your narrative should reflect the relevant scientific literature, which should be thoroughly cited in your application. Describe the statistical basis for your study design and demonstrate that you would have adequate statistical power to test your stated hypotheses and achieve your study objectives. You should identify any important ``decision points'' in your study plan and you should discuss your plans for data management, analysis and archiving. You should demonstrate that it is clearly feasible to complete the study within the proposed period of performance and successfully achieve your objectives. HUD has observed that studies can miss targeted performance timelines because of delays in the IRB approval process or unexpected difficulties with recruiting study participants, and delays in developing new laboratory methods or instruments. If applicable, describe actions that you will take to minimize the possibility that your study would experience delays in these areas (e.g., understanding likely IRB requirements in advance, planning on additional avenues for recruitment of participants, initiating the development of new methods/instruments).If you are proposing to conduct a study that includes a significant level of community interaction (e.g., studies involving participant recruitment, survey research, environmental sampling on private property), describe your plan for meaningful involvement of the affected community in your proposed study. You should define the community of interest with respect to your proposed study and discuss why and how your proposed approach to community involvement will make a meaningful contribution to your study and to the community.(2) Policy Priorities (5 points). Indicate if your proposed study will address any of the FY 2007 policy priorities that are applicable to this NOFA (see the General Section for additional details regarding these policy priorities). You will receive one point under Rating Factor 3(2) for each of the applicable FY 2007 policy priorities that are found in the General Section and applicable to the Technical Studies NOFA that are adequately addressed in your application, with the exception of ``Removal of Barriers to Affordable Housing,'' for which you can receive up to two points (see the General Section). Policy priorities that are applicable to the Technical Studies NOFA are: (1) Improving our Nation's Communities (focus on distressed communities); (2) Providing Full and Equal Access to Grass-Roots Faith- based and other Community-based Organizations in HUD Program Implementation; (3) Participation of Minority-Serving Institutions in HUD Programs, and (4) Removal of Barriers to Affordable Housing.Each policy priority is worth one point, except for policy priority (4), Removal of Regulatory Barriers to Affordable Housing, which is worth up to 2 points provided the applicant includes a narrative response and submits the required documentation as described in Form HUD 27300 to this policy priority. Applicants may also provide a Web site address where the documentation can be readily found.(3) Quality assurance mechanisms (8 points). You must describe the quality assurance mechanisms that will be integrated into your project design to ensure the validity and quality of the results. Applicants that receive awards will be required to submit a Quality Assurance Plan to HUD. You should plan for this and include Quality Assurance activities in your study work plan. The Office of Management and Budget paperwork approval for the Quality Assurance Plan template for this program is currently pending.(a) Discuss the major quality assurance mechanisms that are relevant for your proposed study. Examples of quality assurance mechanisms include, but are not limited to: procedures for selection of samples/sample sites, sample handling, use of quality control samples, validating the accuracy of instrumentation, measures to ensure accuracy during data management, staff training, and final validation of your dataset. Documents (e.g., government reports, peer-reviewed academic literature) that provide the basis for your quality assurance mechanisms should be cited. Also, identify members of the study team who will have primary responsibility for drafting and ensuring compliance with the Quality Assurance Plan. Your application will be rated on[[Page 11565]]the thoroughness, clarity, and validity of your proposed quality assurance activities, and their appropriateness for ensuring the validity and quality of the data.(b) For the collection of data using instruments, such as surveys and visual assessment tools, describe the procedures that you will follow to ensure accurate data capture and transfer (e.g., transfer of data from the field to a database). Also, describe any research done (or planned) to validate the instrument.(c) Institutional Review Boards. In conformance with the Common Rule (Federal Policy for the Protection of Human Subjects, codified by HUD at 24 CFR 60.101, which incorporates the DHHS regulation at 45 CFR part 46), if your research involves human subjects, your organization must provide proof (e.g., a letter signed by an appropriate official) that the research has been reviewed and approved by an Institutional Review Board (IRB) before you can initiate activities that require IRB approval. Before initiating such activities you must also provide the number for your organization's assurance (i.e., an ``institutional assurance'') that has been approved by the DHHS's Office for Human Research Protections (OHRP).You do not have to provide proof of IRB approval with your application. If you do not have IRB approval yet, you should address how you will obtain such approval. Describe how you will obtain informed consent (e.g., from the subjects, their parents or their guardians, as applicable) and discuss the steps you will take to help ensure participants' understanding of the elements of informed consent, such as the purposes, benefits and risks of the research. Describe how this information will be provided and how the consent will be collected. For example, describe your use of ``plain language'' forms, flyers and verbal scripts, and how you plan to work with families with limited English proficiency or primary languages other than English, and with families including persons with disabilities. For additional information on what constitutes human subject research or how to obtain an institutional assurance see the OHRP Web site at http://www.hhs.gov/ohrp/ .(4) Project management plan (5 points). The proposal should include a management plan that provides a schedule for the clear and expeditious completion of major tasks, with associated benchmarks and major study milestones, and major deliverables. If your application includes multiple organizations, you should identify the organization/ person that has primary responsibility for completion of each of the major study tasks. The major tasks and benchmarks/deliverables identified in the management plan should be consistent with those identified in the Logic Model (see description under Rating Factor 5). You should include plans for preparation of one or more articles for publication in peer-reviewed academic journals and submission of the draft(s) to the journal(s) after HUD acceptance. The final deliverable can be submitted to HUD during the agreed upon period of performance or during the 90-day closeout period following award expiration.(5) Budget Proposal (6 points).(a) Your budget proposal should thoroughly estimate all applicable direct and indirect costs, and be presented in a clear and coherent format in accordance with the requirements listed in the General Section. HUD is not required to approve or fund all proposed activities. You must thoroughly document and justify all budget categories and costs (Form HUD-424-CBW) and all major tasks, for yourself, sub-recipients, major subcontractors, joint venture participants, or others contributing resources to the project. A separate budget must be provided for partners who are proposed to receive more than 10 percent of the federal budget request. Your application will be evaluated on the extent to which your resources are appropriate for the scope of your proposed study.(b) Your narrative justification associated with these budgeted costs should be submitted as part of the Total Budget (Federal Share and Matching), but is not included in the 25-page limit for this submission. Separate narrative justifications should be submitted for partners that are submitting separate budgets.(c) The application will not be rated on the proposed cost; however, cost will be considered in addition to the rated factors to determine the proposal most advantageous to the Federal Government. Cost will be the deciding factor when proposals ranked under the listed factors are considered acceptable and are substantially equal.d. Rating Factor 4: Leveraging Resources (6 Points). Your proposal should demonstrate that the effectiveness of HUD's Technical Studies grant funds is being increased by securing other public and/or private resources or by structuring the project in a cost-effective manner, such as integrating the project into an existing study (either funded by HUD or another source) that will be concurrent with your proposed study. Resources may include funding or in-kind contributions (such as services, facilities or equipment) allocated to the purpose(s) of your project. Staff and in-kind contributions should be assigned a monetary value.You should provide evidence of leveraging/partnerships by submitting: letters of firm commitment, memoranda of understanding, and/or agreements to participate from those entities identified as partners in the project efforts. Each document must include the organization's name, proposed level of commitment (with monetary value) and responsibilities as they relate to specific activities or tasks of your proposed program. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization. Simple letters that only indicate support of the proposed study are not sufficient. Leveraging is discussed in Appendix D, ``Matching and Leveraging Contribution Guidance,'' of this NOFA.e. Rating Factor 5: Achieving Results and Program Evaluation (8 Points). This factor emphasizes HUD's commitment to ensuring that applicants keep promises made in their applications and assess their performance to ensure performance goals are met. Achieving results means you, the applicant, have clearly identified the benefits or outcomes of your program. Outcomes are ultimate goals. Benchmarks or outputs are interim activities or products that lead to the ultimate achievement of your goals.Program evaluation requires that you, the applicant, identify program outcomes, interim products or benchmarks, and indicators that will allow you to measure your performance. Performance indicators should be objectively quantifiable and measure actual achievements against anticipated goals. Your evaluation plan should identify what you are going to measure, how you are going to measure it, and the steps you have in place to make adjustments to your work plan if performance targets are not met within established timeframes.This rating factor reflects HUD's goal to embrace high standards of ethics, management and accountability. In evaluating this factor, HUD will consider how you have described the procedures you will follow to have reliable outcome measures and performance, so that the project will be recognized as being of high quality that provides benefits to the community.In your response to this Rating Factor, discuss the performance goals for your project and identify specific outcome[[Page 11566]]measures. Describe how the outcome information will be obtained, documented, and reported. You must complete and return the eLogic ModelTMForm 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 Process1. 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 InformationA. Award Notices1. Notice of Award. Applicants who have been selected for award will be notified by letter from the Office of Healthy Homes and Lead Hazard Control Grant Officer. The letter will state the program for which the application has been selected, the amount the applicant is eligible to receive, and the name of the Government Technical Representative (GTR). This letter is not an authorization to begin work or incur costs under the award. An executed cooperative agreement is the authorizing document.HUD may require that all the selected applicants participate in negotiations to determine the specific terms of the cooperative agreement, budget, and Logic Model. If you accept the terms and conditions of the cooperative agreement, you must return your signed cooperative agreement by the date specified during negotiation. In cases where HUD cannot successfully conclude negotiations with a selected applicant or a selected applicant fails to provide HUD with requested information, an award will not be made to that applicant. In this instance, HUD may offer an award, and proceed with negotiations with the next highest-ranking applicant. Applicants should note that, if they are selected for multiple OHHLHC awards, they must ensure that they have sufficient resources to provide the promised match and/or leveraging for the multiple awards. During negotiations, applicants selected for multiple awards will be required to provide alternative match and/or leveraged resources, if necessary, before the grant can be awarded. This is required in order to avoid committing duplicate match and/or leveraged resources to more than one OHHLHC grant.Awardees will receive additional instructions on how to have the grant account entered into HUD's Line of Credit Control System (LOCCS) payment system or its successor will be provided. Other forms and program requirements will also be provided.In accordance with OMB Circular A-133 (Audits of States, Local Governments and Non-Profit Organizations), grantees expending $500,000 in Federal funds within a program or fiscal year must submit their completed audit-reporting package along with the Data Collection Form (SF-SAC) to the Single Audit Clearinghouse, the address can be obtained from their Web site. The SF-SAC can be downloaded at http://harvester.census.gov/sac/ .2. Debriefing. The General Section provides the procedures applicants should follow for requesting a debriefing.B. Administrative and National Policy Requirements1. Environmental Requirements.a. Eligible Construction and Rehabilitation Activities.(1) A Technical Studies award does not constitute approval of specific sites where activities that are subject to environmental review may be carried out. Recipients conducting eligible construction and rehabilitation activities must comply with 24 CFR part 58, ``Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities''. Recipients that are States, units of general local government or Indian tribes must carry out environmental review responsibilities as a responsible entity under part 58. Where the recipient is not a State, unit of general local government or Indian tribe, a responsible entity, usually the unit of general local government or Indian tribe, must assume the environmental review responsibilities for construction or rehabilitation activities funded under this NOFA. Under 24 CFR 58.11, where the recipient is not a State, unit of general local government or Indian tribe, if a responsible entity objects to performing the environmental review, or the recipient objects to the responsible entity performing the environmental review, HUD may designate another responsible entity to perform the review or may perform the environmental review itself under the provisions of 24 CFR part 50. In such cases, following grant award execution, HUD will be responsible for ensuring that any necessary environmental reviews are completed. See paragraph (2) below for additional assistance.(2) For all grants under this NOFA, recipients and other participants in the project are prohibited from undertaking, or committing or expending HUD or non-HUD funds (including HUD leveraged or match funds) on, a project or activities under this NOFA (other[[Page 11567]]than activities listed in 24 CFR 58.34, 58.35(b) or 58.22(f)) until the responsible entity completes an environmental review and the applicant submits and HUD approves a Request for the Release of Funds and the responsible entity's environmental certification (both on form HUD 7015.15) or, in the case where the recipient is not a State, unit of general local government or Indian tribe and HUD has determined to perform the environmental review under part 50, HUD has completed the review and notified the grantee of its approval. The results of the environmental reviews may require that proposed activities be modified or proposed sites rejected. For Part 58 procedures, see http://www.hud.gov/offices/cpd/environment/index.cfm. For assistance, contact Edward Thomas, the Office of Healthy Homes and Lead Hazard Control Environmental Officer at (215) 861-7670 (this is not a toll free- number) or the HUD Environmental Review Officer in the HUD Field Office serving your area. If you are a hearing- or speech-impaired person, you may reach the telephone number via TTY by calling 1-800-877-8339. Recipients of a grant under these funded programs will be given additional guidance in these environmental responsibilities.b. All other activities not related to construction and rehabilitation activities are categorically excluded under 24 CFR 50.19(b)(1), (3), and (9) from the requirements of the National Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject to environmental review under the related laws and authorities.2. Conducting Business in Accordance with HUD Core Values and Ethical Standards. If awarded assistance under this NOFA, prior to entering into a cooperative agreement with HUD, you will be required to submit a copy of your code of conduct and describe the methods you will use to ensure that all officers, employees, and agents of your organization are aware of your code of conduct. See the General Section for information about conducting business in accordance with HUD's core values and ethical standards.3. Participation in HUD-Sponsored Program Evaluation. See the General Section.4. Removal of Barriers to Affordable Housing. See the General Section.5. HUD Reform Act of 1989. The provisions of the HUD Reform Act of 1989 that apply to this NOFA are explained in the General Section.6. Executive Order 13202. Compliance with HUD regulations at 24 CFR 5.108 that implement Executive Order 13202, ``Preservation of Open Competition and Government Neutrality Towards Government Contractors' Labor Relations on Federal and Federally-Funded Construction Projects'', is a condition of receipt of assistance under this NOFA.Note: This Order only applies to construction work.7. Procurement of Recovered Materials. See the General Section for information concerning this requirement.8. Davis-Bacon Wage Rates. The Davis-Bacon prevailing wage rates do not apply to this program. However, if program funds are used in conjunction with other federal programs in which Davis-Bacon prevailing wage rates apply, then Davis-Bacon provisions would apply to the extent required under the other federal programs.C. Reporting1. 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 toll-free 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 InformationA. Other Office of Healthy Homes and Lead Hazard Control Information. For additional general, technical, and grant program information pertaining to the Office of Healthy Homes and Lead Hazard Control, visit http://www.hud.gov/offices/lead.B. Paperwork Reduction Act. The information collection requirements contained in this document have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection displays a currently valid OMB control number. Public reporting burden for the collection of information is estimated to average 80 hours per respondent for the application and 16 hours to finalize the cooperative agreement. This includes[[Page 11568]]the time for collecting, reviewing, and reporting the data for the application. This information will be used for grantee selection. The reporting burden for completion of the Quality Assurance Plan by applicants who are awarded a grant is estimated at 24 hours per grantee (OMB approval is pending). Response to this request for information is required in order to receive the benefits to be derived.C. Appendices. Appendices A, B, C and D to this NOFA are available for downloading with the application at http://www.grants.gov/applicants/apply_for_grants.jsp .[GRAPHIC] [TIFF OMITTED] TN13MR07.014[[Page 11569]]Lead Outreach Grant ProgramOverview InformationA. 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 AnnouncementI. Funding Opportunity Description. Background information about lead, lead-based paint hazards and other information applicable to this NOFA can be found at: http://www.grants.gov/applicants/apply_for_grants.jsp .A. Purpose of the Program. The purpose of this program is to raise public awareness and deliver HUD-approved training about lead-based paint as a source of lead poisoning, childhood lead poisoning prevention, and proper lead hazard identification, control and lead safe rehabilitation and maintenance methods for at-risk communities and children, primarily to underserved populations. Only entities, states or local governments that are not current Lead-Based Paint Hazard Control, Lead Hazard Reduction Demonstration, or Operation Lead Elimination Action Program (LEAP) grantees, or sub-grantees, contractors or sub-contractors receiving 10 percent or greater of the award may apply to this program. If an applicant has received previous OHHLHC funding, the application must clearly explain why there remains a need for lead outreach in that jurisdiction.B. Authority. The authority for this program is Sections 1011(e)(8) and (g)(1) of the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and Community Development Act of 1992), and the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007).C. Changes in the FY 2007 Competitive NOFA. Listed below are major changes from the FY 2006 Lead Outreach NOFA:1. The outreach and education categories have been merged and the technical assistance category of activity has been eliminated.2. Eligible outreach and educational activities are clearly identified and described.3. For this round of funding, higher points will be awarded to communities having confirmed elevated blood level (EBL) rates for children under 6 years of age equal to or greater than 2.5 percent and that track and report lead poisoning data.II. Terms of AwardA. Available FundingApproximately $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 Performance1. 