[Federal Register: May 14, 2004 (Volume 69, Number 94)]
[Notices]
[Page 26941-27293]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr14my04-122]
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Part II
Department of Housing and Urban Development
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Notice of HUD's Fiscal Year (FY) 2004, Notice of Funding Availability
(NOFA), Policy Requirements and General Section to the SuperNOFA for
HUD's Discretionary Programs; Notice
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4900-N-01]
Notice of HUD's Fiscal Year (FY) 2004, Notice of Funding
Availability (NOFA), Policy Requirements and General Section to the
SuperNOFA for HUD's Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's FY2004 NOFA Policy Requirements and General
Section to the FY2004 SuperNOFA for HUD's Discretionary Programs
(Notice).
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Overview Information
A. Federal Agency Name: Department of Housing and Urban Development
(HUD), Office of the Secretary.
B. Funding Opportunity Title: Policy requirements applicable to all
HUD federal financial assistance programs issued through a NOFA during
FY2004.
C. Announcement Type: Initial announcement of the general policy
requirements that apply to all HUD federal financial assistance NOFAs
for FY2004 issued simultaneously with and after the publication of this
Notice.
D. Funding Opportunity Number: FR 4900-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA
number is provided for each HUD federal financial assistance program.
When using the http://www.Grants.gov Web site you will be asked for the CFDA
number. Please refer to the Program NOFA for the CFDA number assigned
to the program.
F. Dates: The key dates that apply to all HUD federal financial
assistance made available through HUD's FY2004 NOFAs are found in each
individual Program NOFA.
G. Optional, Additional Overview Content Information: HUD's general
policy requirements set forth in this Notice apply to all HUD federal
financial assistance made available through HUD's FY2004 NOFAs. These
policies cover those NOFAs issued through this SuperNOFA as well as
those issued after publication of the SuperNOFA in the Federal
Register.
Full Text of Announcement
I. Funding Opportunity Description
This Notice provides information regarding the Department of
Housing and Urban Development's (HUD's) FY2004 policy requirements
applicable to all of HUD's federal financial assistance programs
announced through NOFAs published along with this Notice and any
subsequent NOFAs published for FY2004. Each Program NOFA that is part
of this SuperNOFA will provide a description of the specific
requirements for the program for which funding is made available and
each will refer to applicable policies contained in this Notice. Each
Program NOFA will also describe any additional procedures and
requirements that apply to the individual Program NOFA, including a
description of the eligible applicants, eligible activities, threshold
requirements, factors for award, and any additional program
requirements or limitations. To ensure that you are able to adequately
address all of the application requirements for any program for which
you intend to apply, please be sure you carefully read both this Notice
of HUD's NOFA policy requirements and the individual Program NOFAs to
ensure you respond to all the requirements for all programs for which
you will be seeking funding.
II. Award Information
Funding Available. Each Program NOFA will identify the amount and
source of funds available in FY2004, as provided by HUD appropriations
and other relevant authority. The FY2004 SuperNOFA contains 50 funding
opportunities composed of programs and program components totaling
approximately $2.3 billion. As a service to our customers, Attachment A
of this notice contains a chart of the funds being made available in
HUD's SuperNOFA for FY2004. If HUD recaptures funds in any program, HUD
reserves the right to increase the available funding for the applicable
program by those amounts. Note that additional NOFAs may be issued
separately from the issuance of the FY2004 SuperNOFA.
III. Eligibility Information
A. Eligible Applicants: The individual Program NOFAs describe the
eligible applicants and eligible activities for each program.
B. Cost Sharing or Matching: The individual Program NOFAs describe
the applicable cost sharing, matching requirements, or leveraging
requirements related to each program, if any.
C. Other:
Requirements and Procedures Applicable to All Programs
Except as may be modified in the individual Program NOFAs in
FY2004, the requirements, procedures and principles listed below apply
to all programs in FY2004 for which funding is announced via NOFA and
published in the Federal Register simultaneously with or after the
publication of this Notice. Please read the individual Program NOFAs
for additional requirements or information.
1. Statutory and Regulatory Requirements. To be eligible for
funding under HUD NOFAs issued during FY2004, you, the applicant, must
meet all statutory and regulatory requirements applicable to the
program or programs for which you seek funding. If you need copies of
the program regulations, they are available from the NOFA Information
Center or through the http://www.hud.gov/grants/index.cfm Web site. See the
individual Program NOFAs for instructions on how HUD will respond to
proposed activities that are ineligible. With the exception of the
Section 202 Supportive Housing for the Elderly program and the Section
811 Supportive Housing for Persons with Disabilities program, HUD may
also eliminate the ineligible activities from funding consideration and
reduce funding amounts accordingly.
2. Threshold Requirements
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. Beginning in federal FY2004, any applicant seeking funding
directly from HUD or other federal agencies must obtain a DUNS number
and include the number in its Application for Federal Assistance
submission. Failure to provide a DUNS number will prevent you from
obtaining an award. Individuals who personally apply for federal
financial assistance, apart from any governmental, business or
nonprofit organization they may represent, are excluded from the
requirement to obtain a DUNS number. This policy is pursuant to the
Office of Management and Budget (OMB) Policy issued in the Federal
Register on June 27, 2003 (68 FR 38402). HUD's regulation implementing
the DUNS Number requirement for its programs was issued in the Federal
Register on March 26, 2004 (69 FR 15671). A copy of the OMB Federal
Register notice and HUD's regulation implementing the DUNS number can
be found on HUD's Web site at http://www.hud.gov/offices/adm/grants/duns.cfm.
Failure to provide a DUNS number with the application
submission will be treated as a technical deficiency to the
application. If the DUNS number is not provided within the cure period
(see Section V.B.4., Corrections to Deficient Applications), the
application will not be funded. The http://www.grants.gov Web site URL at
http://www.grants.gov/GetStarted provides step-by-step
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instructions for obtaining a DUNS number as well as procedures for
registering in the Central Contractor Registry and E-Authentication.
The registration in the Central Contractor Registry and receiving
credentials from the Grants.gov E-Authentication provider are not
necessary for submitting a paper copy application to HUD; only the DUNS
number is required. Central Contractor Registration and E-
Authentication is required for submittal of electronic grant
applications through the Grants.gov portal. For FY2004, HUD is
maintaining its policy of accepting paper copies of the application
sent directly to HUD. However, it is HUD's intent to move to electronic
submission of all applications in FY2005.
c. Compliance with Fair Housing and Civil Rights Laws.
(1) Applicants must comply with all applicable fair housing and
civil rights requirements in 24 CFR 5.105(a). In addition to these
requirements, there may be program-specific threshold requirements
identified in the individual Program NOFAs.
(2) If you, the applicant:
(a) Have been charged with an on-going systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an on-going pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, Section
504 of the Rehabilitation Act of 1973, or Section 109 of the Housing
and Community Development Act of 1974; and
(d) The charge, lawsuit or letter of findings referenced in subpart
(a), (b), or (c) above has not been resolved to HUD's satisfaction
before the application deadline, then you are ineligible and HUD will
not rate and rank your application. HUD will determine if actions to
resolve the charge, lawsuit or letter of findings taken prior to the
application deadline are sufficient to resolve the matter.
Examples of actions that would normally be considered sufficient to
resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.
d. Conducting Business in Accordance with Core Values and Ethical
Standards. Entities subject to 24 CFR parts 84 and 85 (most nonprofit
organizations and state, local, and tribal governments or government
agencies or instrumentalities that receive federal awards of financial
assistance) are required to develop and maintain a written code of
conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations
governing specific programs, your code of conduct must prohibit real
and apparent conflicts of interest that may arise among officers,
employees, or agents; prohibit the solicitation and acceptance of gifts
or gratuities by your officers, employees, and agents for their
personal benefit in excess of minimal value; and, outline
administrative and disciplinary actions available to remedy violations
of such standards. If awarded assistance under a HUD Program NOFA
announced in FY2004, you will be required, prior to entering into an
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. Failure to meet the requirement for a code of conduct will
prohibit you from receiving an award of funds from HUD.
e. Delinquent Federal Debts. Consistent with the purpose and intent
of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal funds
will be made to an applicant that has an outstanding delinquent federal
debt unless (1) the delinquent account is paid in full, (2) a
negotiated repayment schedule is established and the repayment schedule
is not delinquent, or (3) other arrangements satisfactory to HUD are
made prior to the deadline submission date.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system in cases
where the recommended applicant has no prior federal support, HUD's
program officials have reason to question whether the applicant's
financial management system meets federal financial management
standards, or the applicant is considered a high risk based upon past
performance or financial management findings. HUD will not disburse
funds to any applicant that does not have a financial management system
that meets federal standards.
g. Name Check Review. Recommended applicants are subject to a name
check review process. Name checks are intended to reveal matters that
significantly reflect on the applicant's management and financial
integrity, or if any key individual has been convicted or is presently
facing criminal charges. If the name check reveals significant adverse
findings that reflect on the business integrity or responsibility of
the applicant or key individual, HUD reserves the right to (1) deny
funding or consider suspension or termination of an award immediately
for cause, (2) require the removal of any key individual from
association with management or implementation of the award, and (3)
make appropriate provisions or revisions with respect to the method of
payment or financial reporting requirements.
h. False Statements. A false statement in an application is grounds
for denial or termination of an award and grounds for possible
punishment as provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. You, the applicant, are
subject to the provisions of Section 319 of Public Law 101-121
(approved October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment),
which prohibits recipients of federal contracts, grants, or loans from
using appropriated funds for lobbying the executive or legislative
branches of the federal government in connection with a specific
contract, grant, or loan. In addition, you must disclose, using
Standard Form LLL ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, Members of Congress, and congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but Indian tribes and TDHEs established under only
state law must comply with this requirement.
j. Debarment and Suspension. In accordance with 24 CFR part 24, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended, from
doing business with the federal government. This requirement applies to
all lower tier covered transactions and to all solicitations for lower
tier covered transactions. The prohibition includes the following:
(1) Having principals who, within the previous three years, have
been convicted of or had a civil judgment rendered against them for
commission
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of fraud or a criminal offense in connection with obtaining, attempting
to obtain, or performing a public (federal, state or local)
transaction, violation of federal or state anti-trust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements or receiving stolen
property; and
(2) Charges or indictments by a governmental entity (federal, state
and local) for commission of any of the above violations.
