Item C41BOARD OF COUNTY COMMISSIONERS
AGENDA ITEM SUMMARY
Meeting Date: September 21. 2011
Bulk Item: Yes x No
Division: OMB
Department: Grants
Staff Contact Person/Phone #: Lisa Tennyson 4444
AGENDA ITEM WORDING: Ratify submission of application to U.S. Department of Housing and
Urban Development ("HUD") for approximately $2.7 million in grant funds for the Sustainable
Community Challenge Grant (with no cash match.)
ITEM BACKGROUND: HUD has made available $28,000,000 available for the Community
Challenge Planning Grant Program. The due date for the grant application is September 16, 2011,
prior to the September BOCC meeting. Since there was no cash match, we have submitted the grant
and now ask for ratification of the submission. The NOFA is attached. (At the time of agenda
deadline, the application was not ready; but a draft will be ready for the revised agenda.)
The grant application will consist of the following deliverables: (1) development of data and a
climate adaptation planning process; (2) strategic policy and program development on enhancing the
affordability, sustainability and livability of existing communities; (3) community scale energy
strategies to develop new affordable approaches to manage energy use, reduce greenhouse gas
emissions and increase renewable energy deployment; (4) a public outreach and participation strategy
to gain insights removing barriers and communicate effectively with the County's diverse population;
(5) implementation strategy and (6) a clear monitoring and tracking key performance indicator tool.
The grant also includes funds for administration and compliance with grant requirements. There is no
cash match but a 20% in -kind match is required. Since the grant will add to and enhance elements of
our Comprehensive Plan to promote sustainability and provide funds to potentially develop new energy
conservation strategies, we are using, as match, County funding to update the Comprehensive Plan.
PREVIOUS RELEVANT BOCC ACTION:
CONTRACT/AGREEMENT CHANGES: NA
STAFF RECOMMENDATIONS: Approval
TOTAL COST: $2.7M (approx.) INDIRECT COST: BUDGETED: Yes _No _
COST TO COUNTY:
SOURCE OF FUNDS:
REVENUE PRODUCING: Yes No AMOUNT PER MONTH Year
APPROVED BY: County Atty _IB/Purchasing Risk Management
DOCUMENTATION: Included Not Required
DISPOSITION: AGENDA ITEM #
Revised 1/09
[Docket No. FR-5500-N-01]
Notice of HUD's Fiscal Year (FY) 2011 Notice of Funding Availability (NOFA)
Policy Requirements and General Section to
HUD's FY2011 NOFAs for Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's FY2011 NOFA Policy Requirements and General Section to
HUD's FY2011 NOFAs for Discretionary Programs (notice).
SUMMARY: This notice provides prospective applicants for HUD's competitive funding with
the opportunity to become familiar with the General Section of HUD's FY2011 NOFAs, in
advance of publication of any FY2011 NOFAs. It also describes HUD's policy priorities based
on its Strategic Plan for FY2010-2015, as well as submission requirements for FY2011.
HUD's Policy Priorities
In FY2010, HUD published its Strategic Plan for FY2010-2015, which defined a new set
of policy and organizational priorities for the Department. The plan provides the direction and
focus of HUD in achieving its mission: create strong, sustainable, inclusive communities and
quality, affordable homes for all. It proposes to accomplish this through five core goals, to:
1. Strengthen the Nation's Housing Market to Bolster the Economy and Protect Consumers
2. Meet the Need for Quality Affordable Rental Homes
3. Utilize Housing as a Platform for Improving Quality of Life
4. Build Inclusive and Sustainable Communities Free from Discrimination
5. Transform the Way HUD Does Business
For FY2011 HUD is retaining the same focus and policies for its NOFAs. More
information on HUD's Strategic Plan for FY2010-2015 is provided in Section I.B. and C.
In FY2011 HUD is seeking grant applications for its competitive programs that will
further the achievement of HUD's Strategic Plan goals and policy priorities. Below is the list of
the cross -cutting policy priorities for FY2011. Each program NOFA will identify the policy
priorities most applicable to the program. In selecting the policy priorities to be addressed, the
program NOFA will also include the point value assigned to each policy priority listed.