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 InformationA. Eligible Applicants1. Academic, not-for-profit and for-profit institutions located in the United States, states and units of general local government, and federally recognized Native American tribes are eligible to apply. For- profit firms are not allowed to earn a fee (i.e., make a profit from the project).2. Current Lead-Based Paint Hazard Control, Lead Hazard Reduction Demonstration, or Operation Lead Elimination Action Program (LEAP) grantees, sub-grantees, entities, states or local governments receiving 10 percent or greater of the grant award are not eligible to apply to this program as applicants, sub-grantees, team members, contractors or sub-contractors in any capacity receiving 10 percent or greater of grant funds. Conversely, an entity may not apply under this NOFA or be a sub-grantee, sub-contractor, participant, or partner receiving 10 percent or greater of grant funds. An entity that is an existing grantee, sub-[[Page 11570]]grantee, sub-contractor or partner receiving 10 percent or greater of grant funds on another application or grant may not apply under this program in any role. Organizations that are ``doing business as'' a different organization are considered to be the same entity. Organizations may not qualify for eligibility by applying under a different name.B. Cost Sharing or Matching Requirements. A 10 percent match is required. Leveraging is encouraged. Applicants must provide a matching contribution of at least 10 percent of the requested cooperative agreement sum. If an applicant does not include proper documentation of the minimum 10 percent match requirements in the application, it will be considered ineligible for an award and will not be reviewed. Matching contributions may be in the form of cash or in-kind (non-cash) contributions or a combination of these sources. Matched resources must be used only for eligible activities. With the exception of Community Development Block Grant (CDBG) funds, or other programs that only allow their funds to be considered local funds and therefore eligible to be used as matching funds, federal funds may not be used to satisfy any statutorily required matching requirement, as applicable. Federal funds may be used, however, for contributions above the 10 percent match requirement, provided that these funds are used only for eligible activities under the Lead Outreach program. The applicant must submit a letter of commitment for the match or leverage from each organization other than itself that is providing match or leverage, whether cash and/or in-kind. The letter must indicate the amount and source of the match, and detail how the matching funds will be specifically dedicated to and integrated into supporting the proposed cooperative agreement program. The signature of the authorized official on the Form SF-424 commits proposed matching or other contributed resources of the applicant organization. A separate letter from the applicant organization is not required.C. Other1. Threshold Requirements. Applicants must also meet the threshold requirements of the General Section, including the Civil Rights threshold.2. Policies applicable to all activities in this NOFA.a. Each awardee will be assigned a GTR (Government Technical Representative) who will provide oversight and approve grantees' activities and deliverables.b. Awardees must use existing outreach, training and technical assistance documents unless they can adequately justify in their application that a great need exists in their community to substantively modify existing documents or create new ones. Before creating a new product (such as a brochure, curriculum or technical document), grantees must investigate if a similar item already exists and can be used or revised with a level of effort lower than would be spent creating a new equivalent product. Applicants must ensure that materials are appropriate for the target populations, including persons with Limited English Proficiency (LEP), and for visually impaired or other disabled persons (see Eligible Activities, below). All new products and adaptations/translations must be submitted to HUD as deliverables, in electronic format suitable for web posting.c. For use under this program, all documents in languages other than English must be culturally neutral (understandable by speakers of all dialects of the target language). For a new translation to be acceptable, grantees must provide evidence that translators are certified by the American Translators Association. Awardees are responsible for first determining if a translation already exists. Quality reviews are required for all translations. Reimbursements will not be allowed for translations of federal documents that have previously been translated into the target language.d. HUD has noted that during prior funding rounds, some applicants to this program have not met all requirements for application content and submission. HUD recommends that applicants use and follow the application checklist in this NOFA to help them identify any missing elements and complete the application before it is submitted. No information may be submitted after the deadline date except under the threshold review process. Although applications with curable deficiencies are offered an opportunity at threshold review to submit certain information to cure these deficiencies, non-curable deficiencies are not correctable and may disqualify an application. (See General Section.)3. Eligible Activities. Consideration will only be given to proposed activities that are specifically listed as eligible in this NOFA. Other work activities are ineligible. All activities must address childhood lead poisoning prevention (primarily from lead-based paint in housing) and/or control at the national, regional, and/or local levels. If an activity or training curriculum is not specifically listed below, it may not be used. The following section lists specific eligible activities.a. Door-to-door canvasses, small-group meetings, community meeting visits, health fairs, conducting presentations or speaking engagements to inform the public and owners of housing, including owners receiving rehabilitation or other tax credits, about programs that can assist in control of the identified lead hazards, and other activities to publicize or conduct events that highlight lead hazards in the home environment;b. Earned media (no-cost public service announcements), news stories in radio, print, or TV to raise public awareness and promote name recognition for treatment programs;c. Advertising (paid ads on buses, billboards, etc.);d. Use of collateral materials and campaign props and incentives. These materials include outreach brochures and printed materials, visual presentations, giveaways with outreach providers' phone numbers/ contact information, mascots, cleaning kits, meals not to exceed $10 in value per meal per person, etc. The use of appropriate training materials is also eligible, but training materials are not considered to be collateral materials, props or incentives. (See paragraph III.C.3.o., Eligible Activities, below.) Outreach materials and props can support general lead outreach and education efforts. However, the budget must include details of the items including cost per item. All expenditures made by a grantee must be linked to specific outreach activities and listed in the approved budget;e. Development and maintenance of infrastructure and support such as telephone hotlines and Web sites;f. Entering into working arrangements with regional/local non- profit organizations, including grassroots community-based organizations, faith-based organizations; chambers of commerce; public and private social service agencies; corporations, retailers, construction organizations, or unions for the purpose of coordinating or conducting joint outreach activities;g. Other outreach activities designed to disseminate information to targeted populations identified as being at-risk of lead poisoning;h. Making materials available in alternative formats for persons with disabilities (e.g., Braille, audio, large type) upon request, and providing materials in languages other than English that are common in the community, consistent with HUD's published Limited English Proficiency[[Page 11571]](LEP) Recipient Guidance, 68 FR 70968 (see above);i. Program administration in accordance with the guidelines established under funding restrictions;j. Program evaluation and assessment activities to improve the effectiveness of present and future outreach efforts and to measure whether efforts have successfully been targeted to at risk populations;k. Innovative use of funds to outreach and education to regional/ local community groups, residents, and other appropriate community stakeholders to resolve regional/local lead poisoning problems, as approved by the GTR;l. Delivery of HUD-approved (or state-approved, as applicable) Lead Safe Work Practices (Interim Controls), EPA-or state-approved lead training, Lead Awareness training curricula, or visual assessment training, for the target audience(s);m. Training regional/local residents and businesses, including retail paint sales associates and managers, on identifying and preventing lead-based paint hazards, and lead safe maintenance and renovation work practices, etc.;n. Educating tenants, owners, housing inspectors, and others about HUD's lead safety regulations, including the Lead Disclosure Rule and Lead Safe Housing Rule (24 CFR part 35), regional/local building codes, and HUD's Housing Quality Standards (HQS) and Uniform Physical Condition Standards (UPCS), as applicable;o. Training curriculum design, development, maintenance and evaluation; preparing, distributing appropriate training materials, including photographs, other graphics and visual presentations (compliance with copyright and trademark laws is the responsibility of the grantee);p. Applying for or maintaining EPA, State or HUD approval of training program (as applicable);q. Promoting or marketing training courses directly or through partnerships with organizations conducting outreach;r. Delivery of formal or one-on-one or group educational or training sessions in classrooms, homes or other locations;s. Delivery of informal one-on-one or group educational sessions, workshops or demonstrations in homes or other locations (cleaning techniques, etc.);t. Participation in training-related partnerships and task forces; and,u. Auditing course delivery, training, mentoring and evaluating trainers to increase lead safety training capacity.IV. Application and Submission InformationA. 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 Submission1. Application Format. Because of the electronic submission process, proposals must conform to the formatting requirements below to be eligible. All material submitted must be required or be in support of the narrative response to the rating factors. Any material, whether required or supplemental, that is not properly located in the application, and referenced and discussed within the narrative statement as described below, will not be rated. The narrative response to all rating factors (see below) must be submitted within a single electronic file within the zip file attached to the application. The narrative response to the five rating factors may not exceed 25 pages (excluding required additional materials and worksheets, see below) equivalent to one-side only on 8\1/2\ x 11 inch paper using a standard 12-point font with not less than \3/4\-inch margins on all sides. Each attachment or appendix must be an individual electronic file. All pages must be numbered in order starting with the cover page and continuing through the appendices. HUD is not responsible for electronic transmission errors or omissions. Applicants are responsible for verifying the successful transmission of all documents submitted with their applications.2. Prohibition on Materials Not Required. Submission of materials other than those specified as allowable by this NOFA are prohibited. Reviewers will not consider resumes (other than those called for in response to the rating factors), reports, charts, letters, or any other documents attached to the application.3. Required Application Contents. Applications must contain all of the information required by this NOFA, including the following items:a. Application Abstract. An abstract is required. It may not exceed 2 pages of 8\1/2\ x 11 inch paper using a standard 12-point font with not less than \3/4\inch margins on all sides in length, and must summarize the proposed project, including the objectives, proposed activities and expected results, the dollar amount requested, and contact information for the applicant and project partners. Information contained in the abstract will not be considered in the evaluation and scoring of your application. Any information you wish considered should be provided under the appropriate rating factor. The 2-page abstract will not be included in the 25-page limit of the application.The abstract will be used for developing the news release to the public if the application is funded.b. Narrative Response. A narrative statement with supporting required forms and other documents addressing the five rating factors for award is required. This portion of the application consists of a narrative response to each of the five rating factors (total 25-page limit), specific HUD-required forms documents (which do not count toward the page limit), and optional supplemental material (20-page limit). Pages in excess of these limits will not be read. Each of Rating Factors 1-5 has an associated required form (HUD-96012, HUD- 96013, HUD-96014, HUD-96015, and HUD-96010, respectively) that does not count toward the page limits, and must be located immediately after the response to that rating factor (see list of forms, below). You are advised to review each factor carefully for program specific requirements. The response to each factor should be concise and contain only information relevant to the factor, but detailed enough to address each factor fully. Please do not repeat material in response to the five factors; instead, focus on how well the proposal responds to each of the factors. In factors where there are sub-factors, each sub-factor must be presented separately.All information relative to a given rating factor MUST be contained in the narrative for that rating factor. If it is found in a different rating factor, IT WILL NOT BE CONSIDERED. In addition, supplemental material that is not referenced and discussed within that portion of the narrative will not be considered.c. In addition to the abstract and narrative response described above, the following materials (which do not count toward the page limits) must be included in the locations specified: resumes, process flow diagram for the project (not the employer's organizational chart), budget, and other required forms. The standard forms can be found in the application package on Grants.gov.[[Page 11572]](1) Resumes and a process flow diagram for your project must be placed immediately following the narrative response to Rating Factor 1. Resumes for project director, day-to-day program manager and up to 3 key personnel (limited to 3 pages per resume) are required. (See Rating Factor 1.)(2) Include a detailed budget for any sub-contractors, sub- grantees, or sub-recipients receiving greater than 10 percent of the federal budget request. Use the budget format discussed in Rating Factor 3.(3) Form HUD-96010, Logic Model (See Rating Factor 5).(4) General letters of support will not be considered and are discouraged.d. Applicants are encouraged to use the following checklist to ensure that all required materials have been prepared and submitted. Do not submit the checklist (see below) with the application.Checklist for ApplicantsAbstract (Limited to 2 Pages)Required Information Supporting Rating Factors1. 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 Material1. 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 TimesApplication 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 Requirements1. 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 InformationA. Criteria1. Threshold Requirements. Applications that meet all of the threshold requirements will be eligible to be scored and ranked, based on the total number of points allocated for each of the rating factors described in Section V.A.3 of this NOFA. Your application must receive a total score of at least 75 points to be considered for funding.2. Award Factors. Each of the five factors is weighted as indicated by the number of points that are assigned to it. The maximum score that can be attained is 100 plus 2 possible bonus points. Applicants should be certain that each of these factors is adequately addressed in the project description and accompanying materials.3. Rating Factors for All Categories.a. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (20 points). This factor includes information about the organization, its individual employees[[Page 11573]]and partners, and past performance. Higher points will be given for more recent, relevant experience of high quality. The following areas will be evaluated: organizational capacity, experience and past performance, individual staff and participants' qualifications including education and experience, and specific qualifications related to the categories of activities under this NOFA. Applicants should not explain their work plans in this rating factor response, but should demonstrate the ability and commitment of its organization as a whole and the individuals proposed to serve on this project.(1) Organizational Experience. This sub-factor addresses the extent to which the applicant's organization has the organizational experience necessary to successfully implement the proposed activities in a timely manner. HUD will evaluate the organization's experience in initiating, implementing, and evaluating related outreach, health education and training and recruitment projects, or solving community problems directly related to this program. In rating this sub-factor, HUD will consider the extent to which the proposal demonstrates organizational experience that is recent and relevant. HUD will consider organizational experience within the last 5 years to be recent and experience pertaining to activities of similar scope to be relevant.(a) Describe whether you have sufficient personnel, or will be able to quickly hire qualified experts or professionals to begin your proposed project within 30 days of award, if funded.(b) Describe how the principal components of your project organization will participate in, or support, your project, and how you propose to coordinate with your partners. Include a project-specific organizational chart indicating the organizational capacities of and interrelationships among the various entities involved in the project. Do not provide an organization chart of your employer unless it meets the project-specific criteria described above.(c) Past performance in previous projects with an emphasis on health education, outreach and recruitment, training and education, or technical assistance. This sub-factor evaluates the extent to which an applicant has performed previous work successfully. Provide details about the nature of projects performed through grants or contracts. Applicants failing to disclose previous grants or contracts with OHHLHC or HUD may be deemed ineligible for award. To receive maximum points for this factor, applicants must provide the following specific information:(i) A detailed list outlining the period of performance, achievement of specific tasks, measurable objectives (benchmarks) and outcomes consistent with the approved timeline/work plan and budget;(ii) If any applicant, proposed partner, contractor, sub-contractor or sub-recipient intending to receive 10 percent or greater of the award funding has had previous OHHLHC grant funding, the application must provide details about the level of performance on that grant, clear justification as to why additional funds are requested at this time and explanation regarding the local lead poisoning surveillance and a tracking system. If the jurisdiction has no local system for tracking and reporting blood lead data, do not enter any EBL data on HUD-Form 96013 (see Rating Factor 2, Need/Extent of the Problem).(iii) Comparison of previous awards' proposed match or leveraged resources compared to what was actually matched; and,(iv) A detailed list outlining the timeliness and completeness of complying with all reporting requirements. In addressing timeliness, compare when reports were due with when they were actually submitted.(2) Individual Qualifications:(a) Project Director and Day-to-Day Project Manager. OHHLHC considers these to be among the most important individuals working on its grants. Programs that do not experience vacancies or high turnover in these important positions typically have levels of performance and success that are higher than those of programs having vacancies or high turnover. Identify by name the individuals proposed to serve as the overall project director and day-to-day project manager. The terms ``Project Director'' and ``Day-to-Day Project Manager'' must be used consistently in the application to earn points for individuals having these responsibilities, regardless of their current employer-assigned position titles. Describe their individual qualifications that will enable them to function effectively in their assigned roles, including knowledge, work experience, management experience, education, training, and publications. Include specific projects they have performed involving planning and managing large and complex interdisciplinary outreach or educational programs, especially those involving housing, public health, or environmental initiatives.