3. Other Threshold Requirements
The individual Program NOFAs for which you are applying may specify
other threshold requirements. Additional threshold requirements may be
identified in the discussion of ``eligibility'' requirements in the
individual Program NOFAs. If a Program NOFA requires a certification of
consistency with the Consolidated Plan and the applicant fails to
provide a certification, or the certification provided identifies the
proposed activities as inconsistent with the impacted area's
consolidated plan, HUD, upon review of the facts, may deny funding for
an application based upon the inconsistency.
4. Additional Non-discrimination and Other Requirements
You, the applicant, and your subrecipients must comply with:
a. The Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et
seq.), the Age Discrimination Act of 1974 (42 U.S.C. 6101 et seq.), and
Title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681 et
seq.).
b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5)
of the Fair Housing Act, HUD is obliged to affirmatively further fair
housing. HUD requires the same of its funding recipients. If you are a
successful applicant, you will have a duty to affirmatively further
fair housing opportunities for classes protected under the Fair Housing
Act. Protected classes include race, color, national origin, religion,
sex, disability, and familial status. Unless otherwise instructed in
the individual Program NOFA, your application must include specific
steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the individual Program NOFA
rating factors that address affirmatively furthering fair housing.
These requirements apply to all HUD programs announced via a NOFA,
unless specifically excluded in the individual Program NOFA.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2004 require
recipients of assistance to comply with Section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection with
Assisted Projects) and the HUD regulations at 24 CFR part 135,
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 business concerns that provide
economic opportunities to low- and very low-income persons. Review the
individual Program NOFAs to determine if Section 3 applies to the
program for which you are seeking funding.
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and tribal governments are required by 24 CFR 85.36(e) and
nonprofit recipients of assistance (grantees and sub-grantees) by 24
CFR 84.44(b) to take all necessary affirmative steps in contracting for
the purchase of goods or services to assure that minority firms,
women's business enterprises, and labor surplus area firms are used
whenever possible or as specified in the individual Program NOFAs.
e. Relocation. The relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, and the implementing government-wide regulation at 49
CFR part 24 cover any person who moves permanently from real property
or moves personal property from real property directly because of
acquisition, rehabilitation, or demolition for an activity undertaken
with HUD assistance. Some HUD program regulations also cover persons
who are temporarily relocated. For example, 24 CFR
570.606(b)(2)(i)(D)(1), (2) and (3) provide guidance on temporary
relocation for the CDBG program. Applicants should review the
regulations for the programs for which they are applying when planning
their project.
f. Executive Order 13166, Improving Access to Services for Persons
With Limited English Proficiency (LEP). Executive Order 13166 seeks to
improve access to federally assisted services, programs and benefits
for individuals with limited English proficiency. Applicants obtaining
an award from HUD must seek to provide access to program benefits and
information to LEP individuals through translation and interpretive
services in accordance with LEP Guidance published on December 19, 2003
(68 FR 70967). For assistance and information regarding your LEP
obligation, go to http://www.LEP.gov.
g. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to guide
federal agencies in formulating and developing policies that have
implications for faith-based and community organizations to ensure the
equal protection for these organizations in social services programs
receiving federal financial assistance. Consistent with this order, HUD
has undertaken a review of all policies and regulations that have
implications for faith-based and community organizations and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community-based organizations in HUD
program implementation. In addition, on September 30, 2003 (68 FR
56396), HUD issued a final rule to remove barriers to the participation
of faith-based organizations in the following HUD programs:
HOME Investment Partnerships (24 CFR part 92);
Community Development Block Grants (CDBG) (24 CFR part
570);
HOPE for Homeownership of Single Family Homes (HOPE 3) (24
CFR part 572);
Housing Opportunities for Persons With AIDS (HOPWA) (24
CFR part 574);
Emergency Shelter Grants (ESG) (24 CFR part 576);
Shelter Plus Care (24 CFR part 582);
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Supportive Housing (24 CFR part 583); and
Youthbuild (24 CFR part 585).
Copies of the regulatory changes can be found at: http://www.hud.gov/grants/index.cfm
.
h. Accessible Technology. The Rehabilitation Act Amendments of 1998
(the Act) applies to electronic information technology (EIT) used by
HUD for transmitting, receiving, using, or storing information to carry
out the responsibilities of any federal funds awarded. The Act's
coverage includes, but is not limited to, computers (hardware,
software, word-processing, email, and web pages), facsimile machines,
copiers, and telephones. Consistent with the principles of the Act, HUD
requires the same of its funding recipients. If you are a successful
applicant, you will be required when developing, procuring,
maintaining, or using EIT, to ensure that the EIT allows employees with
disabilities and members of the public with disabilities to have access
to and use of information and data that is comparable to the access and
use of information and data by employees and members of the public who
do not have disabilities. If these standards impose a hardship on a
funding recipient, a recipient may provide an alternative means to
allow the individual to use the information and data. However, no
recipient will be required to provide information services to a person
with disabilities at any location other than a location at which the
information services are generally provided.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
HUD Program NOFA for procurement, and any person contracting with such
an agency with respect to work performed under an assisted contract,
must comply with the requirements of Section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act.
In accordance with Section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the value of the quantity acquired in the preceding
fiscal year exceeded $10,000; must procure solid waste management
services in a manner that maximizes energy and resource recovery; and
must have established an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under a HUD Program
NOFA, all successful applicants will be required to cooperate with all
HUD staff or contractors performing HUD-funded research and evaluation
studies.
k. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. Compliance with
HUD regulations at 24 CFR 5.108 that implement Executive Order 13202 is
a condition of receipt of assistance under a HUD Program NOFA.
l. Salary Limitation for Consultants. FY2004 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant whether retained by the federal government or the grantee at
more than the daily equivalent of the rate paid for level IV of the
Executive Schedule, unless specifically authorized by law.
m. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. Certain OMB circulars also apply to HUD
programs in this SuperNOFA. 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-21
(Cost Principles for Education Institutions), OMB A-122 (Cost
Principles for Nonprofit Organizations), OMB Circular A-133 (Audits of
States, Local Governments, and Non-Profit Organizations), and the
regulations at 24 CFR part 84 (Grants and Agreements with Institutions
of Higher Education, Hospitals, and other Non-Profit Organizations),
and 24 CFR part 85 (Administrative Requirements for Grants and
Cooperative Agreements to state, local, and federally recognized Indian
tribal governments), may apply to the award, acceptance, and use of
assistance under the individual Program NOFAs of this SuperNOFA, and to
the remedies for noncompliance, except when inconsistent with the
provisions of the Consolidated Appropriations Act, 2004 (Public Law
108-199, approved January 23, 2004), other federal statutes or
regulations, or the provisions of this SuperNOFA Notice. Compliance
with additional OMB Circulars or government-wide regulations may be
specified for a particular program in the Program Section of the Super
NOFA. Copies of the OMB Circulars may be obtained from EOP
Publications, Room 2200, 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); or, from the
Web site, http://www.whitehouse.gov/omb/circulars/index.html.
n. Environmental Requirements. If you become a recipient under one
of the FY2004 HUD programs in this SuperNOFA that assist physical
development activities or property acquisition, you are generally
prohibited from acquiring, rehabilitating, converting, demolishing,
leasing, repairing or constructing property, or committing or expending
HUD or non-HUD funds for these types of program activities, until one
of the following has occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
recipient's Request for Release of Funds (Form HUD 7015.15) following a
Responsible Entity's completion of an environmental review.
You, the applicant, should consult the individual Program NOFA for
the program(s) for which you are interested in applying to determine
the procedures for, timing of, and any exclusions from environmental
review under a particular program. For applicants applying for funding
under the Section 202 Supportive Housing for the Elderly program or
Section 811 Supportive Housing for Persons with Disabilities program,
please note the environmental review requirements for these programs.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under this
SuperNOFA or future NOFAs published in FY2004, you are subject to 18
U.S.C. 208, the federal criminal conflict of interest statute, and the
Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, if you have
assisted or plan to assist applicants with preparing applications for
programs in this SuperNOFA or NOFAs published in FY2004, you may not
serve on a selection panel and you may not serve as a technical advisor
to HUD. All individuals involved in rating and ranking HUD FY2004 NOFAs
either published simultaneously with this Notice or after the
publication of this Notice, including experts and consultants, must
avoid conflicts of interest or the appearance of conflicts. Individuals
involved in the rating and ranking of applications must disclose to
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HUD's General Counsel or HUD's Ethics Law Division the following
information, if applicable: how the selection or non-selection of any
applicant under a FY2004 this Super NOFA will affect the individual's
financial interests, as provided in 18 U.S.C. 208, or how the
application process involves a party with whom the individual has a
covered relationship under 5 CFR 2635.502. The individual must disclose
this information prior to participating in any matter regarding a
FY2004 NOFA published subsequent to the date of this Notice. If you
have questions regarding these provisions or if you have questions
concerning a conflict of interest, you may call the Office of General
Counsel, Ethics Law Division, at (202) 708-3815.
p. Drug-Free Workplace. If you receive an award of funds from HUD,
you are required to provide a drug-free workplace. Compliance with this
requirement means that you will:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The statement must specify the actions that will be taken
against employees for violation of this prohibition. The statement must
also notify employees that as a condition of employment under the
federal award that they are required to abide by the terms of the
statement and that each employee must agree to notify the employer in
writing of any violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such violation.
(2) Establish an on-going drug-free awareness program to inform
employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
and
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace.