HUD's FY2011 Policy Priorities are:
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TABLE 0PCONTENTS
(]\/EB\/D5W INFORMATION ----------------------------------6
A. Federal Name: ..........................................................................................................
h
B. Funding Opportunity Title: ...................................................................................................
6
C. Announcement Tvnu------------------------------------
d
D. Funding Opportunity Number: ..............................................................................................
6
G. Catalog ofFederal Domestic Assistance (CF[*\)Number: .................................................
h
P.Dates: .....................................................................................................................................
6
FULL TEXT ()F ANNOUNCEMENT ................................................... ......................................
6
[ Funding Opportunity Description -------------------------------..0
A.Policy Priorities and Requirements.......................................................................................
6
B.Po|'cy Priorities ......................................................................................................................
7
C.Bl]D`nFY2O|O -2015 Strategic Plan and Goals toCreate Strong, Sustainable, Inclusive
Communities and Quality Affordable Homes for All --------------------.L6
D.Award Information ...................................................................................................................
l8
D[Eligibility Information ............................................................................................................
l8
A. Eligible Applicants .............................................................................................................
l8
B. Cost Sharing or --------------------------------..|8
[.(}tbcr Requirements and Procedures Applicable toAll Programs. .....................................
|9
[V. Application and Submission Information ..............................................................................
34
A.Addresses toRequest Application Package ........................................................................
34
B.Content and Form of Application Submission ....................................................................
35
C. Receipt Dates and Times .....................................................................................................
49
D. Intergovernmental Review/State Points ofContact (SP()[)...............................................
6O
EOther Submission Requirements ------------------------------6|
V. Application Review Information ............................................................................................
U3
A.Criteria .................................................................. .............................................................
U3
B.Reviews and Selection Process ...........................................................................................
67
LAnticupu1cd Announcement and Award Dates ....................................................................
69
VI. Award Administration Information .......................................................................................
64
2
1. Job creation
Activities sustain economic development in low-income communities and job creation
opportunities for low-income residents of HUD -assisted housing beyond the length of the
program.
2. Sustainability
Activities actively promote sustainability through energy -efficient, environmentally friendly,
healthy design, including elements of visitability and universal design. For applicable projects,
regional- or metropolitan -level strategies are employed to increase location efficiency and
disaster resiliency.
3. Affirmatively furthering fair housing
Activities affirmatively further fair housing, actively preventing discrimination because of
race, color, national origin, sex, religion, disability, or familial status. Activities will reduce
racial segregation and concentration of poverty, employing regional- or metropolitan -level
strategies, when applicable.
4. Capacity building and knowledge sharing
Activities strengthen the capacity of state and local government and nonprofit partners to
implement HUD programs, coordinate on cross -programmatic, place -based approaches, and
encourage ongoing communication.
5. Using housing as a platform for improving other outcomes
Programs thoroughly connect HUD assistance to other federal agency programs and benefits
in efforts to improve outcomes such as the health, education, safety, and/or economic outcomes
of target populations.
6. Expand cross -cutting policy knowledge
Data tracking efforts integrate housing and community development data with data about
outcomes such as health, education, safety, self sufficiency, transportation, and sustainability.
Beyond measuring program impacts, analysis of the activities will add to the existing body of
policy knowledge through collaboration with other public agencies and/or universities.
More detailed descriptions of the requirements that applicants must meet to be awarded points
for these policy priorities is provided in Section I.B. of this notice.
In FY2011, HUD plans to publish its NOFAs as they are approved for publication. To
assist applicants in planning for FY2011 funding opportunities and the use of those funds in a
coordinated manner, HUD will publish a list of programs available in FY2011 on its website at
'ces,/adiiinistration/2rants,'f'u,nds t ' 11
after a final appropriations bill is enacted. Any amendment to this General Section or program
NOFAs will be posted on wwk,—G-ants.gov as a Technical Correction. Applicants are urged to
sign up for the funding opportunity notification subscription service at
I/ err%appli atr� bii,j to receive any changes to this General
Section or to HUD's FY2011 NOFAs.