(b) Other Key Personnel. Identify by name and position up to three additional key personnel. In this rating factor response, provide the individual qualifications, experience, percentage commitment to the project, salary costs to be paid by funds from this program, and role in the proposed project for each key personnel. You must provide resumes (or position descriptions and copies of job announcements including salary range, for vacant positions) for the project director, day-to-day project manager, and up to three additional key personnel to receive maximum points for this rating sub-factor.(c) Sub-recipients (sub-grantees, sub-contractors and consultants). Include descriptions of their experience and qualifications. Detail their grant and financial management experience. You may find it useful to include a table indicating the name, position and percentage contribution of participating individuals, specifying organizational affiliation. Describe who is responsible for quality control of processes and materials produced by sub-recipients.(3) In addition to other eligibility criteria and knowledge of OHHLHC's grant programs, applicants must also demonstrate specific capacity as follows:(a) Outreach Providers: Specific capacity to provide outreach services, such as holding community meetings, health fairs, adapting printed materials, writing public service announcements, etc. Applications that include development and distribution of media products in languages other than English must include a discussion of the applicant's (or sub-grantee's/contractor's) expertise in those languages and in meeting the informational needs of non-English- speaking, underserved populations. Outreach grantees involving face-to- face interaction with the community should have staff that are well- trained, motivated, committed to the program, and reflect the characteristics of the target community.b. Rating Factor 2: Need/Extent of the Problem (10 Points). This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the importance of meeting the need(s) in the target area. In this round of funding, HUD is targeting those communities with significant numbers of lead poisoned children. All applicants are encouraged to target minority populations and utilize minority media in an effort to achieve diversity in outreach and educational efforts. The proposal will be evaluated on the extent to which the level of need for the proposed activities and the importance of meeting the need(s) are documented.[[Page 11574]]To earn any points for this factor, the data used must be specific to the area where the proposed activities will be carried out (for projects with specific regional/local target areas, do not apply the data to the entire regional/locality or state). To receive maximum points for this factor, proposals must demonstrate that the target area(s) has a rate of elevated blood lead levels in children up to age six of 2.5 percent or greater. Lead poisoned children are children up to age 6 (72 months) who are tested and have confirmed blood lead levels of at least 10 micrograms per deciliter ([mu]g/dL). For this program, the confirmed EBL rate is the total number of confirmed cases expressed as a percentage of the total number of children tested.In order to receive maximum points, proposals addressing one or a few communities must explain how the targeted community's(ies') Five Year Consolidated Plan(s) and Analysis(es) of Impediments to Fair Housing Choice (AI) identify the level of the problem and the urgency in meeting the need. Only communities whose Consolidated Plans identify lead-based paint hazards in housing as a serious problem and have a clear implementation strategy for meeting this need will receive maximum points for this rating factor. Communities having Consolidated Plans that indicate the most serious needs and present the clearest strategies will receive higher points for this rating factor.To demonstrate these needs, applicants must use surveys or other analyses contained in at least one or more current and reliable data sources. In rating this factor, HUD will consider data collected within the last five (5) years and published by government agencies or peer- reviewed journals to be current and reliable. Sources for regional/ localized data can be found at: http://www.ffiec.gov. Other reliable sources of data include, but are not limited to, Census reports, HUD Continuum of Care gap analysis and its E-Map (to find additional information, go to HUD's Web site: http://www.hud.gov/emaps), Comprehensive Plans, community needs analyses such as provided by the United Way, and other sound, reliable, and appropriate sources.c. Rating Factor 3: Soundness of Approach (40 Points). This factor contains three sub-factors:(1) your goals and objectives;(2) the quality and cost-effectiveness of your proposed work plan; and,(3) proposed budget.Before developing a work plan, applicants should review the activities that are not eligible under this program, as described in Section IV.E.3, above. No points will be awarded for ineligible activities. Higher points will be given to applications that contain approaches with clearly articulated goals, activities and sub- activities, and demonstrate a logical progression of implementation steps.(1) Project Goals (10 Points). Describe:(a) The goals and objectives for your project based on the need described under Rating Factor 2, and(b) How proposed activities would address your goals and HUD's policy priorities.See the General Section for information on HUD's policy priorities. The policy priorities that are applicable to the Lead Outreach NOFA and that are eligible for one point each are: (1) Improving our Nation's Communities (focus on distressed communities); and (2) Providing full and equal access to grass-roots, faith-based and other community-based organizations in HUD program implementation. Removal of regulatory barriers to affordable housing is eligible for up to 2 points provided the required documentation, as specified in form HUD 27300 (HUD Communities Initiative), is part of the application submission to HUD. Applicants may also provide a Point of Contact Name and phone or email address and the required documentation as noted in the form HUD 27300. You may provide a URL for a Web site where the required documentation is readily accessible for use.(2) Work Plan (20 Points). HUD will award maximum points for this sub-factor to applications that demonstrate a high probability of success of the program, convey the significance of the tasks identified, and propose realistic time frames. This portion of the response will be evaluated based on the extent to which the proposed work plan demonstrates the following:(a) The general approach and overall strategy;(b) Specific, measurable and time-phased objectives for each major program activity, accompanied by a complementary schedule indicating proposed date(s) of completion (in three-month intervals);(c) Specific services and/or activities. The work plan must identify all major tasks and list all proposed activities in sequential order. For maximum points, the activities must correlate to the needs explained in the narrative response to Rating Factor 2. All activities under this program must assist the regional/local area to develop or implement a strategy to eliminate lead poisoning, target at-risk populations or areas, and implement programs to meet those populations' information needs. In addition, grantees' regular, routine activities must provide information to owners and low-income occupants about regional/local resources for housing rehabilitation and lead hazard control programs.Describe in detail how you will identify and serve participants receiving services, especially participants in high-risk groups and communities, vulnerable populations and persons traditionally underserved. Include a brief, concise outreach strategy or marketing plan, as applicable, in the work plan and list on the Logic Model (submitted under Rating Factor 5). To receive maximum points, you must:(i) Identify your approaches to overcoming poor response, attendance or participation difficulties and explain how you will ensure that proposed activities do not duplicate activities by others for the target area previously completed or currently underway;(ii) Identify the personnel responsible for major tasks;(iii) Describe your products or outputs and expected outcomes or impacts;(iv) Describe your proposed methods to research existing materials or develop new ones, and print and disseminate materials for outreach or training. (Note: All products to be distributed to the public, whether in hard copy or electronic format, must be submitted to HUD for review and in final form as deliverables in electronic format suitable for web posting.)(v) Describe how you will ensure that materials will be of consistently high quality and technically sound;(vi) Describe the plan to manage the project. Include details about the management and financial systems, and how you will track and ensure the cost-effectiveness of expenditures and will link them to specific activities;(vii) Describe how you propose to coordinate with HUD field offices and HUD program personnel, as applicable, in your application; and(viii) Describe how you will make materials available in alternative formats for persons with disabilities (e.g., Braille, audio, large type) upon request, and provide materials in languages other than English that are common in the community, consistent with HUD's published Limited English Proficiency (LEP) Recipient Guidance, 68 FR 70968.(d) Outreach providers must follow these specific program requirements:(i) Increase lead awareness among the general public;(ii) Provide information to owners and low-income occupants about regional/[[Page 11575]]local resources for housing rehabilitation and lead hazard control programs; and(iii) Create a detailed outreach strategy as part of their work plan.(e) Training providers must follow these specific program requirements:(i) Meet a documented regional/local need to develop a sustainable capacity of lead safety trained workers and/or EPA-or state-certified lead professionals;(ii) Have underserved and minority populations as the primary target audience;(iii) Provide information to owners and low-income occupants about regional/local resources for housing rehabilitation and lead hazard control programs;(iv) Perform structured education of other groups about lead poisoning prevention and control;(v) Target a specific, appropriate audience;(vi) Use a HUD-approved curriculum for all interim controls training and specify in the application all training materials to be used;(vii) Provide plans for sustainability including train-the-trainer programs;(viii) Design the course materials as ''step-in'' packages so that HUD or other training providers may independently conduct the course on their own;(ix) Make the course materials available to the GTR in sufficient time for review (minimum of three weeks), for you to provide revision, and for the GTR to provide concurrence on the content and quality prior to delivery;(x) Provide all course materials in an electronic format that will permit wide distribution among field offices, and HUD grantees (see the General Section for information on formats acceptable to HUD);(xi) Arrange for delivery of the training with HUD participation when requested by the GTR;(xii) Establish minimum enrollments for deliveries of training courses; implement and disseminate fair course cancellation policies;(xiii) Deliver HUD-approved training courses that have been designed and developed by others on a ''step-in'' basis when requested; and(xiv) For Interim Controls (Lead Safe Work Practices), training providers must comply with HUD's Interim Criteria to Evaluate Training Courses in Lead Safe Work Practices (http://www.hud.gov/offices/lead). The costs associated with attending these required sessions are eligible under the grant.(f) Institutionalization (applies to all applicants). All applicants must provide a detailed description of how the applicant plans to mainstream or continue integrating lead poisoning prevention into its regular, permanent programs. To evaluate institutionalization, HUD will evaluate the extent to which the applicant (and partners) demonstrate:(i) Other lead poisoning prevention projects that are locally funded;(ii) Specific examples of and the degree of implementation of the Lead Safe Housing Rule in the jurisdiction's publicly-funded housing programs, as applicable;(iii) Commitment to undertake project activities in the future;(iv) Support and involvement of the applicant's organizational leadership; and(v) Commitment to include lead-related work in decisions affecting policy and program development.(3) Budget Justification (10 Points). HUD is not required to approve or fund all proposed activities. Your budget will be evaluated for its reasonableness, clear justification, and consistency with the work plan. Submit a narrative justification associated with the budget that explains all budget categories and costs for each major task of the work plan and that does not simply repeat the budget numbers in the narrative. Identify the source of funds as HUD, applicant match, or third-party (partner) leverage. Each budget page should identify the entity and project year to which it applies. Higher points will be awarded for greater percentages of sub-contracting and substantive work performed by bona fide and legitimate grassroots organizations, including faith-based and other community-based non-profit organizations, Fair Housing Organizations, advocates for various minority and ethnic groups, and persons with disabilities. Applicants should note that national-level organizations are not considered by HUD to be grassroots organizations, which are generally small, local groups with social services budgets less than $300,000. In completing the budget forms and justification, you should address the following specific elements:(a) Direct Labor. Direct Labor costs should include all full- and part-time staff required for the planning and implementation phases of the project. These costs should be based on full-time equivalent (FTE) or hours per year (hours/year) (i.e., one FTE equals 2,080 hours/year);(b) Travel to HUD Meetings. You should budget for one trip annually to HUD Headquarters in Washington, DC, planning each trip for two people for 2 or 3 days, depending on your location;(c) Sub-grantee and Sub-recipient Budgets. Without exception, a separate budget proposal must be provided for any sub-recipient(s) receiving greater than 10 percent of the total federal budget request;(d) Provide supporting documentation for salaries and cost of materials and equipment; and(e) Federally Negotiated Indirect Cost Rate, without exception. Organizations that have a federally negotiated indirect cost rate should provide documentation of that rate. Organizations not having a federally negotiated rate schedule must obtain a rate from their cognizant federal agency. Applicant and sub-grantee budgets should reference only their own indirect cost rates.d. Rating Factor 4: Leveraging Resources (15 points). This factor evaluates the ability to:(1) Contribute allowable resources from your organization; (2) leverage (secure) other allowable public and/or private sector resources (such as financing, supplies, or services) that can be added to HUD's funds to perform eligible activities; and, (3) sustain your proposed project from sources other than HUD at the end of the period of performance. This program has a 10 percent match requirement. Higher points will be awarded for percentages of leveraged resources, compared to the amount of HUD funds requested. To receive points for leveraged resources above the 10 percent required match, all contributions committed for the period of performance, whether cash or in-kind, must be expressed in dollar values and documented in a commitment letter (or memorandum of understanding, or agreement to participate) on official letterhead submitted with the application signed and dated by a responsible official legally able to make commitments on behalf of the organization, from each contributing organization (except that leveraging from the applicant's own resources does not require a letter of commitment). The letter must describe the contributed resource(s) that will be used in your project, and roles and responsibilities as they relate to the proposed project. Letters must be submitted with your application.For more information on matching and leveraging resources, see Appendix C, which can be downloaded from http://www.grants.gov/applicants/apply_for_grants.jsp .e. Rating Factor 5: Achieving Results and Program Evaluation (15 points). This rating factor reflects HUD's goal to embrace high standards of ethics, management, and accountability. Describe in detail your Year 1, Year 2 and Total goals. State clearly the project activities including specific goals[[Page 11576]](outputs) of each activity and how you will achieve those goals. Describe how you will measure the results. Provide your goals, activities (outputs), outcomes and projected performance results (goals) for the entire grant period. In the narrative, explain how you will document and track your goals, program activities, and schedules. Identify the procedures you will follow to make adjustments to your work plan to improve performance if projected outputs and outcomes are not met within established timeframes. To receive maximum points for this rating factor, you must explain your plan to actively manage, not solely implement, the proposed program. All awardees will be required to use HUD's Logic Model to report results. Grantees may also use a project management tool, to manage and evaluate the programs' effectiveness and modify strategies as needed to achieve the greatest return on HUD's investment. HUD has found that modest additional actions to gather information about results would enable grantees to better measure the impact of their outreach and education efforts. Outcomes that are vague or not measurable will not receive points.Applicants must complete and return the Logic Model Form HUD-90610. HUD is using a standardized ``Master'' Logic Model from which you can select needs, activities (outputs), and outcomes appropriate to your program. See the General Section for detailed information on use of the ``Master'' Logic Model. HUD is requiring grantees to use program- specific questions to self-evaluate the management and performance of their program. Training on HUD's Logic Model and reporting requirements will be provided via satellite broadcast. In evaluating Rating Factor 5, HUD will consider how you have described the management and evaluation mechanisms, benefits, and outcome measures of your program. HUD will also consider the proposed objectives and performance objectives relative to cost and achieving the purpose of the program, as well as evaluation plan, to ensure the project is on schedule and within budget. Instructions for completing the Logic model are found in Tab 1 of the form HUD 96010. Training on the Logic Model is available via satellite broadcast and webcast. The training schedule can be found on http://www.hud.gov/offices/admin/grants/fundsavail.cfm.f. Bonus Points for Federally Designated Zones and Communities (2 points). HUD will award two bonus points to each application that includes a valid Form HUD-2990 certifying that the proposed activities/ projects in the application are consistent with the strategic plan for an empowerment zone (EZ) designated by HUD or the United States Department of Agriculture (USDA), the tax incentive utilization plan for an urban or rural renewal community designated by HUD (RC), or the strategic plan for an enterprise community designated in round II by USDA (EC-II) and that the proposed activities/projects will be located within the RC/EZ/EC-II identified above and are intended to serve the residents. A listing of the RC/EZ/EC-IIs is available on the Internet at http://www.hud.gov/cr.B. Reviews and Selection Process.1. The review and selection process is provided in the General Section. The General Section also provides the procedures for correcting deficient applications.2. Partial Funding. In the selection process, HUD reserves the right to offer partial funding to any or all applicants. If you are offered a reduced grant amount, you will have a maximum of 14 calendar days to accept such a reduced award. If you fail to respond within the 14-day limit, you shall be considered to have declined the award. Please see the General Section for a discussion of adjustments to funding that may be made by HUD during the selection process.3. Remaining Funds. See the General Section for HUD's procedures if funds remain after all selections have been made.4. Minimum Points for Award. Your application must receive a total score of at least 75 points to be considered for funding.C. Anticipated Announcement and Award Dates. HUD anticipates announcing awards under this program no later than October 1, 2007.VI. Award Administration InformationA. Award Notices1. Notice of Award. Applicants that have been selected for award will be notified by letter from the Office of Healthy Homes and Lead Hazard Control Grant Officer. The letter will state the program for which the application has been selected, the amount the grantee is eligible to receive, and the name of the Government Technical Representative (GTR). This letter is not an authorization to begin work or incur costs under the cooperative