(3) Notify the federal agency in writing within 10 calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to HUD's Office of
Departmental Grants Management and Oversight, Department of Housing and
Urban Development, 451 Seventh Street, SW, Room 3156, Washington DC
20410-3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, phone, and fax number; and
(c) A grantee contact name, phone, and fax number.
(4) Require that each employee engaged in the performance of the
federally funded award be given a copy of the drug-free workplace
statement required in item (1) and notify the employee that one of the
following actions will be taken against the employee within 30 calendar
days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring that the employee participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a federal, state, or local health, law enforcement, or
other appropriate agency.
q. Safeguarding Resident/Client Files. In maintaining resident
files, HUD funding recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take, reasonable measures
to ensure that resident/client files are safeguarded.
IV. Application and Submission Information
A. Addresses to Request Application Package
This section describes how you may obtain application forms,
additional information about the HUD Program NOFAs, and technical
assistance. Copies of the published NOFAs and application forms for HUD
programs announced through NOFA may be downloaded from the Grants.gov
Web site at http://www.grants.gov/FIND or you may call HUD's NOFA
Information Center at 800-HUD-8929. Persons with hearing or speech
impairments may call 800-HUD-2209.
1. Application Kits. There are no application kits for HUD programs
this year. All the information you need to apply will be in the NOFA
and available on http://www.grants.gov/Find. In response to concerns
about the length of time it takes for the publication and dissemination
of application kits, HUD has made an effort to improve the readability
of its NOFAs and publish all required forms and formats for application
submission in the Federal Register. As a result of this effort, you
will not have to wait for an application kit to begin to prepare your
application for funding. HUD is continuing to streamline programs and
application submission requirements and encourages the applicant
community to offer additional suggestions. Please pay attention to the
submission requirements and format for submission specified in each
Program NOFA to ensure that you have submitted all required elements of
your application.
The published Federal Register document is the official document
that HUD uses to evaluate applications. Therefore, if there is a
discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy or
on http://www.Grants.gov/Find, the Federal Register publication prevails.
Please be sure to review your application submission against the
requirements in the Federal Register file of the NOFA or NOFAs to which
you are responding by application. Paper copies of these documents can
be obtained from the NOFA Information Center by calling 800-HUD-8929;
persons with speech or hearing impairments may call 800-HUD-2209.
2. Guidebook and Further Information. A guidebook to HUD programs
titled ``Connecting with Communities: A User's Guide to HUD Programs
and the FY2004 NOFA Process'' is available from the NOFA Information
Center and the HUD Web site at http://www.hud.gov/grants/index.cfm. The
guidebook provides a brief description of all HUD programs, eligible
applicants for the programs, and examples of how programs can work in
combination to serve local community needs. You may also request
general information, paper copies of this Notice of HUD NOFA policy
requirements, any Program NOFA, and applications. This information may
be obtained by calling the NOFA Information Center at 800-HUD-8929 or
800-HUD-2209 (TTY) between the hours of 9 a.m. and 8 p.m. (Eastern
Time), Monday through Friday, except on federal holidays.
When requesting information, please refer to the name of the
document or Program NOFA in which you are interested. Be sure to
provide your name, address (including zip code), and telephone number
(including area code). To ensure sufficient time to prepare your
application, copies of this Notice of HUD NOFA policy requirements and
individual Program NOFAs will be available immediately following
publication of these documents. The NOFA Information Center opens for
business simultaneously with the publication of this Notice of HUD NOFA
[[Page 26947]]
policy requirements. You can also obtain information on this Notice of
HUD NOFA policy requirements and download application information for
HUD programs issued through NOFAs during FY2004 through the
http://www.Grants.gov/find Web site.
3. For Technical Assistance. Before the application due date, HUD
staff will be available to provide you with general guidance and
technical assistance about this Notice of HUD NOFA policy requirements
or about individual Program NOFAs. However, HUD staff is not permitted
to assist in preparing your application. Following selection of
applicants, but before announcement of awards is made, HUD staff is
available to assist in clarifying or confirming information that is a
prerequisite to the offer of an award or Annual Contributions Contract
(ACC) by HUD.
B. Content and Form of Application Submission
Be sure to read and follow the application submission requirements
published in the individual Program NOFA or NOFAs to which you are
responding by application. Beginning FY2004, when you sign your
application submission you are agreeing to assurances and
certifications (HUD 424B).
Forms, Certifications, and Assurances. You, the applicant, are
required to submit signed copies of the standard forms, certifications,
and assurances listed in this section, unless the requirements in the
individual Program NOFAs specify otherwise. In addition, the individual
Program NOFAs may specify additional forms, certifications, assurances,
or other information that may be required for a particular program. The
HUD standard forms, certifications, and assurances are:
Application for Federal Assistance (SF-424);
Survey on Ensuring Equal Opportunity for Applicants (SF-
424 Supplement);
Assurances Non-Construction Programs (HUD-424B);
Grant Application Detailed Budget (HUD-424-CB);
Grant Application Detailed Budget Worksheet (HUD-424-CBW);
Disclosure of Lobbying Activities (SF-LLL);
Applicant/Recipient Disclosure/Update Report (HUD-2880);
Certification of Consistency with RC/EZ/EC Strategic Plan
(HUD-2990) if applicable;
Certification of Consistency with the Consolidated Plan
(HUD-2991) if applicable;
Acknowledgment of Application Receipt (HUD-2993);
Client Comments and Suggestions (HUD 2994) (Optional);
Program Outcome Logic Model (HUD-96010).
Form HUD 52515, Funding Application for the Housing Choice
Voucher Program.
Race and Ethnic Data Reporting Form (HUD-27061).
America's Affordable Communities Initiative (HUD-27300).
Copies of these standard forms and the Funding Application for the
Housing Choice Voucher Program (HUD-52515) are included in Appendix A
to this General Section. Copies of program forms required to be
submitted to meet specific program requirements will be included with
each Program NOFA.
C. Submission Dates and Times
Each Program NOFA will identify a specific due date for application
submission. You, the applicant, must submit a completed application to
HUD on or before the respective program's established application due
date. Application due dates can be found under the section labeled
``Submission Dates and Times'' of each HUD NOFA issued in FY2004.
Appendix B also provides a funding chart which identifies the programs
in HUD's SuperNOFA along with the application due dates.
D. Intergovernmental Review
Executive Order 12372, Intergovernmental Review of Federal
Programs, was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
federal development. HUD implementing regulations are published at 24
CFR part 52. The order allows each state to designate an entity to
perform a state review function. The official listing of State Points
of Contact (SPOC) for this review process can be found at http://www.whitehouse.gov/omb/grants/spoc.html.
States not listed on the Web
site have chosen not to participate in the intergovernmental review
process and, therefore, do not have a SPOC. If your state has a SPOC,
you should contact the SPOC to see if it is interested in reviewing
your application prior to submission to HUD.
Please make sure that you allow ample time for this review process
when developing and submitting your applications. If your state does
not have a SPOC, send your applications directly to HUD.
E. Funding Restrictions
The individual Program NOFAs will describe any funding restrictions
that apply to each program.
F. Other Submission Requirements
1. Delivery and Receipt Procedures. The following procedures apply
to the delivery and receipt of applications in HUD Headquarters, the
Grants Management Center (GMC), the University Partnerships
Clearinghouse, and field offices. Please read the following
instructions carefully and completely, as failure to comply with these
procedures may disqualify your application. HUD's delivery and receipt
policies are:
a. Hand deliveries will be permitted. Hand delivered packages must
be received at HUD Headquarters, the Public and Indian Housing Grants
Management Center (GMC), or the University Partnership Clearinghouse no
later than 5 p.m. EST, Monday through Friday, except for federal
holidays. Hand delivered packages to the HUD Field Offices must be
received no later than 4 p.m. local time for the office receiving the
application. However, if HUD staff is not available to accept your
package or the courier service is not allowed to enter the building to
deliver the package due to security or other reasons, the package will
be determined not delivered and not accepted by HUD. In such instances,
HUD recommends that, you, the applicant, or your agent take your
package to the nearest post office and follow the mailing instructions
for postal service timely delivery. HUD will not take responsibility
for ensuring that staff is available to take your package and will not
breach security measures in order to accept an undeliverable package.
b. HUD will not accept or consider any applications sent by
facsimile.
c. HUD urges applicants sending packages by courier to the Robert
C. Weaver Headquarters Building, the University Partnerships
Clearinghouse, or the Public and Indian Housing Grants Management
Center (GMC), to use the following courier services, as these services
have unescorted access to these buildings: DHL, Falcon Carrier, Federal
Express (FedEx), and United Parcel Service (UPS). Packages may be
mailed using the United States Postal Service. Mailed applications will
be accepted as being timely submitted if they are received at the
designated HUD location (including the room number specified for
receipt) not later than 15 days after the due date and time, and show a
postmark of having been delivered to
[[Page 26948]]
the postal facility for mailing by 12:00 midnight local time on the
application due date. If the Postal Service does not normally postmark
large packages, the proof of timely submission shall be receipt within
15 days at the designated HUD facility and, upon request by a HUD
official, proof of mailing using USPS Form 3817 (Certificate of
Mailing) or a receipt from the Postal Service which contains the post
office name, location, and date and time of mailing. For submission
through the United States Postal Service, no other proof of timely
submission will be accepted.
d. Applications mailed to a location or office that is not
designated for receipt of the application, which results in the
designated office not receiving your application in accordance with the
requirements for timely submission, will cause your application to be
considered late and ineligible to receive funding consideration. HUD
will not be responsible for directing packages to the appropriate
office.
Applicants should pay close attention to these submission and
timely receipt instructions as they can make a difference in whether
HUD will accept your application for funding consideration. Please
remember that mail sent to federal facilities is screened prior to
delivery, so please allow sufficient time for your package to be
delivered. If an application is received late because of the processing
time required for the screening, it will not be considered for funding.