agreement.2. Negotiations. HUD may require that selected applicants participate in negotiations to determine the specific terms of the cooperative agreement, budget, and Logic Model. In cases where HUD cannot successfully conclude negotiations with a selected applicant or a selected applicant fails to provide HUD with requested information, an award will not be made to that applicant. In this instance, HUD may offer an award, and proceed with negotiations with the next highest- ranking applicant. If you accept the terms and conditions of the cooperative agreement, you must return your signed cooperative agreement by the date specified during negotiation.3. Award Adjustments. If funds remain after all selections have been made, the remaining funds may be redistributed or made available for other competitions.4. LOCCS Payment System. After receiving the letter, additional instructions on how to have the grant account entered into HUD's Line of Credit Control System (LOCCS) payment system will be provided. Other forms and program requirements will also be provided.5. Start of Work. All awardees are expected to commence activity immediately upon completion of negotiations, and execution of the cooperative agreement.6. Applicant Debriefing. See the General Section for information regarding unsuccessful applicant debriefing.B. Administrative and National Policy Requirements1. Environmental Review. In accordance with 24 CFR 50.19(b)(2), (b)(3) and (b)(9), activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject to environmental review under the related laws and authorities.2. HUD Reform Act of 1989. Applicants must comply with the requirements for funding competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531 et seq.) as defined in the General Section.3. Audit Requirements. Any grant recipient that expends $500,000 or more in federal financial assistance in a single year must meet the audit requirements established in 24 CFR Parts 84 and 85 in accordance with OMB Circular A-133. In accordance with OMB Circular A-133 (Audits of States, Regional/local Governments and Non-Profit Organizations), grantees will have to submit their completed audit-reporting package along with the Data Collection Form (SF-SAC) to the Single Audit Clearinghouse, at the address obtained from their Web site. The SF-SAC can be[[Page 11577]]downloaded at: http://harvester.census.gov/sac/.4. Timely Hiring of Staff. HUD reserves the right to terminate awards made to recipients that fail to timely hire (within 30 days of award) staff to fill key positions identified in the applicant's proposal as vacant.5. Executive Order 13202. Compliance with HUD regulations at 24 CFR 5.108 that implement Executive Order 13202, ``Preservation of Open Competition and Government Neutrality Towards Government Contractors' Labor Relations on Federal and Federally Funded Construction Projects'', is a condition of receipt of assistance under this NOFA.6. Procurement of Recovered Materials. See the General Section for further information.7. Conducting Business in Accordance with HUD Core Values and Ethical Standards. Refer to the General Section for information about conducting business in accordance with HUD's core values and ethical standards.C. ReportingThe 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 ContactsFor 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 InformationA. 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 ActThe 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. AppendicesAppendices A, B, and C of this NOFA are available for downloading with the application at http://www.grants.gov/applicants/apply_for_grants.jsp .[[Page 11578]][GRAPHIC] [TIFF OMITTED] TN13MR07.015[[Page 11579]]Healthy Homes Demonstration ProgramOverview InformattionA. 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 Information1. Purpose of the Program. The purpose of the Healthy Homes Demonstration Program is to develop, demonstrate, and promote cost- effective, preventive measures to correct multiple safety and health hazards in the home environment that produce serious diseases and injuries in children in low- and very low-income families. The Healthy Homes Demonstration program is committed to supporting the Departmental Strategic Goal of strengthening communities by addressing housing conditions that threaten health. As a part of this commitment, the Healthy Homes Initiative strives to reduce allergen levels in 5,000 units by 2011, and correspondingly, reduce asthmatic episodes for 3,000 children living in those units.2. Available Funds. HUD anticipates that approximately $5,000,000 in fiscal year 2007 and prior year funds will be available.3. Anticipated Awards. Approximately five to seven cooperative agreements will be awarded for a maximum of $1,000,000 each for the entire period of performance.4. Eligible Applicants. Not-for-profit institutions and for-profit firms state and local governments, federally recognized Indian Tribes, and colleges and universities located in the United States. For-profit firms are not allowed to make a profit from the project.5. Type of award. Cooperative Agreements, with substantial involvement of the Government, will be awarded (see Paragraph II.C for a description of substantial involvement).6. Match. None required, but leveraging strongly encouraged.7. Limitations. There are no limitations on the number of applications that each applicant may submit.8. Information on application. The applications for this NOFA can be found at http://www.grants.gov/applicants/apply_for_grants.jsp. The General Section contains information about Grants.gov registration, submission requirements, and submission procedures.Full Text of AnnouncementI. Funding Opportunity DescriptionA. BackgroundThe 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://.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 Goals1. Develop and implement demonstration projects that address multiple housing-related problems affecting the health of children;2. Achieve the Healthy Homes Initiative's Departmental Strategic Goal objective of reducing allergen levels in 5,000 units by 2011, and correspondingly, reducing asthmatic episodes for 3,000 children living in those units;3. Mobilize public and private resources, involving cooperation among all levels of government, the private sector, and grassroots community-based, nonprofit organizations, including faith-based organizations, to develop the most promising, cost-effective methods for identifying and controlling housing-related environmental health and safety hazards;[[Page 11580]]4. Build local capacity to operate sustainable programs that will prevent and control housing-related environmental health and safety hazards in low- and very low-income residences when HUD funding is exhausted; and5. 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 ObjectivesThe objectives of the Healthy Homes Demonstration Program include direct remediations, including assessment of housing-related hazards, education and outreach and capacity building. HUD recognizes that, in many cases, activities may meet multiple objectives. Because the development and evaluation of effective methods for assessing and remediating housing-related hazards is the principal focus of the Healthy Homes Demonstration Program, awardees must expend at least 65 percent of grant funds on direct remediations in the home. Additional expenditures may include capacity building (training) and information dissemination.1. Direct remediations in homes of children where environmental triggers may contribute to a child's illness, including the following kinds of activities:a. Development of cost-effective protocols for identifying homes that are candidates for remediations, identifying environmental health and safety hazards in these homes, and screening out homes where structural or other factors, including cost issues, make remediations impractical;b. Development of appropriately scaled, flexible, cost-effective and efficient assessment and intervention strategies that take into account the range of unhealthy conditions encountered in housing, that maximize the number of housing units that receive remediations and the number of positive or negative health outcomes as a result. HUD believes health outcomes, particularly the reduction in asthmatic episodes or injuries, are an important component of this NOFA and wants to assess how Healthy Homes remediations affect the health of the population being served relative to the population at large. Therefore, any health outcome should be documented.c. Development of methodologies for evaluating the effectiveness of remediations and assessing the effect of the remediation on the health of the resident or program participant.2. Education and outreach that furthers the goal of protecting children from environmentally induced illnesses, including:a. Targeting, through education and outreach, specific high-risk communities and other identified audiences such as homeowners, landlords, health care providers, pregnant women, children, residential construction contractors, maintenance personnel, housing inspectors, real estate professionals, home buyers, and low- or very low-income minority families;b. Developing and delivering public outreach programs that provide information about effective methods for preventing housing-related childhood diseases and injuries, and promoting the use of these methods, especially in low- and very low-income residences; andc. 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 InformationA. Funding AvailableApproximately $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 Agreements1. The start date for new cooperative agreements is expected to be no later than October 1, 2007, with a period of performance not to exceed 36 months. For planning purposes, applicants need to include adequate time for start up activities such as the Institutional Review Board approval process, recruitment of study participants, fulfillment of environmental requirements, and development of new methods (e.g., survey forms, database, etc.) within this period of performance.2. Period of performance extensions for delays due to exceptional conditions beyond the grantee's control will be considered for approval by HUD in accordance with 24 CFR 85.24(e)(2) or 85.30(d)(2), as applicable, and the OHHLHC Program Guide. Because delays have been associated with recruitment and Institutional Review Board approval issues, HUD encourages applicants to involve all partners in pre- planning processes. If approved, grantees will be eligible to receive a single extension of up to 12 months in length. Although applicants are encouraged to plan projects with shorter performance periods than 36 months, you should consider the possibility that issues may arise that could cause delays when developing your schedule.C. Type of Award InstrumentAwards will be made as cooperative agreements. Anticipated substantial involvement by HUD staff for cooperative agreements may include, but will not be limited to:1. Review and suggestion of amendments to the study design, including: study objectives; field sampling plan; data collection methods; sample handling and preparation; and sample and data analysis.2. Review and provision of technical recommendations in response to quarterly progress reports (e.g., amendments to study design based on preliminary results).3. Review and provision of technical recommendations on journal article(s) and the final report for the project.4. Collaboration on peer review of scientific data in accord with the Office of Management and Budget (OMB) Information Quality Guidelines. All HUD-sponsored research is subject to the OMB Final Information Quality Bulletin for Peer Review (70 FR 2664-2677, published on January 14, 2005) prior to its public dissemination. In accordance with paragraph II.2 of the Bulletin, HUD will not need further peer review conducted on information that has already been subjected to adequate peer review. Therefore, grantees must provide enough information on their peer review process for HUD to determine whether additional review is needed.[[Page 11581]]III. Eligibility InformationA. Eligible ApplicantsEligible applicants include not-for-profit institutions and for- profit firms, state and local governments, federally recognized Indian Tribes, and colleges and universities located in the United States. For-profit firms are not allowed to make a profit from the project.B. Cost Sharing or MatchingCost 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. Other1. 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 ActivitiesThe following activities and support tasks are eligible under the Healthy Homes Demonstration Program. a. Assessing (evaluating) housing to determine the presence of environmental health and safety hazards (e.g., moisture intrusion, mold growth, pests and allergens, unvented appliances, exposed steam pipes or radiators, deteriorated lead-based paint) through the use of accepted assessment procedures.b. Remediating existing housing-based environmental health and safety hazards and addressing conditions that could recur.c. Undertaking rehabilitation activities to effectively control housing deficiencies that are required for remediating environmental health and safety hazards in the unit. Funds under this program may only be used to address lead-based hazards at the de minimis level (see 24 CFR 35.1350(d)). These lead hazard evaluation and/or control activities may not be a principal focus of the cooperative agreement. (Lead hazard evaluation and control activities are carried out under HUD's Lead-Based Paint Hazard Control Grant Program, Lead Hazard Reduction Demonstration Grant Program, and Operation Lead Elimination Action Program.) For information about conducting remediation of de minimis amounts of lead-based paint hazards, refer to the HUD Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing (HUD Guidelines). The HUD Guidelines and/or applicable regulations may be downloaded from HUD's Web site at http://www.hud.gov/offices/lead/guidelines/index.cfm .d. Carrying out temporary relocation of families and individuals while the remediation is conducted and until the time the affected unit receives clearance for re-occupancy. See III.C.4.e, Real Property Acquisition and Relocation, of the General Section, and Section VI.B.4 of this NOFA for a discussion of regulations that apply when relocating families.e. Environmental sampling and medical testing to protect the health of the remediation workers, supervisors, and contractors, unless reimbursable from another source.f. Conducting testing, analysis, and mitigation for lead, mold, carbon monoxide and/or other housing-related environmental health and safety hazards as appropriate, following generally accepted standards or criteria. A laboratory recognized by the U.S. Environmental Protection Agency's (EPA's) National Lead Laboratory Accreditation Program (NLLAP) must analyze paint, soil or dust samples related to lead-based paint. Samples to be analyzed for fungi should be submitted to a laboratory accredited in the Environmental Microbiological Laboratory Accreditation Program (EMLAP), administered by the American Industrial Hygiene Association (AIHA).g. Carrying out necessary architectural, engineering and work specification development and other construction management services.h. Providing training on Healthy Homes practices to homeowners, renters, landlords, painters, remodelers, and housing maintenance staff working in low- or very low-income housing.i. Providing cleaning supplies for hazard remediation to grassroots community-based nonprofit organizations, including faith-based organizations, for use by homeowners and tenants in low-income housing, or providing these supplies to homeowners and tenants directly. (See the General Section for more information about grassroots community- based nonprofit organizations, including faith-based organizations.)j. Providing incentives (financial or other incentives, including coupons for a video rental, coupons for groceries, stipends for completion of surveys, child care, cleaning kits, etc.) with a value up to $10 for recruitment, through up to $250 for the most significant or lengthy participation. These incentives are subject to approval by HUD. Their purpose is to encourage recruitment and retention in the healthy homes program, and participation in educational and training activities and other program-related functions.k. Conducting community education programs on housing-related environmental health and safety hazards. Materials should be available in alternative formats for persons with disabilities including Braille, audio, large type), upon request, and in languages other than English that are common in the community, consistent with HUD's published ``Limited English Proficiency (LEP) Recipient Guidance'' (see http://www.hud.gov/offices/fheo/library/lepFRguidance.html ).l. Securing liability insurance for housing-related environmental health and safety hazard evaluation and control activities. This is not considered an administrative cost.m. Supporting data collection, analysis, and evaluation of project activities. (As a condition of the receipt of financial assistance under this NOFA, all successful applicants will be required to cooperate with HUD staff and contractors who are performing HUD-funded research and evaluation studies.)3. Program Requirements. In addition to the program requirements in the General Section, applicants must also meet the following program requirements.a. Institutional Review Board (IRB) Approval. In conformance with the Common Rule (Federal Policy for the Protection of Human Subjects, 45 CFR 46, codified by HUD at 24 CFR 60.101), if your grant activities include research involving human subjects, your organization must provide an assurance (e.g., a letter signed by an appropriate official) that the research has been reviewed and approved by an IRB before you can initiate activities that require IRB approval. You must also provide the number for your organization's assurance (institutional assurance) that has been approved by the Department of Health and Human Service's Office of Human Research Protections (OHRP). For additional information on elements of human subject research or obtaining[[Page 11582]]an institutional assurance, see the OHRP Web site at: http://www.hhs.gov/ohrp .b. HIPAA Authorization. The Privacy Rule of the Health Insurance Portability and Accountability Act of 1996 requires covered entities that transmit health information electronically (health care providers, health plans, etc.) to protect that information. This may be accomplished by obtaining authorization from the patient or parent, obtaining a waiver of authorization from an IRB or HIPAA Privacy Board or de-identifying data. You should identify whether your proposal is subject to requirements of the HIPAA Privacy Rule and, if so, how you plan to address these requirements. Additional information on HIPAA and the Privacy Rule can be found at http://www.hhs.gov/ocr/hipaa and http://privacyruleandresearch.nih.gov/authorization.asp.c. Community Involvement. Applicants must incorporate meaningful community involvement in any programmatic study that requires a significant level of interaction with a community (including, projects being conducted within occupied dwellings or which involve surveys of community residents). A community is made up of various groups of persons who have commonalities that can be identified on the basis of geographic location, ethnicity, health condition, and common interests. Applicants should identify the community that is most relevant to their particular project. There are many different approaches for involving the community in the conception, design, and implementation of a project and the subsequent dissemination of findings. Examples include, but are not limited to: establishing a structured approach to obtain community input and feedback (such as involving a community advisory board); including one or more community-based organizations as study partners; employing community residents to recruit study participants and collect data; and enlisting the community in the dissemination of findings and translation of results into improved policies and/or practices. A discussion of community involvement in research involving housing-related health hazards can be found in Chapter 5 of the Institute of Medicine publication titled ``Ethical Considerations for Research on Housing-Related Health Hazards Involving Children,'' at http://www.iom.edu/cms/12552/26004/29871.aspx.d. Program Performance. Awardees shall take all reasonable steps to accomplish all healthy homes activities within the approved period of performance. HUD will closely monitor the awardee's performance with particular attention to completion of specified activities, deliverables and milestones, and number of units proposed to be assessed or to receive remediation. Any previous requests for no-cost extensions will be considered in the evaluation of the capacity of the applicant under Rating Factor 1.e. Lead Hazard Control Activities. All lead hazard control activities must be conducted in compliance with HUD's Lead-Safe Housing Rule, 24 CFR Part 35. Grantees must also comply with any additional requirements in effect under a state or Native American Tribal Lead- Based Paint Training and Certification Program that has been authorized by the EPA pursuant to 40 CFR 745.320. See Section III.C.2.c regarding lead activity limitations.f. Compliance with Lead Disclosure Rule. All lead-based paint and lead-based paint hazard test and hazard reduction results must be provided to the owner of the unit, with a statement describing the owner's legal duty to disclose the results to tenants (before initial leasing, or before lease renewal with changes) and buyers (before sale) if the housing was constructed before 1978 (24 CFR Part 35, subpart A). This information may only be used for purposes of remediation of hazards in the unit and not for retribution/eviction. Disclosure of