2. Proof of Timely Submission. Proof of timely submission of an
application is specified below.
a. In the case of packages sent to HUD via a delivery service,
other than the United States Postal Service, timely submission shall be
evidenced via a delivery service receipt indicating that the
application was delivered to a carrier service at least 24 hours prior
to the application deadline, and, if applicable, that through no fault
of the applicant, the delivery could not be made on or before the
application due date. Couriers turned away from a HUD facility due to
security issues will not be considered as meeting the requirement of
``no fault of the applicant,'' because applicants have been advised
that delivery delays can arise when using courier services, resulting
in a late application submission.
b. For packages submitted via the United States Postal Service,
proof of timely submission shall be a postmark not later than the
application due date or receipt not later than five days after the
application due date at the designated HUD facility and, upon request
by a HUD official, proof of mailing using USPS Form 3817 (Certificate
of Mailing) or a receipt from the Post Office which contains the post
office name, location, and date and time of mailing. For submission
through the United States Postal Service, no other proof of timely
submission will be accepted. Applications not meeting the timely
submission requirements will not be considered for funding.
3. Addresses. You, the applicant, must submit a complete
application and the required number of copies to the locations
identified in the Program NOFA or NOFAs to which you are responding by
application. When submitting your application, you must refer to the
name of the program for which you are applying and include the correct
room number to ensure your application is properly directed. Addresses
for deliveries to HUD's Robert C. Weaver Headquarters Building, the
University Partnerships Clearinghouse, or the Public and Indian Housing
Grants Management Center (GMC) are identified in each Program NOFA, as
well as the consolidated chart of funding opportunities for programs in
the SuperNOFA. Addresses for field office locations are contained in
Appendix C of this General Section, ``List of HUD Field Offices.''
For applications directed to the Office of Native American Programs
(ONAP), please be sure to use the addresses provided in Appendix D of
this General Section, ``List of Office of Native American Programs
Field Offices.'' For the Section 202 Supportive Housing for the
Elderly, Section 811 Supportive Housing for Persons with Disabilities,
Assisted Living Conversion for Eligible Multifamily Projects, and the
Service Coordinators in Multifamily Housing programs, please see the
Program NOFAs for the applicable field office listing.
Please be sure to include the Program NOFA name and room number on
your submission package.
4. Copies of Applications. Each Program NOFA may specify, that to
facilitate the review of your application, one or more copies of the
application also must be sent to an additional HUD location (for
example, the original application to HUD Headquarters and a copy to the
HUD field office). If you are required to submit an application to HUD
Headquarters, the University Partnerships Clearinghouse, or the GMC, as
well as field offices, the determination that your application was
received on time will be made solely on receipt of the application at
HUD Headquarters, the University Partnerships Clearinghouse, or the
GMC, as applicable. If an application received on time at HUD
Headquarters, the University Partnerships Clearinghouse, or GMC is not
complete, but a complete copy was submitted and received on time at a
HUD field office, HUD may conduct its review using the field office
copy. See the information in the, ``Mailing and Receipt Procedures''
and ``Proof of Timely Submission'' sections above for additional
information. If you do not submit the required number of copies HUD may
request that you provide the additional copies to the appropriate HUD
office(s) in accordance with the procedures described in Section V.B.4
of this Notice, ``Corrections to Deficient Applications.'' In some
Program NOFAs failure to submit the required number of copies may
disqualify your application, so please read each NOFA carefully.
5. Electronic Submission of Packages using Grants.gov. For FY2005,
HUD intends to have applications submitted via the federal government's
new electronic application portal called Grants.gov. Applicants are
urged to become familiar with the Grants.gov Web site and to follow the
steps under ``Get Started'' so that you will be prepared to apply on
line for HUD and other federal agency programs.
For FY2004, paper copy applications will be considered by HUD to be
the official application submission. HUD urges all applicants to become
familiar with the Grants.gov site (http://www.grants.gov) and register to
receive funding opportunity notifications, as well as to apply on line
for funding. Registration to apply on line via Grants.gov requires
obtaining a DUNS number, as well as registering in the Central
Contractor Registry. To apply on line, applicants will also need to
follow the requirements for E-Authentication. The Grants.gov site
provides instructions on how to get a DUNS number, as well as
registration and E-Authentication procedures. The Grants.gov Web site
provides a customer support line (800-518-GRANTS) to address Grants.gov
technology issues. HUD will establish a help line to address questions
on program issues. Individuals who personally apply for federal
financial assistance, apart from any business or nonprofit organization
they may operate, are excluded from the requirement to obtain a DUNS
number.
Paper copy submission will not apply to two programs that HUD is
piloting for electronic applications through Grants.gov/Find and
Grants.gov/APPLY. The two programs are the Housing Counseling Training
and FY2003 Capacity Building Grants. These are issued outside the
SuperNOFA.
[[Page 26949]]
V. Application Review Information
A. Criteria
1. Factors for Award Used to Evaluate and Rate Applications. For
each Program NOFA, the points awarded for the rating factors total 100.
Depending upon the program for which you, the applicant, are seeking
funding, the funding opportunity may provide for up to four bonus
points as provided below:
a. RC/EZ/EC. HUD's FY2004 NOFAs provide for the award of two bonus
points for eligible activities/projects that the applicant proposes to
located in federally designated Empowerment Zones (EZs), Enterprise
Communities (ECs), Urban Enhanced Enterprise Communities (EECs), or
Renewal Communities (RCs), are intended to serve the residents of these
areas, and are certified to be consistent with the area's strategic
plan. (For ease of reference in this Notice, all of the federally
designated areas are collectively referred to as ``RC/EZ/ECs'' and
residents of any of these federally designated areas as ``RC/EZ/EC
residents.'') The individual funding announcements will indicate if the
bonus points are available under the program. This Notice contains a
certification that must be completed for the applicant to be considered
for RC/EZ/EC bonus points. A list of RC/EZ/ECs is available is included
in this Notice as Appendix E and can also be obtained from the NOFA
Information Center, and at http://www.grants.gov [bs]Find
under the program you are seeking funding. Applicants can determine if
their program/project activities are located in one of these designated
areas by using the locator on HUD's Web site at http://hud.esri.com/egis/cpd/rcezec/welcom.htm#
.
b. Brownfields Showcase Communities. In the Brownfields Economic
Development Initiative (BEDI) competition, two bonus points are
available for federally designated Brownfields Showcase Communities.
(Please see the FY2004 BEDI program NOFA for additional information.)
The designation of Brownfields Showcase Communities is a federal agency
initiative sponsored by twenty federal agencies including HUD. A list
of the federally designated RC/EZ/ECs, Enhanced ECs, and Brownfields
Showcase Communities is available from the NOFA Information Center or
through HUD's Web site at http://www.hud.gov.
2. The Five Standard Rating Factors for FY2004. HUD has established
the following five factors as the standard factors for awarding the
majority of its FY2004 Program NOFAs. Additional details about the five
rating factors and the maximum points for each factor are provided in
the Program NOFAs. For a specific funding opportunity, HUD may modify
these factors to take into account explicit program needs or statutory
or regulatory limitations. You, the applicant, should carefully read
the factors for award as described in the Program NOFA to which you
responding by application. The standard factors for award, except as
modified in the Program NOFAs, are:
Factor 1: Capacity of the Applicant and Relevant Organizational
Staff.
Factor 2: Need/Extent of the Problem.
Factor 3: Soundness of Approach.
Factor 4: Leveraging Resources.
Factor 5: Achieving Results and Program Evaluation.
The Continuum of Care Homeless Assistance Programs have only two
factors that receive points: Need and Continuum of Care.
B. Reviews and Selection Process
1. HUD's Strategic Goals
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, as
well as the quality of the applicant's proposed Evaluation and
Monitoring Plans. HUD's Strategic Framework establishes the following
Goals and Objectives for the Department:
a. Increase Homeownership Opportunities:
(1) Expand national homeownership opportunities.
(2) Increase minority homeownership.
(3) Make the home buying process less complicated and less
expensive.
(4) Fight practices that permit predatory lending.
(5) Help HUD-assisted renters become homeowners.
(6) Keep existing homeowners from losing their homes.
b. Promote Decent Affordable Housing:
(1) Expand access to affordable rental housing.
(2) Improve the physical quality and management accountability of
public and assisted housing.
(3) Increase housing opportunities for the elderly and persons with
disabilities.
(4) Help HUD-assisted renters make progress toward self-
sufficiency.
c. Strengthen Communities:
(1) Improve economic conditions in distressed communities.
(2) Make communities more livable.
(3) End chronic homelessness.
(4) Mitigate housing conditions that threaten health.
d. Ensure Equal Opportunity in Housing:
(1) Resolve discrimination complaints on a timely basis.
(2) Promote public awareness of Fair Housing laws.
(3) Improve housing accessibility for persons with disabilities.
e. Embrace High Standards of Ethics, Management, and
Accountability:
(1) Rebuild HUD's human capital and further diversify its
workforce.
(2) Improve HUD's management, internal controls and systems, and
resolve audit issues.
(3) Improve accountability, service delivery, and customer service
of HUD and our partners.
(4) Ensure program compliance.
f. Promote Participation of Grassroots Faith-Based and Other
Community-Based Organizations:
(1) Reduce regulatory barriers to participation by grassroots
faith-based and other community-based organizations.
(2) Conduct outreach to inform potential partners of HUD
opportunities.
(3) Expand technical assistance resources deployed to grassroots
faith-based and other community-based organizations.
(4) Encourage partnerships between grassroots faith-based and other
community-based organizations and HUD's traditional grantees.