other identified housing-related environmental health and safety hazards to the owner of the unit, for purposes of remediation, is encouraged but not required unless disclosure is required by Federal, state or local regulations.g. Integrated Pest Management. All pest control activities shall incorporate the principles and methods of integrated pest management (IPM). In technical terms, IPM is the coordinated use of pest and environmental information with available pest control methods to prevent unacceptable levels of pest damage by the most economical means and with the least possible hazard to people, property, and the environment. The IPM approach emphasizes a targeted use of pesticides that limits the possibility of human exposure (e.g., as opposed to wide-spread applications) and includes interventions based on the behavior of the target pest (e.g., preventing access to food or water). One source for information on IPM is Environmental Health Watch; you can download information from its Web site: http://www.ehw.org/Asthma/ASTH_Cockroach_Control.htm .h. Dust Sampling Protocol. Collection of settled dust samples for environmental allergen analysis (e.g., cockroach, dust mite) must follow a standard dust sampling protocol, such as the protocol posted on the OHHLHC website, http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. If an applicant chooses to use a different protocol, such as a protocol from the Occupational Safety and Health Administration (OSHA), the U.S. Environmental Protection Agency (EPA), the National Institute of Environmental Health Sciences (NIEHS) or the American Society of Testing and Materials (ASTM), the applicant must provide a justification to HUD. The awardee is also required to submit quality control (QC) samples of allergens in household dust, provided at no cost, as blind samples in the train of samples submitted for laboratory analysis. For the purpose of budgeting laboratory costs, assume that 5 percent of your total allergen dust samples will consist of HUD-provided QC samples.i. Hazardous Waste Disposal. Awardees must follow procedures for hazardous waste disposal as required by the EPA (e.g., 40 CFR parts 61, 260-282, 300-374, and/or 700-799, as applicable), the Department of Transportation (e.g., 49 CFR parts 171-177), and/or appropriate state or local regulatory agencies.j. Worker Protection Procedures. Awardees must comply with the procedures for worker protection established in the HUD Guidelines as well as the requirements of OHSA, e.g., 29 CFR part 1910 and/or 1926, as applicable, or the state or local occupational safety and health regulations, whichever are more stringent.k. Written Policies and Procedures. You must have written policies and procedures for all phases of interventions, including recruitment, enrollment, participant prioritization, unit assessment, development of specifications, remediations, training, financing, occupant relocation, independent project inspection, and clearance testing (e.g., for mold, lead, carbon monoxide or other hazards, as applicable). You and all your subcontractors, sub-recipients, and their contractors must comply with these policies and procedures.l. Data Collection and Provision. You must collect, maintain, and provide to HUD the data necessary to document the various approaches used to evaluate and control housing-related environmental health and safety hazards, including evaluation and remediation methods, building conditions, medical and familial information (with confidentiality of[[Continued on page 11583]]From the Federal Register Online via GPO Access [wais.access.gpo.gov] ][[pp. 11583-11632]] Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs[[Continued from page 11582]][[Page 11583]]individually-identifiable information ensured) in order to determine the effectiveness and relative cost of these methods.m. Section 3 Employment Opportunities. Recipients of assistance in the Healthy Homes Demonstration Program must comply with Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for Low- and Very-Low-Income Persons in Connection with Assisted Projects) and the HUD regulations at 24 CFR part 135, including the reporting requirements of subpart E. See Section V, Rating Factor 3, for recommendations for implementing Section 3 Employment Opportunities.n. Conducting Business in Accordance with HUD Core Values and Ethical Standards. If selected for an award under the Healthy Homes Demonstration Program NOFA, you will be required to submit a copy of your Code of Conduct and describe the methods you will use to ensure that all officers, employees, and agents of your organization are aware of your Code of Conduct. If you previously submitted your Code of Conduct to HUD and it appears in the listing on HUD's Web site at http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm, you do not have to resubmit the information unless there has been a change in the legal name, address or authorizing official for your organization. See the General Section for information about conducting business in accordance with HUD's core values and ethical standards.4. DUNS Requirement. Refer to the General Section for information regarding the DUNS requirement.IV. Application and Submission InformationA. Web Address To Access an Application PackageCopies 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 SubmissionThe following section provides instructions on the items to be submitted as part of the application. See the General Section for instructions for submitting third party documents and electronic files.1. An abstract describing the goals and objectives of your proposed program (2 page limit, single-spaced, 12 point standard font, at least \3/4\-inch margins) must be included in the proposal. The abstract should include the title of your proposed project, amount of funding requested from HUD, amount of funding leveraged or matched, period of performance, a short summary of the proposed project and the name, mailing address, e-mail address and telephone number of the principal contact person for the primary entity. Information contained in the abstract will not be considered in the evaluation and scoring of your application. Any information you wish considered should be provided under the appropriate rating factor. The 2-page abstract will not be included in the 25 page limit of the application.2. A narrative statement addressing the rating factors for award. Number the pages of your narrative statement and include a header and a footer that provides the name of the applicant and the name of the program to which you are applying. Narrative statements provided as part of the application should be individually labeled to identify the rating factor to which the narrative is responding (for example, Factor 1, Capacity of the Applicant, etc.). You are strongly advised to use the format of the NOFA as an outline for discussion of your rating factors. The overall response to the rating factors must not exceed a total of 25 pages including all rating factors (single-sided, single- spaced, 12 point standard font, at least \3/4\-inch margins). Any pages in excess of this limit will not be read. Application packages without narrative statements addressing the rating factors will not be reviewed or considered for funding. Applicants should carefully review each narrative attached to the electronic application to make sure that you have attached the correct file and not an incomplete one, as this is not a curable deficiency.3. The score for each rating factor will be based on the content of the narrative submitted for each rating factor, supplemented by materials referenced and discussed in that portion of your narrative statement. Information relative to a given rating factor must be contained in the narrative for that rating factor. If it is found in another rating factor, it will not be considered. In addition, supplemental material that is not referenced and discussed within the narrative statements will not be rated.4. The position descriptions and resumes, if available, of your project director and project manager and up to three additional key personnel (in accordance with Rating Factor 1), not to exceed 2 pages each (single-spaced, 12-point font, with at least \3/4\ inch margins). This information will not be counted toward the page limit.5. Any attachments, materials, references, or other relevant information that directly support the narrative must not exceed 20 pages for your entire application. Any pages in excess of this limit will not be read. See the General Section for instructions for submitting third party documents or material not readily available in electronic format.6. A detailed budget narrative (maximum 4 pages) with supporting justification for all budget categories of your funding request, in accordance with Rating Factor 3, Section V.A.2.c(3). This budget narrative will not be counted towards the 25-page limit of the application. In completing the budget forms and justification, you should address the following elements:a. Direct Labor costs should include all full- and part-time staff required for the planning and implementation phases of the project. These costs should be based on full-time equivalent (FTE) or hours per year (hours/year). (One FTE equals 2,080 hours/year.)b. You should budget for one trip annually for two people for meetings at HUD Headquarters in Washington, DC, assuming a 2-3 day stay per trip depending upon your location.c. A separate budget proposal should be provided for any sub- recipients receiving more than 10 percent of the total federal budget request.d. You should be prepared to provide supporting documentation for salaries and prices of materials and equipment, upon request.e. Organizations that have a federally negotiated indirect cost rate should use that rate and the appropriate base. Other organizations should submit their proposal with their suggested indirect rate. If they are funded and HUD is the cognizant agency, it will set a rate; otherwise HUD will request the cognizant federal agency to set the rate.f. You should submit a copy of the negotiated rate agreements for fringe benefits and indirect costs, if applicable, as an attachment to the budget sheets.7. Applicants are encouraged to use the following checklist to ensure that all required materials have been prepared and submitted. You are not required to submit this checklist with your application.[[Page 11584]]Checklist for Healthy Homes Demonstration Program ApplicantsApplicant 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 ActivitiesForm 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 Restrictions1. 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; andb. 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 InformationA. Criteria1. Rating and Ranking. Applications that meet all of the threshold requirements will be eligible to be scored and ranked, based on the total number of points allocated for each of the rating factors described in Section V.A.2 of this NOFA. Your application must receive a total score of at least 75 points to be considered for funding.Each of the five factors is weighted as indicated by the number of points that are assigned to it. The maximum score that can be attained is 100 points for the narrative responses, and 2 bonus points for activities carried out in a RC/EZ/EC-II. Applicants should be certain that each of these factors is clearly and comprehensively addressed in the project description and accompanying materials.HUD will not review any applications with a request for federal funding that exceeds the maximum amount specified in this NOFA.2. Rating Factors. The factors for rating and ranking applicants, and maximum points for each factor, are provided below. Applicants should be certain that these factors are adequately addressed in the narrative relevant to the rating factors and the accompanying materials. a. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (15 Points)This factor addresses your organizational capacity (including the capacity of your own organization, as[[Page 11585]]well as partner organizations) necessary to successfully implement your proposed activities in a timely manner. The rating of your program includes any grassroots community-based nonprofit organizations firmly committed to your project, including faith-based organizations, sub- contractors, consultants, sub-recipients, and members of consortia. HUD strongly encourages the formation and development of consortia in implementing your project goals. Applicants are encouraged to partner, fund, or sub-contract with grassroots, community-based nonprofit organizations, including faith-based organizations to carry out program activities. If these partnerships are proposed, applicants will receive higher rating points as specified in the General Section. Applicants should note in their Rating Factor 1 narrative whether they are submitting multiple applications to OHHLHC, and, if so, the percentage commitment of staff for each application.In rating this factor, HUD will consider the three items listed below.(1) Capacity and Qualifications of Principal Investigator and Key Personnel. (6 points). Describe your recent, relevant, and successful demonstrated experience in undertaking eligible program activities. Describe the knowledge and experience of the proposed overall project director and day-to-day project manager in planning and managing large and complex interdisciplinary programs, especially those involving housing, public health, or environmental programs. Include information on your project staff, their experience with housing and health programs, percentage commitment to the project, and position titles. Project directors should commit at least 20 percent and the project manager's time commitment should be at least 50 percent. Resumes of up to 2 pages each for up to three key personnel, in addition to the project director and project manager, and a clearly delineated organizational chart for the Healthy Homes project (including all partner organizations) , must be included in your application submission. Position descriptions or job announcements (including salary range, percent of time commitment, percentage of time covered by cooperative agreement funds) for unfilled positions should be included for any key positions that are currently vacant or contingent upon an award.Document that you have sufficient personnel, or will be able to quickly retain qualified personnel to begin your project immediately, and to perform activities in a timely and effective fashion. Successful applicants must hire all key staff positions identified in the proposal as vacant or required in the award agreement within 120 days of award. Describe how principal components of your organization will participate in, or support, your project.(2) Qualifications of Applicant and Partner Organizations (4 points). Include names, descriptions of the experience and qualifications of subcontractors. Document how you propose to coordinate with and monitor sub-contractors, including frequency of meetings, on-site inspections and submission of formal monthly or quarterly reports. Discuss your communication and coordination with partners, including partner responsibilities, meeting frequency, etc. If partners are community-based grassroots, non-profit organizations, including faith-based organizations, include documentation demonstrating their community-based grassroots status, such as organizational profile, 501(c)(3) status or Social Services budget. (Lengthy documents are not required; face pages or extracted relevant text is adequate.)(3) Past Performance of the Organization (5 points). This section refers to applicants who have any prior experience in another Healthy Homes or Lead Hazard Control grant, another grant related to environmental health and safety issues, or other experience in a similar program. Provide details about the nature of the project, the funding agency, and your performance, relative to performance measures and the achievement of desired housing- and health-related outcomes. If your organization is an existing Healthy Homes grantee, provide a description of the progress and outcomes achieved in that grant. Current grantees that are on, or ahead of their benchmarks, may earn one point based on their demonstrated ability to date. If you received previous Healthy Homes Demonstration Program funding, you will be evaluated in terms of your performance and timeliness under the previous grant.You must complete and submit the Factor 1, Table 1, Form HUD-96012, which can be downloaded with your application at http://www.grants.gov/applicants/apply_for_grants.jsp to support narrative information.b. Rating Factor 2: Need/Extent of the Problem (15 Points)This factor addresses the extent for your proposed activities to document housing-related environmental health and safety hazards (including, but not limited to, mold, allergens, lead-based paint hazards, carbon monoxide, pesticides, home safety hazards) in your target area(s) that impact your targeted group(s).(1) Target Area for Proposed Activities (5 points). Specifically identify a target area for your proposed activities. Document the critical level of need for your proposed activities in this target area by providing data documenting targeted groups that are traditionally underserved or have special needs. For a maximum score, data provided should represent the target area, rather than general statistics or information pertinent to a larger geographic area. If specific statistics are not available, discuss why this is the case.(2) Link to Housing-related Health and Safety Hazards (10 points). Your documentation should summarize available data linking housing- based environmental health and safety hazards to disease or injuries to children, especially in low- and very low-income families, in your target area. Examples of data that might be used to demonstrate need include:(a) Economic and demographic data (3 points), including poverty and unemployment rates and the number and percentage of low- and very-low- income families with incomes less than 50 percent and 80 percent of the median income, respectively, as determined by HUD, for the area. Statistics that describe low- and very-low-income families are available at http://factfinder.census.gov/home/saff/main.html?_lang=en. Applicants should also consult local data sources, such as city government Web sites, for target area data.(b) Statistics for your target area that present rates of childhood illnesses (4 points) (including asthma, elevated blood lead levels) or injuries (falls, burns) among children residing in your target areas that could be caused or exacerbated by exposure to conditions in the home environment; and(c) The age and condition of housing (3 points). In responding, provide data available in your jurisdiction's currently approved Consolidated Plan and the Analysis of Impediments to Fair Housing Choice (AI) or Indian Housing Plan or derived from current census data or from other sources of comparable quality.You must complete and submit the Factor 2 Table, Form HUD-96016, posted at http://www.grants.gov/applicants/apply_for_grants.jsp.c. Rating Factor 3: Soundness of Approach (50 Points)(1) Approach for Implementing the Project (36 points). HUD is interested in[[Page 11586]]comparability among the Healthy Homes Demonstration Programs, in order to further standardize outcomes and performance measures. Therefore, applicants are encouraged to be explicit in describing proposed project activities and provide details about designing and implementing their work plan.(a) Project Approach (5 points) Describe your approach to implement your proposed project. In particular describe the methods, schedule and milestones that will be used to identify and control housing-related environmental health and safety hazards and to achieve the desired improvements in the health of the families you serve. Include summary information about the estimated numbers of clients to be contacted, clients enrolled, units to be assessed, units to receive remediations, individuals to be trained, and individuals or groups that will be reached through education or outreach activities. You are expected to document environmental outputs (reduction in allergen levels) and health outcome measures, such as reduction in asthmatic episodes, pediatric asthma hospitalizations, emergency room visits for asthma, falls, burns, etc. These outputs and outcomes are critical to achieving the Healthy Homes Initiative Departmental Goal of reducing allergen levels in 5,000 units, and correspondingly reducing asthmatic episodes for 3,000 children living in these units by 2011. The use of tables to describe schedule, milestones and summary data is encouraged. (b) Start up (3 Points)(i) Institutional Review Boards. In conformance with the Common Rule (Federal Policy for the Protection of Human Subjects, codified by HUD at 24 CFR 60.101, which incorporates the DHHS regulation at 45 CFR part 46), if your research involves human subjects, your organization must provide proof (e.g., a letter signed by an appropriate official) that the research has been reviewed and approved by an Institutional Review Board (IRB) before you can initiate activities that require IRB approval. Before initiating such activities you must also provide the number for your organization's assurance (i.e., an ``institutional assurance'') that has been approved by the Department of Health and Human Service's Office for Human Research Protections (OHRP).Although you do not have to provide proof of IRB approval with your application, you should address how you will obtain such approval. Describe how you will obtain informed consent (e.g., from the subjects, their parents or their guardians, as applicable) and discuss the steps you will take to help ensure participants' understanding of the elements of informed consent, such as the purposes, benefits and risks of the research. Describe how this information will be provided and how the consent will be collected. For example, describe your use of ``plain language'' forms, flyers and verbal scripts, and how you plan to work with families with limited English proficiency or primary languages other than English, and with families including persons with disabilities. For additional information on what constitutes human subject research or how to obtain an institutional assurance see the OHRP Web site at http://www.hhs.gov/ohrp/.(ii) Staff and Partner Training and Capacity Building. Provide detailed information regarding how program staff and, where applicable, partnering organizations will be trained in the disciplines needed to successfully implement your project (e.g., resident education, assessments and remediations). Include an outline of training curricula, a description of qualifications of trainers, and describe how individuals or groups to be trained will be selected.(iii) Quality Assurance (QA) Activities. Successful Healthy Homes Demonstration Program applicants that are collecting housing, demographic, medical or environmental data must ensure the quality and integrity of the data. Describe the elements of your project that will integrate QA activities into the project design and applicable activities such as visual assessments, environmental assessments and questionnaires. Elements you may want to describe include the use of quality control samples, validated questionnaires and assessment tools, data collection, data management, statistical analysis, staff training and monitoring. Your description will be evaluated relative to its thoroughness, level of detail, and appropriateness for ensuring the validity and quality of the data. If awarded, you will be asked to develop a Quality Assurance Plan that describes these elements.(iv) If you are proposing to conduct a project that includes a significant level of community interaction (e.g., resident recruitment, home-based remediations, data collection, environmental sampling in residences) describe your plan for meaningful involvement of the affected community in your proposed project. You should define the community of interest with respect to your proposed project and discuss why your proposed approach to community involvement will make a meaningful contribution to your project and to the community.(v) Describe any proposed involvement of grassroots community- based, nonprofit organizations, including faith-based organizations, in the proposed activities including the development of consortia. These activities may include outreach, community education, marketing, inspection, and housing evaluations and remediations. (c) Recruitment and Enrollment (6 Points)(i) Describe how you will identify, select, prioritize, and enroll units of housing in which you will undertake housing-based health hazard and safety remediations, targeting low- and very low-income families with young children under the age of six (72 months) to the extent feasible.(ii) Discuss possible recruitment problems, and the probability of dropouts, and describe measures you will perform to sustain recruitment and enrollment, including over-recruitment and incentives for sustainability of participants throughout the period of performance of the cooperative agreement.(iii) Describe how you will monitor enrollment and recruitment status and implement measures identified to sustain enrollment and recruitment.(iv) Discuss how you will comply with the Health Insurance Portability and Accountability Act (HIPAA). See Section III.C.3 for more information about HIPAA requirements.(v) Along with HIPAA compliance, describe how you will provide appropriate program information and gain informed consent from the subjects, their parents and guardians, as applicable. Describe how you will ensure that participants understand and consent to the elements of the program such as the purposes, benefits and risks of the research activities.(vi) Describe your proposed methods to reach high-risk groups and communities, vulnerable populations and traditionally underserved populations.(vii) Describe how you will affirmatively further fair housing, which would include, but not be limited to: (1) Affirmative marketing of the program to those least likely to apply based on race, color, sex, familial status, national origin, religion, or disability (especially when persons in these demographic groups are generally not served by the grassroots community-based, nonprofit organizations, including faith-based organizations or other partner organizations); (2) providing materials[[Page 11587]]in alternative formats for persons with disabilities; providing materials in languages other than English for individuals with limited English proficiency and their families; (3) assuring long-term residency by families currently living in the community; and (4) assuring that priority for treated units go to those who need the features (treatment) of the unit. (d) Unit Assessments, Occupant Surveys and Medical Referrals (3 Points)(i) Describe the assessment tools your project will employ to establish baseline data for unit condition, knowledge of program participant and/or the health of the occupant(s). These tools include questionnaires, visual assessment protocols and environmental sampling and analysis.(ii) Describe your process for evaluating units of housing in which you will undertake housing-related environmental health and safety hazard remediations. Provide an estimate of the total number of owner- occupied and/or rental units in which you will perform assessments and conduct remediations.(iii) Describe the process to be followed for referring children for medical case management, if applicable. Describe the organizations that will be involved in this process and their prior experience providing case management to the target population(s). (e) Remediations (7 Points)(i) Describe your process for the development of work specifications for the selected physical remediations and identify individuals (or organizations) who will develop the work specifications. Include specifics about the individual's position or the organizational role in your project.(ii) Discuss your process to select and obtain contractors for conducting remediations in selected units and provide details about the competitive bidding process.(iii) Discuss efforts to incorporate cost-effective methods to address multiple housing-related environmental health and safety hazards, and describe the specific remediations you will employ to control these hazards before children are affected; and/or to control these hazards in units where children have already been treated for illnesses or injuries associated with these hazards (e.g., burns, lead poisoning, asthma). Although program partners have shown that low-cost housing remediations can be effective in reducing illness and hazardous conditions, HUD is interested in data that evaluate the cost- effectiveness over time of carrying out assessments and remediations for multiple hazards compared to the conventional approach of identifying and remediating one hazard at a time. The data should be stratified by the type, size and other housing characteristics, and the type and extent of assessment and remediation, in order to provide meaningful and comparable unit costs. Therefore, in your budget submission, provide an estimate of the cost of each remediation (material costs and labor costs associated with installation) and an estimate of costs projected per unit. Describe how you will track the costs of remediations and provide information about the efficiency of these remediations. For example, provide information about the cost- effectiveness, technical effectiveness and sustainability of the remediations. Include any remediation plans to achieve the Healthy Homes Initiative's Departmental Strategic Goal of reducing allergen levels in 5,000 units by 2011, and correspondingly, reducing asthmatic episodes in 3,000 children.(iv) Discuss how you will assure that the contractor will comply with all applicable Federal, state and local regulations.(v) Describe the financing strategy, including eligibility requirements, terms, conditions, and amounts available, to be employed for conducting housing remediations. You must discuss the way funds will be administered (e.g., use of grants, deferred loans, forgivable loans, other resources, private sector financing, etc.) as well as the agency that will administer the process.(vi) Describe your plan for the relocation of occupants of units selected for remediation, if temporary relocation is necessary (see Section VI B.4, below). If temporary relocation is necessary, address the use of safe houses and other housing arrangements, storage of household goods, stipends, incentives, etc., and the source of funding for relocation.(vii) If relocation is necessary for occupants of rental units, describe your plan for ensuring right of return and/or first referral for occupants of units selected for remediation who have had to move for the remediations to be performed. (see Section VI B.4, below).(f) Community Education, Outreach and Capacity Building/Training (3 Points)(i) Describe your proposed methods for community and/or targeted education and training. These should include community awareness, education, training, and outreach programs that support your work plan and are culturally sensitive and targeted appropriately. Provide information about specific educational/outreach activities with quantitative data (number of individuals to be reached, etc.) and a description of the intended audience (include plans for both program participants and the community at large).(ii) Discuss whether Healthy Homes training programs will be expanded to include non sub-grantee organizations, such as public housing agencies, Tribally Designated Housing Entities, grassroots community-based or nonprofit organizations, including faith-based organizations. If so, describe your plan for doing this.(g) HUD's Departmental Policy Priorities (6 Points). Indicate if, and describe how, you will address any of HUD's Departmental policy priorities (see General Section). You will receive points for each of the applicable FY 2007 policy priorities that are adequately addressed in your application and incorporated into work plan activities showing outputs and outcomes to a maximum of six points. Policy priorities that are applicable to the Healthy Homes Demonstration NOFA are: (1) Improving our Nation's Communities (focus on distressed communities); (2) Providing Full and Equal Access to Grassroots Community-based, Nonprofit Organizations, including Faith-based Organizations in HUD Program Implementation; (3) Participation of Minority-Serving Institutions in HUD Programs; (4) Removal of Regulatory Barriers to Affordable Housing; and (5) Promoting Energy Efficiency and Energy Star. HUD expects the applicant to implement Energy Star building techniques and utilize Energy Star appliances whenever activities of the grant afford the opportunity. For information on Energy Star programs and appliances, see http://www.energystar.gov.Each policy priority is worth one point, except for policy priority (4), Removal of Regulatory Barriers to Affordable Housing, which is worth up to 2 points, provided the applicant includes an appropriate narrative response demonstrating what they have accomplished to date and submits the required documentation as described in Form HUD 27300. Applicants may instead provide a Web site address where the documentation can be readily found.(h) Economic Opportunity (3 points). To the greatest extent feasible, your project should promote job training, employment, and other economic opportunities for low-income and minority residents and businesses that are owned by, and/or employ, low-income and minority residents as[[Page 11588]]defined in 24 CFR 135.5. Describe how you or your partners will comply with Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and HUD's implementing rules at 24 CFR part 135 by:Providing training and employment opportunities for low- and very low-income persons living within the awardee's jurisdiction;Purchasing goods and supplies, or contracting for services from businesses that are owned by, and/or employ, low- and very low- income persons living within the targeted jurisdiction; information about Section 3 requirements is available at: http://www.hud.gov/offices/fheo/section3/section3.cfm ; andDescribing how your proposed project will provide opportunities for self-sufficiency, particularly for persons enrolled in welfare-to-work programs, or provide educational and job training opportunities.(2) Approach for Managing the Project (9 points). Considering your project goals and objectives, describe how you will manage the project. Provide information on the general management approach including a management plan that:(a) Incorporates appropriate project objectives, major tasks/ activities, responsible entities, performance goals, and the process that you will utilize to assign, track and monitor the performance of major tasks and activities. All specific activities necessary to complete the proposed project, such as recruitment, enrollment, training, education and outreach, unit identification, assessment and remediation, must be included.(b) Provides a schedule of milestones and deliverables for the completion of major tasks and activities, and the delivery of interim and final products.(c) Discusses coordination with sub-recipients, partners and staff.(d) Describes quality assurance activities, including the collection of data (questionnaires and environmental sampling and analysis), case management, data entry and report preparation, and associated corrective actions.(3) Budget Justification (5 points). Your proposed budget will be evaluated for the extent to which it is reasonable, clearly justified, and consistent with the project management plan and intended use of program funds. HUD is not required to approve or fund all proposed activities. Your detailed budget should be submitted using Form HUD- 424-CBW. An electronic copy is available at: http://www.grants.gov/applicants/apply_for_grants.jsp. You must thoroughly document and justify all budget categories and costs and all major tasks for yourself, sub-recipients, partners, major subcontractors, joint venture participants, or others contributing resources to the project. Include a 4-page (maximum) narrative that describes clearly and in detail your budgeted costs for each required program element (major task) included in your overall plan (at least 65 percent of the budget must be expended for direct remediation). Include a separate, detailed budget for any sub-grantee proposed to receive more than 10 percent of the total federal budget request.d. Rating Factor 4: Leveraging Resources (5 Points)This factor addresses your ability to secure other community resources (e.g., financing, supplies, and/or services) that can be combined with HUD's resources to achieve project purposes. These community resources may be contributions from organizations such as the applicant, partners, or other organizations not directly involved in the project. Resources may also be provided by state and local governmental entities. While cost sharing or matching is not required, HUD will award a higher score under this rating factor if you provide documentation of commitments for significant leveraging. HUD's Matching and Leveraging Contribution Guidance, Appendix D, may be downloaded with your application at http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants should note that, if they are submitting multiple proposals to OHHLHC and are selected for multiple awards, they may not use the same resources for match and/or leveraging. During cooperative agreement negotiations, awardees will be required to provide alternative match and/or leveraged resources than were proposed in the original applications. In other words, awardees may not commit duplicate matching and/or leveraged resources to multiple OHHLHC programs.(1) HUD will consider the extent to which you have developed partnerships or consortia to secure additional resources to increase the effectiveness of your proposed project. Describe how other organizations will participate in or support your project. Resources may include funding or in-kind contributions (e.g., labor, fringe benefits, services, supplies, or equipment) budgeted for your proposed project. Include in the narrative the details of the commitment, the amount being leveraged, or if the commitment is in-kind, the specific names, percent of time, supplies and other resources, and value of each commitment.(2) The signature of the authorized official on the Form SF-424 commits matching or other contributed resources of the applicant organization. The applicant must obtain a letter of commitment from each organization (other than itself) that is providing a match, whether cash or in-kind. The letter must describe the contributed resource(s) that will be used in your project and the dollar value of each contribution. Staff and in-kind contributions should be given a market-based monetary value. Each letter of commitment, memorandum of understanding, or agreement to participate shall include the organization's name and the proposed level of commitment and roles and responsibilities as they relate to the proposed project. The commitment must be on official letterhead and signed by an official legally able to make commitments on behalf of the organization and dated. Letters must be submitted with your application.(3) Include information to address the following elements.(i) The extent to which you have coordinated your activities with other known organizations that are not directly participating in your proposed work activities (organizations other than sub-grantees and program partners), but with which you share common goals and objectives.(A) Describe your plan for integrating and coordinating housing- related environmental health and safety hazard remediations with other housing-related activities (e.g., rehabilitation, weatherization, correction of code violations, and other similar work).(B) Describe your plans to generate and use public subsidies or other resources, such as loan funds, to finance future remediations to prevent and control housing-related environmental health and safety hazards, particularly in low-or very low-income families with children under the age of six years.(ii) The extent to which your project exhibits the potential to be financially self-sustaining by decreasing dependence on federal funding and relying more on state, local and private funding to continue healthy homes activities after the funding period is completed.Applicants are to complete the Factor 4 table, Form HUD-96015, Leveraging Resources that is posted at http://www.grants.gov/applicants/apply_for_grants.jsp .e. Rating Factor 5: Achieving Results and Program Evaluation (15 points)[[Page 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 cost-effectiveness of remediations [see requirements discussed in V.A.2.c(1)(e)(iii)]; identify important project milestones (e.g., the end of specific phases in a multi-phased project) and deliverables specific to your project timeline; identify milestones that are critical to achieving project objectives (e.g., developing questionnaires or protocols, hiring staff, recruitment of participants, and IRB approval and/or HIPAA Authorization, if applicable); and identify benchmarks such as number of units that received intervention, percent of remediations that occurred in high- risk communities, etc., that you will use to track the progress of your project.Identify how your project will be held accountable for meeting project goals, objectives, and the actions undertaken in implementing the program. Provide assurances that work plans and performance measures developed for your project will be achieved in a timely and cost-effective manner.Your project should focus particular attention on identifying specific resident, or program participant, health outcomes and describe how these outcomes will be measured. Resident health outcomes do not necessarily require medical testing, such as spirometry or documenting blood lead levels, and may be assessed using questionnaires or other tools. Careful attention should be given to the relationship between the program's remediations (e.g., physical changes in the environment, changes to cleaning protocols, in-home training or provision of educational materials) and the effect on resident health, particularly the reduction in asthmatic episodes for children. As part of your health outcomes, include a discussion of how your program will support the Healthy Homes Initiative's Departmental Strategic Goal of reducing allergen levels in 5,000 units by 2011, and correspondingly, reducing asthmatic episodes in 3,000 children living in these units.In addition, you should describe how you will evaluate the benefits of your proposed remediations relative to their costs or alternative approaches to achieving these same outcomes. For example, you could compare the costs and benefits of the healthy homes approach in which multiple housing-related environmental health and safety hazards are assessed and remediated by a comprehensive method, to costs and benefits associated with adopting a ``single hazard'' model in which separate assessments and remediations are carried out by several different programs. You could also estimate the monetary benefits of remediations that prevent illness (e.g., reducing asthma symptoms) or reducing injuries.In evaluating Rating Factor 5, HUD will consider how you have described the benefits and outcome measures of your program. HUD will also consider the proposed objectives and performance measures relative to cost and achieving the purpose of the program, as well as the evaluation plan, to ensure the project is on schedule and within budget.You must submit Form HUD-96010. HUD is using an electronic Logic Model with drop down menus from which you can select needs, activities, and outcomes appropriate to your program. See the General Section for detailed information on use of the Logic Model. HUD is requiring grantees to use program-specific questions to self-evaluate the management and performance of their program. For FY 2007, HUD is considering a new concept for the Logic Model. The new concept is a Return on Investment statement. HUD will be publishing a separate notice on the ROI concept. Training on HUD's logic model will be provided via satellite broadcast.f. Bonus Points: RC/EZ/EC-II (2 points)Applicants are eligible to receive 2 bonus points for projects located within federally designated Renewable Communities (RCs), Empowerment Zones (EZs), or Enterprise Communities (ECs) designated by USDA in round II (EC-IIs) (collectively referred to as RC/EZ/EC-IIs), and which will serve the residents of these communities (see the General Section). In order to be eligible for the bonus points, applicants must submit a completed Form HUD-2990 signed by the appropriate official of the RC/EZ/EC-II.B. Reviews and Selection Process. The review and selection process is provided in the General Section. The General Section also provides the procedures for correcting deficient applications.VI. Award Administration InformationA. Award Notices1. 