You can find out about HUD's Strategic Framework and Annual Performance
Plans at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
2. Policy Priorities. HUD encourages applicants to undertake
specific activities that will assist the Department in implementing its
policy priorities and which help the Department achieve its goals for
FY2004 and beyond, when the majority of funding recipients will be
reporting programmatic results and achievements. Applicants that
include work activities that specifically address one or more of these
policy priorities will receive higher rating scores than applicants
that do not address these HUD priorities. Each NOFA issued in FY2004
will specify which priorities relate to a particular program and how
many points will be awarded for addressing those priorities.
a. Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with
[[Page 26950]]
Disabilities, the Elderly, Minorities, and Families with Limited
English Proficiency. Too often, these individuals and families are shut
out of the housing market through no fault of their own. Often
developers of housing, housing counseling agencies, and other
organizations engaged in the housing industry must work aggressively to
open up the realm of homeownership and rental opportunities to low- and
moderate-income persons, persons with disabilities, the elderly,
minorities, or families with limited English proficiency. Many of these
families are anxious to have a home of their own but are not aware of
the programs and assistance that are available. Applicants are
encouraged to address the housing, housing counseling, and other
related supportive services needs of these individuals and coordinate
their proposed activities with funding available through HUD's
affordable housing programs and home loan programs.
Proposed activities support strategic goals a, b, and d.
b. Improving our Nation's Communities. HUD wants to improve the
quality of life for those living in distressed communities. Applicants
are encouraged to include activities which:
(1) Bring private capital into distressed communities;
(a) Finance business investments to grow new businesses;
(b) Maintain and expand existing businesses;
(c) Create a pool of funds for new small and minority-owned
businesses; and
(d) Create decent jobs for low-income persons.
(2) Improve the environmental health and safety of families living
in public and privately-owned housing by including activities which:
(a) Coordinate lead hazard reduction programs with weatherization
activities funded by state and local governments and the federal
government; and
(b) Reduce or eliminate health related hazards in the home caused
by toxic agents such as molds and other allergens, carbon monoxide, and
other hazardous agents and conditions.
(3) Make communities more livable by:
(a) Providing public and social services; and
(b) Improving infrastructure and community facilities.
Activities support strategic goals b, c, and d.
c. Encouraging Accessible Design Features. As described in Section
III.C.2.c., applicants must comply with applicable civil rights laws
including the Fair Housing Act, Section 504 of the Rehabilitation Act
of 1973, and the Americans with Disabilities Act. These laws, and the
regulations implementing them, provide for nondiscrimination based on
disability and require housing and other facilities to incorporate
certain features intended to provide for their use and enjoyment by
persons with disabilities. HUD is encouraging applicants to add
accessible design features beyond those required under civil rights
laws and regulations. These features would eliminate many other
barriers limiting the access of persons with disabilities to housing
and other facilities. Copies of the Uniform Federal Accessibility
Standards (UFAS) are available from the NOFA Information Center (800-
HUD-8929 or 800-HUD-2209 (TTY)) and also from the Office of Fair
Housing and Equal Opportunity, U.S. Department of Housing and Urban
Development, Room 5230, 451 Seventh Street, SW., Washington, DC 20410-
2000, (202) 755-5404 or 800-877 8339 (TTY Federal Information Relay
Service).
Accessible design features are intended to promote visitability and
incorporate features of universal design as described below:
(1) Visitability in New Construction and Substantial
Rehabilitation. Applicants are encouraged to incorporate visitability
standards where feasible in new construction and substantial
rehabilitation projects. Visitability standards allow a person with
mobility impairments access into the home, but do not require that all
features be made accessible. Visitability means that there is at least
one entrance at grade (no steps), approached by an accessible route,
such as a sidewalk, and that the entrance door and all interior passage
doors are at least 2 feet 10 inches wide, allowing 32 inches of clear
passage space. A visitable home also serves persons without
disabilities, such as a mother pushing a stroller or a person
delivering a large appliance. More information about visitability is
available at http://www.concretechange.org.
Activities support strategic goals b, c, and d.
(2) Universal Design. Applicants are encouraged to incorporate
universal design in the construction or rehabilitation of housing,
retail establishments, and community facilities funded with HUD
assistance. Universal design is the design of products and environments
to be usable by all people to the greatest extent possible, without the
need for adaptation or specialized design. The intent of universal
design is to simplify life for everyone by making products,
communications, and the built environment more usable by as many people
as possible at little or no extra cost. Universal design benefits
people of all ages and abilities. In addition to any applicable
required accessibility features under Section 504 of the Rehabilitation
Act of 1973 or the design and construction requirements of the Fair
Housing Act, the Department encourages applicants to incorporate the
principles of universal design when developing housing, community
facilities, and electronic communication mechanisms or when
communicating with community residents at public meetings or events.
HUD believes that by creating housing that is accessible to all, it
can increase the supply of affordable housing for all, regardless of
ability or age. Likewise, creating places where people work, train, and
interact which are useable and open to all residents increases
opportunities for economic and personal self-sufficiency. More
information on Universal Design is available from the Center for
Universal Design, at http://www.design.ncsu.edu:8120/cud/, or the Resource Center on Accessible Housing and Universal Design, at http://
http://www.abledata.com/Site_2/accessib.htm.
Activities support strategic goals a, b, c, and d.
d. Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
(1) HUD encourages nonprofit organizations, including grassroots
faith-based and other community-based organizations, to participate in
the vast array of programs for which funding is available through HUD's
programs. HUD also encourages states, units of local government,
universities, colleges, and other organizations to partner with
grassroots organizations, e.g., civic organizations, faith communities,
and grassroots faith-based and other community-based organizations that
have not been effectively utilized. These grassroots organizations have
a strong history of providing vital community services such as
assisting the homeless and preventing homelessness, counseling
individuals and families on fair housing rights, providing elderly
housing opportunities, developing first-time homeownership programs,
increasing homeownership and rental housing opportunities in
neighborhoods of choice, developing affordable and accessible housing
in neighborhoods across the country, creating economic development
programs, and supporting the residents of public housing
[[Page 26951]]
facilities. HUD wants to make its programs more effective, efficient,
and accessible by expanding opportunities for grassroots organizations
to participate in developing solutions for their own neighborhoods.
Additionally, HUD encourages applicants to include these grassroots
faith-based and other community-based organizations in their workplans.
Applicants, their partners, and participants must review the individual
FY2004 HUD program announcements to determine whether they are eligible
to apply for funding directly or whether they must establish a working
relationship with an eligible applicant in order to participate in a
HUD funding opportunity. Grassroots faith-based and other community-
based organizations, and applicants that currently or propose to
partner, fund, subgrant, or subcontract with grassroots organizations
(including grassroots faith-based or other community-based nonprofit
organizations eligible under applicable program regulations) in
conducting their work programs will receive higher rating points as
specified in the individual FY2004 HUD program announcements.
(2) Definition of Grassroots Organizations:
(a) HUD will consider an organization a ``grassroots organization''
if the organization is headquartered in the local community to which it
provides services; and,
(i) Has a social services budget of $300,000 or less, or
(ii) Has six or fewer full-time equivalent employees.
(b) Local affiliates of national organizations are not considered
``grassroots.'' Local affiliates of national organizations are
encouraged, however, to partner with grassroots organizations but must
demonstrate that they are currently working with a grassroots
organization (e.g., having a faith community or civic organization, or
other charitable organization provide volunteers).
(c) The cap provided in paragraph (2)(a)(i) above includes only
that portion of an organization's budget allocated to providing social
services. It does not include other portions of the budget such as
salaries and expenses not directly expended in the provision of social
services.
Activities support strategic goal f.
e. Participation of Minority-Serving Institutions in HUD Programs.
Pursuant to Executive Orders 13256, ``President's Board of Advisors on
Historically Black Colleges and Universities,'' 13230, ``President's
Advisory Commission on Educational Excellence for Hispanic Americans,''
13216, ``Increasing Participation of Asian Americans and Pacific
Islanders in Federal Programs,'' and 13270, ``Tribal Colleges and
Universities,'' HUD is strongly committed to broadening the
participation of Minority-Serving Institutions (MSIs) in its programs.
HUD is interested in increasing the participation of MSIs in order to
advance the development of human potential, strengthen the nation's
capacity to provide high quality education, and increase opportunities
for MSIs to participate and benefit from federal financial assistance
programs. HUD encourages all applicants and recipients to include
meaningful participation of MSIs in their work programs. A listing of
MSIs can be found on the Department of Education Web site at http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html
or HUD's Web
site at http://www.hud.gov/grants/index.cfm.
Activities support strategic goals c and d.
f. Ending Chronic Homelessness within 10 Years. President Bush has
set a national goal to end chronic homelessness within 10 years.
Secretary Alphonso Jackson has embraced this goal and has pledged that
HUD's grant programs will be used to support the President's goal and
more adequately meet the needs of chronically homeless individuals. A
person experiencing chronic homelessness is defined as an unaccompanied
individual with a disabling condition who has been continuously
homeless for a year or more or has experienced four or more episodes of
homelessness over the last three years. Applicants are encouraged to
target assistance to chronically homeless persons by undertaking
activities that will result in:
(1) Creation of affordable group homes or rental housing units;
(2) Establishment of a set-aside of units of affordable housing for
the chronically homeless;
(3) Establishment of substance abuse treatment programs targeted to
the homeless population;
(4) Establishment of job training programs that will provide
opportunities for economic self-sufficiency;
(5) Establishment of counseling programs that assist homeless
persons in finding housing, financial management, anger management, and
building interpersonal relationships;
(6) Provision of supportive services, such as health care
assistance that will permit homeless individuals to become productive
members of society;
(7) Provision of service coordinators or one-stop assistance
centers that will ensure that chronically homeless persons have access
to a variety of social services.
Applicants that are developing programs to meet the goals set in
this policy priority should be mindful of the requirements of the
regulations implementing Section 504 of the Rehabilitation Act, in
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1) and 8.4(d).
Activities support strategic goals b and c.
g. Removal of Regulatory Barriers to Affordable Housing.
On March 22, 2004 (69 FR 13450), HUD published a final notice
announcing its intention to establish the Removal of Regulatory
Barriers to Affordable Housing policy priority in the majority of its
FY2004 NOFAs. In the March 22, 2004, notice, HUD advised that
applicants would be required to respond to a series of evaluative
questions in order to receive the rating points associated with this
priority. On April 21, 2004 (69 FR 21663), HUD published a correction
to Question 5 in PART A of the questionnaire. In the April 21, 2004,
notice, HUD also responded to questions that arose after the
publication of the March 22, 2004, notice. Through this initiative, HUD
is seeking input into how it can more effectively work with the public
and private sectors to remove regulatory barriers to affordable
housing. The March 22, 2004, notice, as clarified in the April 21,
2004, notice, addresses how HUD will evaluate the effectiveness of
state and local government efforts to remove regulatory barriers to
affordable housing.
Increasing the affordablity of rental and homeownership housing
continues to be a high priority of the Department. Over the last 15
years, there has been increased recognition that unnecessary,
duplicative, excessive, or discriminatory public processes often
significantly increase the cost of housing development and
rehabilitation. Often referred to as ``regulatory barriers to
affordable housing,'' many public statutes, ordinances, regulatory
requirements, or processes and procedures significantly impede the
development or availability of affordable housing without providing a
commensurate or demonstrable health or safety benefit. ``Affordable
housing'' is decent quality housing that low-, moderate- and middle-
income families can afford to buy or rent without spending more than 30
percent of their income; spending more than 30 percent of income on
shelter may require families to sacrifice other necessities of life.
[[Page 26952]]
Addressing these barriers to housing affordability is a necessary
component of any overall national housing policy. However, addressing
such barriers must be viewed as a complement, not a substitute, for
other efforts to meet affordable housing needs. For many families,
federal, state, and local subsidies are fundamental tools for meeting
these affordable needs. In many instances, however, other sometimes
well-intentioned public policies work at cross-purposes with subsidy
programs by imposing significant constraints. From zoning that keeps
out affordable housing, especially multifamily housing, to other
regulations and requirements that unnecessarily raise the costs of
construction, the need to address this issue is clear. For example,
affordable rehabilitation is often constrained by outmoded building
codes that require excessive renovation. Barrier removal will not only
make it easier to find and get approval for affordable housing sites
but it will also allow available subsidies to go further in meeting
these needs. For housing for moderate-income families often referred to
as ``work force'' housing, barrier removal can be the most essential
component of meeting housing needs.
Under this policy priority, higher rating points are available to
(1) governmental applicants that are able to demonstrate successful
efforts in removing regulatory barriers to affordable housing, and (2)
nongovernmental applicants that are associated with jurisdictions that
have undertaken successful efforts in removing barriers. To obtain the
policy priority points for efforts to successfully remove regulatory
barriers, applicants must complete form HUD 27300, ``Questionnaire for
HUD's Initiative on Removal of Regulatory Barriers.'' A copy of HUD's
notice entitled, ``America's Affordable Communities Initiative, HUD's
Initiative on Removal of Regulatory Barriers: Announcement of Incentive
Criteria on Barrier Removal in HUD's FY2004 Competitive Funding
Allocations'' (AACI notice) can be found on HUD's Web site at http://www.hud.gov/grants/index.cfm
.
Local jurisdictions and counties with land use and building
regulatory authority applying for funding, as well as housing
authorities, nonprofit organizations, and other qualified applicants
applying for funding for a project located in these jurisdictions, are
invited to answer the 20 questions in PART A of form HUD 27300. For
those applications in which regulatory authority is split between
jurisdictions (e.g., county and town) the applicant should answer the
question for that jurisdiction that has regulatory authority over the
issue at question. An applicant that scores at least five in Column 2
will receive one point in the NOFA evaluation. An applicant that scores
10 or greater in Column 2 will receive a total of two points in the
evaluation.
State agencies or departments applying for funding, as well as
housing authorities, nonprofit organizations and other qualified
applicants applying for funds for projects located in unincorporated
areas or areas otherwise not covered in PART A are invited to answer
the 15 questions in PART B. Under PART B an applicant that scores at
least four in Column 2 will receive one point in the NOFA evaluation.
Under PART B an applicant that scores eight or greater will receive a
total of two points in the respective evaluation. Applicants that will
be providing services in multiple jurisdictions may choose to address
the questions in either PART A or PART B for that jurisdiction in which
the preponderance of services will be performed if an award is made. In
no case will an applicant receive for this policy priority greater than
two points for barrier removal activities. An applicant that is a tribe
or tribally designated housing entity (TDHE) may choose to complete
either PART A or PART B based upon a determination by the tribe or TDHE
as to whether the tribe's or the TDHE's association with the local
jurisdiction or the state would be the more advantageous for its
application.
Note: Upon completion of all NOFA evaluations, grant selections,
and awards, it is HUD's intent to add relevant data obtained from
this evaluative factor to the database on state and local regulatory
reform actions maintained at the Regulatory Barrier Clearinghouse
Web site at http://www.huduser.org.rbc/ used by states, localities, and
housing providers to identify regulatory barriers and learn of
exemplary local efforts at regulatory reform.
Form HUD-27300 can be found in the appendix to this General
Section. 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 are encouraged to read
the March 22, 2004 and April 21, 2004, America's Affordable Communities
Initiative notice, as well as this General Section of the SuperNOFA, to
obtain an understanding of this policy priority and how it can impact
their score. HUD also will provide a satellite broadcast on this
subject as part of its SuperNOFA Training. The SuperNOFA webcast
schedule can be found on HUD's Web site at http://www.hud.gov/webcasts/index.cfm
.
Activities support strategic goals a and b.
3. Threshold Compliance. Only applications that meet all of the
threshold requirements will be eligible to be rated and ranked.
4. Corrections to Deficient Applications. After the application due
date, HUD may not, consistent with its regulations in 24 CFR part 4,
subpart B, consider any unsolicited information you, the applicant, may
want to provide. HUD may contact you to clarify an item in your
application or to correct technical deficiencies. HUD may not seek
clarification of items or responses that improve the substantive
quality of your response to any rating factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may
contact applicants to ensure proper completion of the application and
will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, a failure to submit the proper
certifications or failure to submit an application that contains an
original signature by an authorized official. In each case, HUD will
notify you in writing by describing the clarification or technical
deficiency. HUD will notify applicants by facsimile or by USPS, return
receipt requested. Clarifications or corrections of technical
deficiencies in accordance with the information provided by HUD must be
submitted within 14 calendar days of the date of receipt of the HUD
notification. (If the due date falls on a Saturday, Sunday, or federal
holiday, your correction must be received by HUD on the next day that
is not a Saturday, Sunday, or federal holiday.) If the deficiency is
not corrected within this time period, HUD will reject the application
as incomplete and it will not be considered for funding. In order to
meet statutory deadlines for the obligation of funds or for timely
completion of the review process, Program NOFAs may reduce the number
of days for submitting a response to a HUD clarification or correction
to a technical deficiency. Please be sure to carefully read each
Program NOFA for any additional information and instructions.
5. Rating Panels. To review and rate applications, HUD may
establish panels which may include persons not
[[Page 26953]]
currently employed by HUD. HUD may include these non-HUD employees to
obtain certain expertise and outside points of view, including views
from other federal agencies.
6. Rating. HUD will evaluate and rate all applications for funding
that meet the threshold requirements. HUD will consider the following
when rating your application(s):
a. Past Performance. In evaluating applications for funding, HUD
will take into account applicants' past performance in managing funds,
including, but not limited to, the ability to account for funds
appropriately; timely use of funds received either from HUD or other
federal, state, or local programs; meeting performance targets for
completion of activities and receipt of promised matching or leveraged
funds; and number of persons to be served or targeted for assistance.
HUD may consider information available from HUD's records, the name
check review, or public sources, such as newspapers, Inspector General
or Government Accounting Office Reports or Findings, or hotline
complaints that have been proven to have merit.
b. Deducting Points for Poor Performance. In evaluating past
performance, HUD may elect to deduct points from the rating score or
establish threshold levels as specified under the Factors for Award in
the individual Program NOFAs.
7. Ranking. HUD will rank applicants within each program or, for
Continuum of Care applicants, across the three programs identified in
the Continuum of Care NOFA. HUD will rank applicants only against those
applying for the same program funding.
Where there are set-asides within a program competition, you, the
applicant, will compete against only those applicants in the same set-
aside competition.
C. Anticipated Announcement and Award Dates
The individual Program NOFAs will provide the applicable
information regarding this subject.
VI. Award Administration Information
A. Award Notices
1. Negotiation. After HUD has rated and ranked all applications and
made selections, HUD may require, depending upon the program, that a
selected applicant participate in negotiations to determine the
specific terms of the funding agreement and budget. In cases where HUD
cannot successfully conclude negotiations with a selected applicant or
a selected applicant fails to provide HUD with requested information,
an award will not be made to that applicant. In such an instance, HUD
may offer an award and proceed with negotiations with the next highest-
ranking applicant.
2. Adjustments to Funding:
a. HUD reserves the right to fund less than the full amount
requested in your application to ensure the fair distribution of funds
and ensure that the purposes or requirements of a specific program are
met.
b. HUD will not fund any portion of your application that is not
eligible for funding under specific program statutory or regulatory
requirements; does not meet the requirements of this Notice; or may be
duplicative of other funded programs or activities from prior year
awards or other selected applicants. Only the eligible portions of your
application (including non-duplicative portions) may be funded.
c. If funds remain after funding the highest-ranking applications,
HUD may fund all or part of the next highest-ranking application in a
given program. If you, the applicant, turn down an award offer, HUD
will make an offer of funding to the next highest-ranking application.
d. If funds remain after all selections have been made, remaining
funds may be made available within the current fiscal year for other
competitions within the program area or held-over for future
competitions.