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 Requirements1. Environmental Requirements. Under the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007), the provisions of section 305(c) of the Multifamily Housing Property Disposition Reform Act of 1994, implemented by HUD regulations at 24 CFR part 58, ``Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities,'' are applicable to properties assisted with Healthy Homes Demonstration funds. In accordance with part 58, applicants under this NOFA that are States, units of general local government or Indian[[Page 11590]]Tribes must act as the responsible entity and assume the environmental review responsibilities for activities funded under this NOFA. Other applicants must arrange for the unit of general local government or Indian Tribe to act as the responsible entity. Under 24 CFR 58.11, if a non-recipient responsible entity objects to performing the environmental review, or if a recipient that is not a responsible entity objects to the local or tribal government performing the environmental review, HUD may designate another responsible entity to perform the review or may perform the environmental review itself under the provisions of 24 CFR part 50. Healthy Homes Demonstration Program applicants and other participants in activities under this NOFA may not undertake, or commit or expend federal or non-federal funds (including HUD-leveraged or match funds) for housing interventions, related rehabilitation or other physical activities until the responsible entity completes an environmental review and the applicant submits and obtains HUD approval of a request for release of funds and the responsible entity's environmental certification in accordance with part 58 (or until HUD has completed an environmental review under part 50). The results of environmental reviews on individual projects may require that proposed activities be modified or proposed sites rejected. For assistance, contact Edward Thomas, the Office of Healthy Homes and Lead Hazard Control Environmental Officer at (215) 861-7670 (this is not a toll-free number) or the HUD Environmental Review Officer in the HUD Field Office serving your area. If you are a hearing-or speech-impaired person, you may reach the telephone number via TTY by calling the toll-free Federal Information Relay Service at 1-800-877-8339. Recipients of a cooperative agreement under this NOFA will be given guidance in these responsibilities.2. Executive Order 13202. ``Preservation of Open Competition and Government Neutrality Towards Government Contractors' Labor Relations on Federal and Federally-Funded Construction Projects.'' See General Section for information concerning this requirement. http://www.hud.gov/ .3. Procurement of Recovered Materials. See the General Section for information concerning this requirement.4. Relocation. The relocation requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA), as amended, and the implementing government wide regulation at 49 CFR part 24, that cover any person (including individuals, businesses, and farms) displaced as a direct result of the acquisition, rehabilitation, or demolition of real property apply to this grant program. If such persons are required to temporarily relocate for a project, the requirements of the URA regulations at 49 CFR 24.2(a)(9) must be met. HUD recommends you review these regulations when preparing your proposal. (They can be downloaded from the Government Printing Office website at http://www.gpoaccess.gov/cfr/index.html by entering the regulatory citation in quotes without any spaces (e.g., ``49CFR24.2'') in the Quick Search box.). See Section III.C.4.e of the General Section for additional information about relocation.5. Davis-Bacon Wage Rates. The Davis-Bacon wage rates are not applicable to this program. However, if you use grant funds in conjunction with other federal programs, Davis-Bacon requirements will apply to the extent required under the other federal programs.6. Audit Requirements. Any grant recipient that spends $500,000 or more in federal financial assistance in a single year must meet the audit requirements established in 24 CFR part 84 or 85, as applicable, in accordance with OMB Circular A-133.C. ReportingSuccessful 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 ContactsFor 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 InformationA. General. For additional general, technical, and program information pertaining to the Office of Healthy Homes and Lead Hazard Control, visit: http://www.hud.gov/offices/lead.[[Page 11591]]B. Paperwork Reduction Act. The information collection requirements contained in this document have been approved by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection displays a currently valid OMB control number. Public reporting burden for the collection of information is estimated to average 80 hours to prepare the application and 16 hours to finalize the cooperative agreement. This includes the time for collecting, reviewing, and reporting the data for the application. This information will be used for grantee selection. The reporting burden for completion of the Quality Assurance Plan by applicants who are awarded a grant is estimated at 24 hours per grantee (OMB approval is pending). Response to this request for information is required in order to receive the benefits to be derived.[[Page 11592]][GRAPHIC] [TIFF OMITTED] TN13MR07.016[[Page 11593]]Housing Choice Voucher Family Self-Sufficiency Program CoordinatorsOverview InformationA. Federal Agency Name: Department of Housing and Urban Development, Office of Public and Indian Housing, Office of Public Housing and Voucher Programs.B. Funding Opportunity Title: Housing Choice Voucher (HCV) Family Self-Sufficiency (FSS) Program Coordinators.C. Announcement Type: Initial announcement.D. Funding Opportunity Number: FR-5100-N-15, the OMB Approval Number is 2577-0178.E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.871, Section 8 Housing Choice Vouchers.F. Dates: The application deadline date is May 18, 2007. Please see the General Section for timely receipt requirements.G. Additional Information: The purpose of the HCV FSS program is to promote the development of local strategies to coordinate the use of assistance under the HCV program with public and private resources to enable participating families to increase earned income, reduce or eliminate the need for welfare assistance, and make progress toward economic independence and self-sufficiency. The FSS program and this FSS NOFA support the Department's strategic goal of helping HUD- assisted renters make progress toward self-sufficiency. The FSS program provides critical tools that can be used by communities to support welfare reform and help families develop new skills that will lead to economic self-sufficiency. As a result of their participation in the FSS program, many families have achieved stable, well-paid employment. An FSS program coordinator assures that program participants are linked to the supportive services they need to achieve self-sufficiency.Full Text of AnnouncementI. Funding Opportunity DescriptionA. Authority and Program Description. The Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007) allows funding for program coordinators under the HCV FSS program under Section 23 of the United States Housing Act of 1937. Through annual NOFAs, HUD has provided funding to public housing agencies (PHAs) that are operating HCV FSS programs to enable those PHAs to employ program coordinators to support their HCV FSS programs. In the Fiscal Year (FY) 2007 HCV FSS Program Coordinator NOFA, HUD is again making funding available to PHAs to employ FSS program coordinators and FSS homeownership program coordinators for one year. Funding priority under this NOFA will be provided to applicants with Public Housing Information Center (PIC) data confirming that their FSS families have purchased homes and to applicants whose PIC data demonstrate program accomplishments, such as increased HCV FSS program size, increased earned income of program participants, and families successfully completing their FSS contracts. HUD will accept applications from both new and renewal PHAs that have HUD approval to administer an HCV FSS program. PHAs funded under the HCV FSS NOFA in FY 2005 or FY 2006 are considered ``renewal'' PHAs in this NOFA. These renewal PHAs are invited to apply for funds to continue previously funded HCV FSS program coordinator and FSS homeownership coordinator positions that they have filled.Because of the importance of the FSS program in helping families increase earned income and develop assets, HUD will also accept applications from ``new'' PHAs (PHAs that do not qualify as renewal PHAs as defined under this FSS NOFA). The maximum number of positions that a new applicant PHA, including new PHA joint applicants, may receive is one full-time FSS program coordinator.To support the Department's initiatives on Colonias, a selection preference is again included for ``new'' applicant PHAs that provide services and support to rural under-served communities in the Southwest Border regions of Arizona, California, New Mexico, and Texas. See Section III.C.3.c. of this NOFA for requirements that must be met to qualify for the Colonias preference.PHAs are encouraged to reach out to persons with disabilities who are HCV program participants and might be interested in participating in the FSS program. PHAs are also encouraged to include agencies on their FSS Program Coordinating Committee (PCC) that work with and provide services to families with disabilities.Applicants must administer the FSS program in accordance with HUD regulations and requirements in 24 CFR part 984, which govern the HCV FSS Program, and must comply with existing HCV program requirements, notices, and guidebooks.B. Number of Positions for Which Eligible PHAs May Apply. Eligible PHAs may apply for funding for HCV FSS program coordinator positions under this NOFA as follows:1. Renewal PHA Applicants. PHAs that qualify as eligible renewal PHA applicants under this NOFA may apply for continuation of each FSS coordinator position, including homeownership coordinator positions, awarded under the HCV FSS NOFA in FY 2005 or FY 2006 that has been filled by the PHA.2. New PHA Applicants. New PHA applicants may apply for HCV FSS program coordinator positions as follows: a) up to one full-time HCV FSS coordinator position for a PHA applicant with HUD approval to administer a HCV FSS program of 25 or more FSS slots and b) up to one full-time HCV FSS coordinator position per application for joint PHA applicants that together have HUD approval to administer a total of at least 25 HCV FSS slots.C. Definitions. The following definitions apply to the funding available under this NOFA.1. Renewal PHA Applicant. A PHA or PHAs that received funding under the HCV FSS NOFA in FY 2005 or FY 2006.2. New PHA Applicant. PHAs that did not receive funding under the HCV FSS NOFA in FY 2005 or FY 2006 that have HUD approval to administer a HCV FSS program of at least 25 slots or that fulfill the 25 slot minimum by applying jointly with one or more other PHAs.3. FSS Program Size. The total number of HCV FSS program slots identified in the PHA's HUD-approved FSS Action Plan, or if requested by Moving to Work (MTW) PHA applicants, the number of slots in the applicant's MTW agreement. The total may include both voluntary and mandatory HCV FSS program slots. This number is used in determining the eligibility of new applicant PHAs under this NOFA.4. Qualifying FSS Homeownership Program. Qualifying homeownership programs include the HCV Homeownership Program and other programs administered by the PHA or other entities that prepare HCV program FSS participants for making the transition from renting to homeownership.5. The Number of HCV FSS Program Participants. The total number of families shown in HUD's PIC data system or applicable MTW report, as enrolled in the applicant's HCV FSS program at the end of a calendar year, plus those families that successfully completed their FSS contracts during that calendar year.6. Percentage of Families with Positive FSS Escrow Balances. A[[Page 11594]]percentage that will be computed by HUD and used to determine funding order of priority 2 applicants under this NOFA. It is the sum of the number of HCV FSS families with positive escrow balances and the number of families that successfully completed their FSS contracts as a percentage of HCV FSS families with FSS progress reports. This calculation will be made using data for the period from December 31, 2005 through December 31, 2006 that has been submitted to HUD on the Form HUD-50058. For MTW applicants, a comparable reporting source may be used.7. HCV Program Size. The number of HCVs in a PHA's program as determined by HUD using Voucher Management System (VMS) data.8. HCV FSS Program Size Increase Percentage. A percentage calculated for renewal PHA applicants whose number of HCV FSS participants in Calendar Year 2006 is higher than their Calendar Year 2005 number of participants.II. Award InformationAvailable 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 InformationA. 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 PHAsa. 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. Other1. 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 Requirementsa. All Applicants(1) Each applicant must qualify as an eligible PHA under Section III.A. of this NOFA and must have submitted their FSS application by the application due date and in the format required in Section IV. of this NOFA.(2) All applications must include a Dun and Bradstreet Universal Numbering System (DUNS) number. (See the General Section for further information about the DUNS number requirement.)(3) Compliance with Fair Housing and Civil Rights Laws. The General Section of the SuperNOFA applies.(4) Additional nondiscrimination and other requirements. The General Section of the SuperNOFA applies. The Affirmatively Furthering Fair Housing requirements of the General Section also apply. Section 3 of the Housing and Urban Development Act of 1968 does not apply to this program.(5) The PHA must have a financial management system that meets federal standards. See the General Section regarding those applicants that may be subject to HUD's arranging for a pre-award survey of an applicant's financial management system.(6) Applicants must comply with the requirements for funding competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531 et seq.) and other requirements as defined in the General Section.b. Renewal Applicants. Continued funding for existing coordinator positions. In addition to meeting the requirements of Section III.A. of this FSS NOFA, renewal PHA applicants must continue to operate an HCV FSS program, have filled eligible FSS program coordinator positions for which they are seeking renewal funding, executed FSS contracts of participation with HCV FSS program families, and submitted reports on participant families to HUD via the form HUD-50058, or a similar report for MTW PHA applicants.c. New Applicants. New applicants must meet the requirements of Section III.A. and Section III. C.2.a of this FSS NOFA.3. Program Requirements.a. Salary Comparables. For all positions requested under this NOFA, evidence of salary comparability to similar positions in the local[[Page 11595]]jurisdiction must be kept on file in the PHA office.b. FSS Action Plan. The requirements for the FSS Action Plan are stated in 24 CFR 984.201. For a new PHA applicant to qualify for funding under this NOFA, the PHA's initial FSS Action Plan or amendment to change the number of HCV FSS slots in the PHA's previously HUD- approved FSS Action Plan must be submitted to and approved by the PHA's local HUD field office prior to the application due date of this FSS NOFA. An FSS Action Plan can be updated by means of a simple one-page addendum that reflects the total number of HCV FSS slots (voluntary and/or mandatory slots) the PHA intends to fill. New PHA applicants with previously approved HCV FSS Action Plans may wish to confirm the number of HUD-approved slots their local HUD field office has on record for the PHA. A new applicant MTW PHA may request that the number of FSS slots in its MTW agreement be used instead of the number of slots in the PHA's FSS Action Plan.c. Colonias Preference. New applicant PHAs claiming the Colonias preference must meet the requirements of Sections III.A., III.C.2.a. and III.C.2.c. of this FSS NOFA and must operate in a Southwest border area that contains Colonia communities and administer programs that include outreach to members of those Colonia communities. Attachment A of this NOFA provides a listing of PHAs in Arizona, California, New Mexico, and Texas that HUD has identified as operating in areas containing Colonia communities. PHAs not listed in Attachment A that are claiming the Colonias preference will be required to submit a written request that HUD determine their eligibility for the preference. The request must be submitted prior to the application deadline date and must be sent to Lorenzo ``Larry'' Reyes, Coordinator, SW Border Colonias and Migrant Farmworker Initiative, Office of Departmental Operations and Coordination, Department of Housing and Urban Development, 451 Seventh Street, SW., Room 3120, Washington, DC 20410. Any PHA that fails to submit its request by the application deadline will be ineligible for the Colonias preference.d. Homeownership Preferences. See priority funding categories in Section V.B.2. of this FSS NOFA. Reported HCV FSS home purchase numbers will be subject to post audit.e. Troubled PHAs. A PHA whose SEMAP troubled designation has not been removed by HUD or that has major program management findings or other significant program compliance problems that have not been resolved by the application due date, may apply if the PHA submits an application that designates another organization or entity that is acceptable to HUD and that:(1) Includes an agreement by the other organization or entity to administer the FSS program on behalf of the PHA; and(2) In the instance of a PHA with unresolved major program management findings, includes a statement that outlines the steps the PHA is taking to resolve the program findings.Immediately after the publication of this NOFA, the Office of Public Housing in the local HUD field office will notify, in writing, those PHAs that have been designated by HUD as troubled under SEMAP, and those PHAs with unresolved major program management findings or other significant program compliance problems that are not eligible to apply without such an agreement. Concurrently, the local HUD field office will provide a copy of each such written notification to the Director of the Grants Management Center. If an applicant that is required to have an agreement under this section fails to submit the required agreement, this will be treated as a technical deficiency. See General Section for more information on Corrections to Deficient Applications.f. Conducting Business in Accordance with Core Values and Ethical Standards. To reflect core values, all PHAs shall develop and maintain a written code of conduct in the PHA administrative plan that:(1) Requires compliance with the conflict-of-interest requirements of the HCV program at 24 CFR 982.161; and(2) Prohibits the solicitation or acceptance of gifts or gratuities, in excess of a nominal value, by any officer or employee of the PHA, or any contractor, subcontractor, or agent of the PHA. The PHA's administrative plan shall state PHA policies concerning PHA administrative and disciplinary remedies for violation of the PHA code of conduct. The PHA shall inform all officers, employees, and agents of its organization of the PHA's code of conduct. See the General Section for additional information on the Code of Conduct requirement.IV. Application and Submission InformationA. Addresses To Request Application Package1. 