3. Funding Errors. In the event HUD commits an error that, when
corrected, would result in selection of an otherwise eligible applicant
during the funding round of a Program NOFA, HUD may select that
applicant when sufficient funds become available.
4. Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance and compliance actions of
funding recipients in accordance with the applicable standards and
sanctions of their respective programs.
5. Debriefing. For a period of at least 120 days, beginning 30 days
after the awards for assistance are publicly announced, HUD will
provide to a requesting applicant a debriefing related to its
application. All debriefing requests must be made in writing or by
email by the authorized official whose signature appears on the SF-424
or his or her successor in office, and submitted to the person or
organization identified as the Contact under the section entitled
``Agency Contact(s)'' in the individual Program NOFAs under which you
applied for assistance. Information provided during a debriefing will
include, at a minimum, the final score you received for each rating
factor, final evaluator comments for each rating factor, and the final
assessment indicating the basis upon which assistance was provided or
denied.
B. Administrative and National Policy Requirements
See Section III.C. of this Notice regarding related requirements.
C. Reporting
The individual Program NOFAs will identify applicable reporting
requirements related to each program, including racial and ethnic data
collection requirements based upon the OMB standards for federal data
on race and ethnicity, dated August 13, 2002. The reporting shall
include submission of a completed Logic Model indicating results
achieved against the proposed output goal(s) and proposed outcome(s)
which you stated in your approved application and agreed upon by HUD.
The submission of the Logic Model and required information should be in
accord with the reporting time frames identified in each Program NOFA.
VII. Agency Contact(s)
The individual Program NOFAs will identify the applicable agency
contacts related to each program. Questions regarding this Notice
should be directed to Dorthera (Rita) Yorkshire or Eric Gauff, in HUD's
Office of Departmental Grants Management, at 202-708-0667. Persons with
speech or hearing impairments may contact Ms. Yorkshire or Mr. Gauff
using the toll-free Federal Relay Service at 800-877-8339. Questions
regarding specific program requirements should be directed to the
agency contacts identified in each Program NOFA.
VIII. Other Information
A. Grants.gov and Pub. L. 106-107 Streamlining Activities
The Federal Financial Assistance Management Improvement Act of 1999
(Pub. L. 106-107) directs each federal agency to develop and implement
a plan that, among other things, streamlines and simplifies the
application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also
requires the Director of OMB to direct, coordinate, and assist federal
agencies in establishing (1) a common application and reporting system
and (2) an interagency process for addressing ways to streamline and
simplify federal financial assistance application and administrative
procedures and reporting requirements for program applicants.
[[Page 26954]]
HUD is working with the 26 federal grant-making agencies on
President George W. Bush's Grants.gov ``FIND and APPLY'' Initiative.
This Initiative is an effort by federal agencies to develop a common
electronic application and reporting system for federal financial
assistance. This system will provide ``one-stop shopping'' for funding
opportunities for all federal programs. This system is being developed
in response to public and government concerns that it is difficult for
organizations to know all the funding available from the federal
government and how to apply for funding. It also is an effort by the
federal government to develop common application requirements, further
streamlining the application process, making it easier for you, our
customers, to apply for funding.
The first segment of the Grants.gov Initiative focuses on allowing
the public to easily FIND funding opportunities and then APPLY via
Grants.gov. Funding decisions will still be under the control of the
federal agency sponsoring the program funding opportunity. In FY2004,
HUD is posting all of its funding notices on http://www.Grants.gov/FIND with
links to HUD's Web site for copies of the NOFA sections and form-
fillable forms which applicants can download and complete for
submission of paper copy applications. During FY2004, HUD applicants
will be able to continue to submit paper copies of their application to
HUD for funding consideration and, in fact, the paper copy will be the
official copy to submit to the Department. To find out more about
Grants.gov, please go to its Web site and look at the Tutorials and
Getting Started information. It is HUD's intent to move to a fully
electronic application system in FY2005, so becoming familiar with the
functionality of the Grants.gov Web site would benefit the applicant
community.
B. Paperwork Reduction Act Statement
The information collection requirements in this Notice have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). In accordance with the Paperwork Reduction Act, HUD may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless the collection displays a valid OMB
control number. Each Program NOFA will identify its applicable OMB
control number.
C. Authority
HUD's authority for making funding available under its FY2004
programs is identified in each Program NOFA under the section entitled
``Funding Opportunity Description.''
D. Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made for this Notice in accordance with HUD regulations at 24
CFR part 50 that implement Section 102(2)(C) of the National
Environmental Policy Act of 1969 (42 U.S.C. 4332(2)(C)). The Finding of
No Significant Impact is available for public inspection between 8 a.m.
and 5 p.m. in the Office of the General Counsel, Regulations Division,
Room 10276, Department of Housing and Urban Development, 451 Seventh
Street, SW., Washington, DC 20410-0500.
E. Executive Orders and Congressional Intent
1. Executive Order 13132, Federalism. Executive Order 13132
prohibits, to the extent practicable and permitted by law, an agency
from promulgating policies that have federalism implications and either
impose substantial direct compliance costs on state and local
governments and are not required by statute, or preempt state law,
unless the relevant requirements of section 6 of the executive order
are met. This Notice does not have federalism implications and does not
impose substantial direct compliance costs on state and local
governments or preempt state law within the meaning of the executive
order.
2. Sense of Congress. It is the sense of Congress, as published in
Division G of the Consolidated Appropriations Act, 2004 (Public Law
108-199, approved January 23, 2004), that, to the greatest extent
practicable, all equipment and products purchased with funds made
available in the Consolidated Appropriations Act, 2004, should be
American-made.
F. Public Access, Documentation and Disclosure
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992, HUD published a notice that also provides
information on the implementation of Section 102 (57 FR 1942). The
documentation, public access, and disclosure requirements of Section
102 apply to assistance awarded under individual NOFAs published as
part of HUD's SuperNOFA or thereafter, as follows:
1. Documentation, public access, and disclosure requirements. HUD
will ensure that documentation and other information regarding each
application submitted pursuant to its FY2004 NOFAs published in the
FY2004 SuperNOFA or NOFAs published thereafter, are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations (24 CFR part 15).
2. HUD Form 2880. HUD will also make available to the public for
five years all applicant disclosure reports (HUD Form 2880) submitted
in connection with an FY2004 NOFA. Update reports (also reported on HUD
Form 2880) will be made available along with the applicant disclosure
reports, but in no case for a period of less than three years. All
reports, both applicant disclosures and updates, will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations (24 CFR part 5).
3. Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR part 4 provide that HUD will publish a notice in the Federal
Register to notify the public of all funding decisions made by the
Department to provide:
a. Assistance subject to Section 102(a) of the HUD Reform Act; and
b. Assistance provided through grants or cooperative agreements on
a discretionary (non-formula, non-demand) basis, but that is not
provided on the basis of a competition.
G. Section 103 of the HUD Reform Act
HUD's regulations implementing Section 103 of the HUD Reform Act,
codified at 24 CFR part 4, subpart B apply to this funding competition.
The regulations continue to apply until the announcement of the
selection of successful applicants. HUD employees involved in the
review of applications and in the making of funding decisions are
prohibited by the regulations from providing advance information to any
person (other than an authorized employee of HUD) concerning funding
decisions or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance should confine their
inquiries
[[Page 26955]]
to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics-related questions should
contact the HUD Ethics Law Division at 202-708-3815. (This is not a
toll-free number.) The TTY number for persons with speech or hearing
impairment is 800-877-8339. HUD employees who have specific program
questions should contact the appropriate field office counsel or
Headquarters counsel for the program to which the question pertains.
H. The FY2004 HUD NOFA Process and Future HUD Funding Processes
Each year, HUD strives to improve its NOFA process. The FY2004
NOFAs have been revised based upon comments received during the FY2003
funding process. HUD continues to welcome comments and feedback from
applicants and other members of the public on how HUD may further
improve its competitive funding process. In FY2004, as part of Public
Law 106-107 streamlining efforts and the interagency eGrants
Initiative, HUD is making considerable changes to the format and
presentation of its funding notices. HUD is continually striving to
ensure effective communication with HUD program funding recipients and
potential funding recipients. HUD has been posting pertinent documents
related to these efforts on its website. HUD encourages you to visit
HUD's website on an ongoing basis to keep abreast of the latest
developments. HUD's website address for information on the Grants.gov
Initiative is http://www.hud.gov/offices/adm/grants/egrants/egrants.cfm
.
Information on Grant streamlining activities can be found at http://www.hud.gov/offices/adm/grants/pl-106107/pl106-107.cfm
.
The programs for which funding is available in the FY2004 SuperNOFA
is published simultaneously with this policy Notice and follows this
section and its appendices.
Dated: April 22, 2004.
Alphonso Jackson,
Secretary.
BILLING CODE 4210-32-P
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[[Continued on page 26991]]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
]
[[pp. 26991-27040]] Notice of HUD's Fiscal Year (FY) 2004, Notice of Funding
Availability (NOFA), Policy Requirements and General Section to the
SuperNOFA for HUD's Discretionary Programs
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COMMUNITY DEVELOPMENT TECHNICAL ASSISTANCE
Overview Information
A. Federal Agency Name. Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title. Community Development Technical
Assistance (CD-TA).
C. Announcement Type. Initial Announcement.
D. Funding Opportunity Number. The Federal Register number for this
NOFA is FR-4900-N-12. The OMB approval number for this program is 2506-
0166 for HOME Investment Partnerships Program (HOME), HOME Investment
Partnerships Program for Community Housing Development Organizations
[CHDO (HOME)], McKinney-Vento Homeless Assistance (Homeless), and
Community Development Block Grants (CDBG), 2506-0133 for Housing
Opportunities for Persons With AIDS (HOPWA), and 2506.0142 for
Youthbuild.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers. The HOME
and CHDO (HOME) CFDA numbers are 14.239; Homeless is 14.235; HOPWA is
14.241; CDBG Entitlement Grants is 14.218; CDBG for Small Cities
Program is 14.219; CDBG for States is 14.228; CDBG for Insular Areas is
14.225; CDBG--Section 108 is 14.248; Youthbuild is 14.243.