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 http://www.Grants.gov Web site identified above.3. Technical Assistance. See Section VII. of this FSS funding announcement.B. Content and Form of Application Submission1. Content of Application. Each new and renewal PHA must complete form SF-424; the SF-LLL, if appropriate; the form HUD-52651, the HCV FSS application form; HUD-2880, ``Applicant/Recipient Disclosure/Update Report'' (HUD Applicant Recipient Disclosure Report on Grants.gov); HUD-2994-A, You are our Client Grant Applicant Survey; HUD-2991, Certification of Consistency with the Consolidated Plan; and an Affirmatively Furthering Fair Housing statement in accordance with the General Section. In addition, the application must include a completed Logic Model (form HUD-96010) showing proposed performance measures applicable to the one-year term of the funding requested under this NOFA. See the General Section for information on the Logic Model. A copy of form HUD-52651, the HCV FSS application form, and the HUD- 96010, Logic Model form, are part of the INSTRUCTIONS download. Applicants choosing the Outputs/Outcomes category of ``Other'' must include a brief narrative explanation of the category in their application package. In completing the SF-424, renewal PHAs should select the continuation box on question 2, type of application. The Federal Identifier requested in 5a. is the PHA number of each applicant PHA (e.g., MD035 or AK002). The Federal Award Identifier is the PHA number including the increment number for the last award (e.g., MD035V012 or AK002V005). Both new and renewal PHA applicants should enter the proposed Annual Contributions Contract (ACC) amendment effective and ending dates for the FSS coordinator funding in Section 17 of the SF-424. In Section 18 of SF-424 (Estimated Funding), complete only 18.a., which will be the amount requested from HUD in the FY 2007 FSS application, and 18.g., Total. The dollar amounts entered in 18.a. and 18.g. must be the total requested under[[Page 11596]]this NOFA. Those totals should include amounts for fringe benefits, if applicable, and the percentage increase for renewal PHA applicants. In completing Part IV. A. of form HUD-52651, enter the salary requested per position under the NOFA with the percentage increase included.C. Submission Date and Time. Your completed application must be received and validated by Grants.gov no later than 11:59:59 p.m. eastern time on the application deadline date. Please note that validation may take up to 72 hours. Applicants should carefully read the section titled ``APPLICATION and SUBMISSION INFORMATION'' in the General Section.D. Intergovernmental Review. This NOFA is not subject to Executive Order (EO) 12372, Intergovernmental Review of Federal Programs.E. Funding Restrictions1. 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 Activitiesa. 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 Requirements1. 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 InformationA. 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 Process1. Technically Acceptable Applications. All technically adequate applications will be funded to the extent funds are available.2. Funding Priority Categories. If HUD receives applications for funding greater than the amount made available under this NOFA, HUD will divide eligible applications into priority categories as follows:Funding Category 1--Applications from eligible renewal PHAs with qualifying homeownership programs with a minimum of fifteen (15) HCV FSS program participants or graduates that purchased homes between October 1, 2000, and the publication date of this FSS NOFA and an increase of at least ten (10) percent in the number of participants in the applicant's HCV FSS program from Calendar Year 2005 to Calendar Year 2006. Both the number of home purchases and the percentage increase in the number the HCV FSS program participants will be determined by HUD using PIC data from form HUD-50058 or as otherwise reported for MTW PHAs.Funding Category 2--Eligible renewal PHA applicants with programs that have families with positive escrow balances and/or families that successfully completed their FSS contracts between December 31, 2005, and December 31, 2006.Funding Category 3--Eligible renewal PHA applicants with qualifying homeownership programs and an increase in the number of HCV FSS program participants of at least ten (10) percent from Calendar Year 2005 to Calendar Year 2006.Funding Category 4--New PHA applicants with HUD approval to implement an FSS program of at least 25 slots.3. Order of Funding. Starting with Funding Category 1, HUD will first determine whether there are sufficient monies to fund all eligible positions requested in the funding category. If available funding is not sufficient to fund all positions requested in the category, HUD will fund applications in the following order:a. Funding Category 1. HUD will calculate the Percentage Increase of HCV FSS Program Participants for each eligible applicant and will use this percentage in making funding decisions. HUD will fund eligible applicants in order starting with those that have the highest Percentage Increase of HCV FSS Program Participants. If funding is not sufficient to fund all applicants with the same Percentage Increase of HCV FSS Program Participants, HUD will select among eligible applicants by HCV program size starting with eligible applicants with the smallest HCV program size.b. Funding Category 2. If funds remain, HUD will process requests of eligible Funding Category 2 applicant PHAs. HUD will first calculate the Percentage of Families with Positive FSS escrow balances for all eligible Funding Category 2 applicants. If there are not sufficient monies to fund all eligible funding category 2 applicants, HUD will fund eligible applications starting with those with the highest positive escrow percentage. If there are not sufficient monies to fund all applications with the same positive escrow percentage, HUD will select eligible applicants in order by HCV program size starting with eligible[[Page 11597]]applicants with the smallest HCV program size.c. Funding Category 3. If funds remain, HUD will process eligible Funding Category 3 applications. If there is not enough funding for all applicants, HUD will use the Percentage Increase of HCV FSS Participants to determine selection order, starting with applicants with the highest Percentage Increase of HCV FSS Participants. If funds are not sufficient for all applicants with the same Percentage Increase of HCV FSS Participants, HUD will fund eligible applicants by HCV program size starting with eligible applicants with the smallest HCV program size.d. Funding Category 4. If funds remain after all Category 1 through 3 applicants have been funded, HUD will process applications from eligible Category 4 new PHA applicants. If there are not sufficient monies to fund all eligible Category 4 PHA applicants, HUD will first fund eligible applications from those PHAs qualifying for the Colonias preference. If there are not sufficient monies to fund all eligible Colonias PHA applicants, HUD will fund them starting with the smallest HCV program size first. If funding remains after funding all eligible Category 4 Colonias PHA applicants, HUD will then begin funding eligible non-Colonias applicants by HCV program size, starting with eligible applicants with the smallest HCV program size first.4. Based on the number of applications submitted, the GMC may elect not to process applications for a funding priority category where it is apparent that there are insufficient funds available to fund any applications within the priority category.5. Corrections to Deficient Applications. The General Section provides the procedures for corrections to deficient applications.6. Unacceptable Applications. After the technical deficiency correction period (as provided in the General Section), the GMC will disapprove PHA applications that it determines are not acceptable for processing. Applications from PHAs that fall into any of the following categories are ineligible for funding under this NOFA and will not be processed:a. An application submitted by an entity that is not an eligible PHA as defined under Section III.A. and Section III.C. of this FSS NOFA or an application that does not comply with the requirements of Section IV.B., IV.C., and IV.F. of this FSS NOFA.b. An application from a PHA that does not meet the fair housing and civil rights compliance requirements of the General Section.c. An application from a PHA that does not comply with the prohibition against lobbying activities of the General Section.d. An application from a PHA that as of the application due date has not made progress satisfactory to HUD in resolving serious outstanding Inspector General audit findings, or serious outstanding HUD management review or Independent Public Accountant audit findings for the HCV program and/or Moderate Rehabilitation program or has a ``troubled'' rating under SEMAP, and has not designated another organization acceptable to HUD to administer the FSS program on behalf of the PHA as required in Section III.C.3.e. of this FSS NOFA.e. An application from a PHA that has been debarred or otherwise disqualified from providing assistance under the program.f. An application that did not meet the application due date and timely receipt requirements as specified in this NOFA and the General Section.g. Applications will not be funded that do not meet the Threshold requirements identified in this NOFA and the General Section.C. Anticipated Announcement and Award Dates. It is anticipated that award announcements will take place during either the month of July or August 2007.VI. Award Administration InformationA. 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 Requirements1. Environmental Impact. Under 24 CFR 50.19(b)(4) and (12), no environmental review is required in connection with activities conducted under this NOFA, because the NOFA provides funds for employing a coordinator to provide only public and supportive services, which are categorically excluded from environmental review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321) and not subject to the related environmental authorities.2. HUD's Strategic Goals. HUD is committed to ensuring that programs result in the achievement of HUD's strategic mission. The FSS program and this FSS NOFA support the Department's strategic goals of increasing homeownership activities and helping HUD-assisted renters make progress toward self-sufficiency by giving funding preference to PHAs whose FSS programs show success in moving families to self- sufficiency and homeownership. You can find out about HUD's Strategic Framework and Annual Performance Plan at http://www.hud.gov/offices/cfo/reports/cforept.cfm .3. HUD Policy Priorities. This NOFA supports HUD's policy priorities of providing increased homeownership opportunities and increased self-sufficiency of low-income families through employment. Consequently, funding priority in this NOFA will be given to those PHA applicants that demonstrate that a minimum of 15 of their FSS families have become homeowners that have increased their FSS program size by at least 10 percent in calendar year 2006 and to applicants with program participants who have increased their earned income since enrolling in FSS and/or have families that completed their FSS contracts in the last calendar year. See the General Section for a full discussion of HUD's policy priorities.C. Reporting. Successful applicants must report activities of their FSS enrollment, progress and exit activities of their FSS program participants through required submissions of the Form HUD-50058. HUD's assessment of the accomplishments of the FSS programs of PHAs funded under this NOFA will be based primarily on PIC system data obtained from form HUD-50058. MTW PHAs that do not report to HUD on form HUD- 50058 will be asked to submit an annual report to HUD with the same information on FSS program[[Page 11598]]activities that is provided to HUD by non-MTW PHAs via form HUD-50058. Each recipient is also required to submit a completed Logic Model showing accomplishments against proposed outputs and outcomes as part of their annual reporting requirement to HUD. Recipients shall use quantifiable data to measure performance against goals and objectives outlined in their Logic Model. An annual Performance Report consisting of the updated Logic Model and answers to the Program Management and Evaluations Questions must be submitted to the Public Housing Director in the recipient's local HUD field office no later than 30 days after the ending date of the one-year funding increment provided to the recipient under this NOFA. For FY 2007, HUD is considering a new concept for the Logic Model. The new concept is a Return on Investment (ROI) statement. HUD plans to issue a Federal Register notice soliciting comment on the ROI concept. In addition, HUD requires that funded recipients collect racial and ethnic beneficiary data. It has adopted the Office of Management and Budget's Standards for the Collection of Racial and Ethnic Data. In view of these requirements, funded recipients should use Form HUD-27061, Racial and Ethnic Data Reporting Form (HUD Race Ethnic Form on Grants.gov), or a comparable form. Form HUD-50058, which provides racial and ethnic data to HUD's PIC data system, is a comparable program form.VII. Agency ContactsA. 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 http://www.hud.gov.VIII. Other InformationA. 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 CommunitiesArizona PHAsCity 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 PHAsCity of Calexico Housing Authority..... Housing Authority of the County of Riverside. Imperial Valley Housing Authority......New Mexico PHAsCity of Alamogordo Housing Authority... City of Las Cruces/Dona Ana County Housing Authority. City of Truth or Consequences Housing City of Socorro Housing Authority.Authority. Eddy County--Region VI................. Housing Authority of the Village of Santa Clara. Lordsburg Housing Authority............ Otero County--Region VI. Silver City Housing Authority--Region V Sunland Park Housing Authority. Town of Baynard Housing Authority......Texas PHAsAlamo Housing Authority................ Asherton Housing Authority. Bracketville Housing Authority......... Brownsville Housing Authority. Cameron County Housing Authority....... Carrizo Housing Authority. Del Rio Housing Authority.............. Dona Housing Authority. Eagle Pass Housing Authority........... Ed Couch Housing Authority. Edinburg Housing Authority............. Elsa Housing Authority. Harlingen Housing Authority............ Hidalgo County Housing Authority. Laredo Housing Authority............... La Joya Housing Authority. Los Fresnos Housing Authority.......... McAllen Housing Authority. Mercedes Housing Authority............. Mission Housing Authority. Pharr Housing Authority................ Port Isabel Housing Authority.[[Page 11599]]San Benito Housing Authority........... San Juan Housing Authority. Starr County Housing Authority......... Weslaco Housing Authority. Willacy County Housing Authority....... Uvalde Housing Authority. Zapata County Housing Authority........[[Page 11600]][GRAPHIC] [TIFF OMITTED] TN13MR07.017[[Page 11601]]Rural Housing and Economic Development ProgramOverview InformationA. 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 InformationPurpose 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 AnnouncementI. Funding Opportunity DescriptionA. BackgroundThere 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. Definitions1. 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 http://www.arc.gov for a list of ARC-distressed counties and more information.2. Colonia means any identifiable, rural community that: a. Is located in the state of Arizona, California, New Mexico, or Texas; b. Is within 150 miles of the border between the United States and Mexico; and c. Is determined to be a colonia on the basis of objective need criteria, including a lack of potable water supply, lack of adequate sewage systems, and lack of decent, safe, sanitary, and accessible housing.3. Farm Worker means a farm employee of an owner, tenant, labor contractor, or other operator raising or harvesting agricultural or aquacultural commodities, or a worker who, in the employment of a farm operator, engages in handling, planting, drying, packing, grading, storing, delivering to storage or market, or carrying to market agricultural or aquacultural commodities produced by the operator. Seasonal farm workers are those farm employees who typically do not have a constant year-round salary.4. Firm Commitment means a letter of commitment from a partner by which an applicant's partner agrees to perform an activity specified in the application, demonstrates the financial capacity to deliver the resources necessary to carry out the activity, and commits the resources to the activity, either in cash or through in-kind contributions. It is irrevocable, subject only to approval and receipt of a fiscal year (FY) 2007 Rural Housing and Economic Development grant. Each letter of commitment must include the organization's name and applicant's name, reference the Rural Housing and Economic Development program, and describe the proposed total level of commitment and responsibilities, expressed in dollar value for cash or in-kind contributions, as they relate to the proposed program. The commitment must be written on the letterhead of the participating organization, must be signed by an official of the organization legally able to make commitments on behalf of the organization, and must be dated no earlier than the date of publication of this NOFA. In documenting a firm commitment, the applicant's partner must:a. Specify the authority by which the commitment is made, the amount of the commitment, the proposed use of funds, and the relationship of the commitment to the proposed investment. If the committed activity is to be self-financed, the applicant's partner must demonstrate its financial capability through a corporate or personal financial statement or other appropriate means. If any portion of the activity is to be financed through a lending institution, the participant must provide evidence of the institution's commitment to fund the loan; andb. 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); orb. Any public nonprofit entity such as a Council of Governments that will[[Page 11602]]serve specific local nonprofit organizations in the eligible area.8. Lower Mississippi Delta Region means the eight-state, 240- county/parish region defined by Congress in the Lower Mississippi Delta Development Act, Public Law 100-460. Refer to http://www.dra.gov for more information.9. Eligible Rural Area means one of the following:a. A non-urban place having fewer than 2,500 inhabitants (within or outside of metropolitan areas).b. A county or parish with an urban population of 20,000 inhabitants or less.c. Territory, including its persons and housing units, in the rural portions of ``extended cities.'' The U.S. Census Bureau identifies the rural portions of extended cities.d. Open country that is not part of or associated with an urban area. The USDA describes ``open country'' as a site separated by open space from any adjacent, densely populated urban area. Open space includes undeveloped land, agricultural land, or sparsely settled areas, but does not include physical barriers (such as rivers and canals), public parks, commercial and industrial developments, small areas reserved for recreational purposes, or open space set aside for future development.e. Any place with a population of 20,000 or less and not located in a Metropolitan Statistical Area.10. State Community and/or Economic Development Agency means any state agency whose primary purpose is promotion of economic development statewide or in a local community.11. State Housing Finance Agency means any state agency created to assist local communities and housing providers with financing assistance for development of housing in rural areas, particularly for low- and moderate-income people.II. Award InformationA. Amount Allocated1. 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 AmountIn 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 PeriodRecipients will have 36 months from the date of the executed grant agreement to complete all project activities.D. Notification of Approval or DisapprovalHUD 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 InformationA. 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. Other1. 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; andj. Provision of direct financial assistance to homeowners/ businesses/developers, etc. This can be in the form of default reserves, pooling/securitization mechanisms, loans, grants, the funding of existing individual development accounts, or similar activities.2. Statutory and Regulatory Requirements. To be eligible for funding under HUD NOFAs issued during FY 2007, you, the applicant, must meet all statutory and regulatory requirements applicable to this NOFA as described in the General Section. HUD may also eliminate ineligible activities from funding consideration and reduce funding amounts accordingly.3. General HUD Threshold Requirements. You must meet all threshold requirements described in the General Section.a. Ineligible Applicants. HUD will not consider an application from an ineligible applicant.[[Page 11603]]b. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). Recipients of assistance under this NOFA must comply with section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for Low- and Very Low-Income Persons in Connection with Assisted Projects) and the HUD regulations at 24 CFR part 135, including the reporting requirements at subpart E. Section 3 requires recipients to ensure that, to the greatest extent feasible, training, employment, and other economic opportunities will be directed to low- and very-low income persons, particularly those who are recipients of government assistance for housing, and to businesses that provide economic opportunities to low- and very low-income persons.4. Program-Specific Threshold Requirements.a. The application must receive a minimum rating score of 75 points to be considered for funding.b. HUD will only fund eligible applicants as defined in this NOFA under section III.A.c. Applicants must serve an eligible rural area as defined in section I. of this NOFA.d. Proposed activities must meet the objectives of the Rural Housing and Economic Development program.e. Applicants must demonstrate that their activities will continue to serve populations that are in need and that beneficiaries will have a choice of innovative housing and economic development opportunities as a result of the activities.IV. Application and Submission InformationA. Address To Request Application PackageThis 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 des