F. Dates. The application due date is July 8, 2004.
G. Additional Overview and Content Information. Applicants
interested in providing technical assistance to entities participating
in HUD's community development programs should carefully review the
General Section of the SuperNOFA and the information listed in this CD-
TA NOFA. Funds are available to provide technical assistance for six
separate program areas: HOME, CHDO (HOME), Homeless, HOPWA, CDBG, and
Youthbuild. Applicants may apply for one, two, three, four, five, or
all six CD-TA program areas. The application is contained in this CD-TA
NOFA at Section IV.B. Approximately $36.8 million is available. No cost
sharing is required. Grants will be administered under cooperative
agreements with significant HUD involvement (see Section II.C of this
NOFA).
Full Text of Announcement
I. Funding Opportunity Description
A. CD-TA Purpose. The purpose of the CD-TA program is to provide
assistance to achieve the highest level of performance and results for
six separate community development program areas: (1) HOME; (2) CHDO
(HOME); (3) Homeless; (4) HOPWA; (5) CDBG; and (6) Youthbuild.
Information about the six 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.
Please note that the Pooled Local HOME and Homeless TA (described in
Section II.A. below) are Local TA carried out in field office
jurisdictions and directed by field office GTRs and GTMs.
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 FY2004 HUD Appropriations Act. HOPWA
TA is authorized under the FY2004 HUD Appropriations Act. CDBG TA is
authorized under Title I of the Housing and Community Development Act
of 1974 (42 U.S.C. 5301-5320); 24 CFR 570.402. Youthbuild TA is
authorized under Title IV of the Cranston-Gonzalez National Affordable
Housing Act, as amended by the Housing and Community Development Act of
1992 (42 U.S.C. 12899); 24 CFR part 585.
II. Award Information
A. Available Funds. Approximately $36.8 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:
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Pooled local
Program National TA Local TA TA
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HOME......................................... $3,500,000....................... $2,845,000 $3,245,250
CHDO (HOME).................................. 1,600,000........................ 5,392,250 0
Homeless..................................... 6,600,000........................ 2,941,000 1,000,000
HOPWA........................................ 2,000,000........................ 0 0
CDBG......................................... Up to 1,500,000.................. 0 0
Youthbuild................................... 6,211,325........................ 0 0
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The Local TA funds are divided among HUD's field office
jurisdictions for the HOME, CHDO (HOME), and Homeless programs. No
Local TA funds are available for HOPWA, CDBG, or Youthbuild.
For the HOME and Homeless Local TA, field offices were given the
option to either accept applications directly for their local CD-TA
funds or to place their funds into a pooled account and choose from the
pooled account selectees. Field offices participating in the pooled
account will receive assistance from selected TA providers serving the
pooled account jurisdictions. Consequently, applicants proposing TA
services to the members of the pool must be willing to provide coverage
to all the field office jurisdictions in the pool. An applicant for
Pooled Local TA should take this requirement into account when
determining its funding request. Applicants for Pooled Local TA are
encouraged to partner with other TA providers to expand the coverage of
the application. The lead organization in the TA partnership should
submit the application reflecting the joint efforts of the TA
partnership.
The chart below shows the amounts available in dollars for Local TA
by CD-TA program:
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Pooled CHDO Pooled
Local TA area HOME HOME (Home) Homeless homeless
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Alabama.................................................. 0 165,000 48,000 0 30,000
Alaska................................................... 40,000 0 35,000 30,000 0
Arkansas................................................. 20,000 0 60,000 40,000 0
California--Northern and Arizona, Nevada................. 250,000 0 200,000 200,000 0
California--Southern..................................... 300,000 0 250,000 250,000 0
Caribbean................................................ 0 100,000 200,000 0 40,000
Colorado and Montana, North Dakota, South Dakota, Utah, 170,000 0 170,000 0 150,000
Wyoming.................................................
Connecticut.............................................. 55,000 0 55,000 40,000 0
District of Columbia area................................ 0 100,000 60,000 50,000 0
Florida--Southern........................................ 60,000 0 60,000 70,000 0
Florida--Northern........................................ 150,000 0 100,000 0 180,000
Georgia.................................................. 0 140,000 0 0 60,000
Hawaii................................................... 75,000 0 25,000 40,000 0
Illinois................................................. 0 250,000 525,000 225,000 0
Indiana.................................................. 100,000 0 230,000 0 40,000
Kansas and Missouri--Western............................. 0 50,000 50,000 0 40,000
Missouri--Eastern........................................ 85,000 0 85,000 85,000 0
Kentucky................................................. 0 150,000 150,000 60,000 0
Louisiana................................................ 0 100,000 100,000 0 40,000
Maryland, except District of Columbia area............... 0 60,000 30,000 0 60,000
Massachusetts, Maine, New Hampshire, Rhode Island, 300,000 0 250,000 300,000 0
Vermont.................................................
Michigan................................................. 250,000 0 250,000 138,000 0
Minnesota................................................ 125,000 0 125,000 125,000 0
Mississippi.............................................. 0 111,250 156,250 0 50,000
Nebraska and Iowa........................................ 0 40,000 90,000 20,000 40,000
New Jersey............................................... 0 250,000 125,000 0 80,000
New Mexico............................................... 200,000 0 200,000 50,000 0
New York--Downstate...................................... 0 200,000 150,000 310,000 0
New York--Upstate........................................ 0 85,000 70,000 0 57,000
North Carolina........................................... 0 125,000 225,000 0 80,000
Ohio..................................................... 365,000 0 290,000 180,000 0
Oklahoma................................................. 0 35,000 35,000 0 40,000
Oregon and Idaho......................................... 0 100,000 100,000 26,000 0
Pennsylvania--Eastern.................................... 0 75,000 100,000 0 75,000
Pennsylvania--Western and West Virginia.................. 145,000 0 158,000 102,000 0
South Carolina........................................... 75,000 0 0 50,000 0
Tennessee................................................ 0 150,000 150,000 60,000 0
Texas--Northern.......................................... 0 600,000 150,000 140,000 0
Texas--Southern.......................................... 80,000 0 0 50,000 0
Virginia, except District of Columbia area............... 0 75,000 50,000 0 40,000
Washington............................................... 0 84,000 35,000 0 48,000
Wisconsin................................................ 0 200,000 250,000 150,000 0
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B. Performance Period. The awards are 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 of
the SuperNOFA, 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
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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, HOPWA, and CDBG;
and
e. For CHDO (HOME) TA providers, secure a letter from a PJ stating
that a CHDO, or prospective CHDO to be assisted by the provider, is a
recipient or intended recipient of HOME funds and indicating, at its
option, subject areas of assistance that are most important to the PJ.
2. Training. When conducting training sessions as part of its CD-TA
activities, CD-TA providers are required to:
a. Design the course materials as ``step-in'' packages so that HUD
or other CD-TA providers may independently conduct the course on their
own;
b. Make the course materials available to the GTR in sufficient
time for review (minimum of three weeks) and receive concurrence from
the GTR on the content and quality prior to delivery;
c. Provide all course materials in an electronic format that will
permit wide distribution among TA providers, field offices, and HUD
grantees;
d. Arrange for joint delivery of the training with HUD
participation when requested by the GTR;
e. Deliver HUD-approved training courses that have been designed
and developed by others on a ``step-in'' basis when requested; and
f. Send trainers to approved ``train-the-trainers'' sessions. The
costs associated with attending these required sessions are eligible
under the cooperative agreement.
3. Field Office Involvement under National TA awards. When National
TA providers are undertaking activities in field office jurisdictions,
the National TA providers must work cooperatively with HUD field
offices. Providers must notify the applicable HUD field office of the
planned activities; consider the views or recommendations of that
office, if any; follow those recommendations, to the degree
practicable; and report to the applicable field office on the
accomplishments of the assistance.
III. Eligibility Information
A. Eligible Applicants. The eligible applicants for each of the six
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 community organizations in the CD-TA programs.
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Program Eligible applicants
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HOME..................... A for-profit or nonprofit professional and
technical services company or firm that has
demonstrated knowledge of the HOME program
and the capacity to provide technical
assistance services;
A HOME Participating Jurisdiction (PJ);
A public purpose organization, established
pursuant to state or local legislation,
responsible to the chief elected officer of
a PJ;
An agency or authority established by two or
more PJs to carry out activities consistent
with the purposes of the HOME program; or a
national or regional nonprofit organization
that has membership comprised predominately
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.
CDBG..................... A state;
A unit of general local government;
A national or regional nonprofit organization
that has membership comprised predominately
of entities or officials of entities of CDBG
recipients;
A for-profit or nonprofit professional and
technical services company or firm that has
demonstrated knowledge of the CDBG program
and the capacity to provide technical
assistance services; or
A public or private nonprofit or for-profit
organization, including educational
institutions and area-wide planning
organizations.
Youthbuild............... A public or private nonprofit agency that has
significant prior experience in the
operation of projects similar to the
Youthbuild program and that has the capacity
to provide effective technical assistance.
------------------------------------------------------------------------
Applicants must also meet the threshold requirements of the General
Section of the SuperNOFA, including the Civil Rights threshold at
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,
consultants, 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. This draws upon local expertise and
persons familiar with the opportunities and resources available in the
area to be served while reducing travel and other costs associated with
delivering the proposed TA services.
B. Cost Sharing or Matching. None.
C. Other:
1. Eligible Activities and Priorities. Funds may be used to provide
TA to prospective applicants, applicants, grantees, and project
sponsors of the
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HOME, CHDO (HOME), Homeless, HOPWA, CDBG, and Youthbuild programs. The
TA activities may include but are not limited to written information
such as papers, manuals, guides, and brochures; assistance to
individual com