Submission Information
Applicants are advised to become familiar with the requirements of this General Section
and the following submission requirements:
• The General Section and Program Sections comprise the NOFA instructions. Applicants
are also advised to provide copies of the General Section to all persons that will be
working on the application.
HUD requires that applicants apply electronically via Grants.gov, which requires advance
registration and annual updates. See Section IV. of this notice for more information.
However, please note that the Continuum of Care application is submitted through the
HUD eSNAPS system, not Grants.gov.
FOR FURTHER INFORMATION CONTACT: For further information on HUD's FY2011
Policy Requirements and General Section, contact the Office of Departmental Grants
Management and Oversight, Office of Administration, Department of Housing and Urban
Development, 451 7th Street, SW, Room 3156, Washington, DC 20410-5000, telephone number
202-708-0667. This is not a toll -free number. Persons with hearing or speech impairments may
access this number via TTY by calling the Federal Information Relay Service at 800-877-8339.
SUPPLEMENTARY INFORMATION: To help applicants with electronic application
registration and submission, HUD advises applicants to use the help features on the Dun and
Bradstreet (D&B), Central Contractor Registration (CCR) and Grants.gov sites. These sites all
have User Guides and Frequently Asked Questions which are updated on an ongoing basis.
HUD believes that early publication of the General Section is beneficial to prospective applicants
by providing advance notice of the Department's policy orientation for FY2011 including
strategic goals, policy priorities, threshold requirements and other requirements applicable to
almost every individual NOFA published by the Department. The General Section and Program
Sections together comprise the entirety of the NOFA instructions.
HUD hopes that the information in this General Section is helpful to you.
<° P .
Dated:
Ron Sins
Deputy Secretary°
[FR-5500-N-011
B. Administrative and National Policy Requirements .........................
C. Reporting.........................................................................................
VII. Agency Contact(s) .............................................................................
VIII. Other Information............................................................................
A. Public Law 106-107, Streamlining Activities and Grants.gov . ......
B. Grants.gov.......................................................................................
C. HUD -IRS Memorandum of Agreement ..........................................
D. Paperwork Reduction Act Statement ..............................................
E. Environmental Impact.....................................................................
F. Executive Orders and Congressional Intent ....................................
G. Public Access, Documentation, and Disclosure ..............................
H. Section 103 of the HUD Reform Act ..............................................
5
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APPENDIXA............................................................................................................................... 79
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 Notices of Funding Availability (NOFAs) published
during FY2011.
C. Announcement Type: Initial announcement of the general policy requirements that apply to
all HUD federal financial assistance NOFAs for FY2011.
D. Funding Opportunity Number: FR-5500-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number:
A CFDA number is provided for each HUD federal financial assistance program. When
using "Apply Step 1" on the Grants.gov website to download an application, you will be asked
for the CFDA number. Please refer to the CFDA number in the Grants.gov synopsis of the
programs for which you wish to apply. The CFDA number is a key data element used for the
application search feature of Grants.gov. Use only the CFDA number, the Funding Competition
Identification Number, or the Funding Opportunity Number, when searching Grants.gov. Using
more than one of these items will result in an error message indicating that the opportunity
cannot be found.
F. Dates:
The deadline dates that apply to the federal financial assistance made available through
HUD's FY2011 NOFAs will be found in the published NOFAs.
FULL TEXT OF ANNOUNCEMENT
I. Funding Opportunity Description
A. Policy Priorities and Requirements.
This notice describes HUD's FY2011 policy priorities and requirements applicable to all
of HUD's NOFAs published in FY2011. The General Section provides overall guidance and
direction to applicants regarding HUD's Policy Priorities and their relationship to HUD's
Strategic Goals as stated in the Department's Strategic Plan for FY2010-2015. For detailed
information on HUD's Strategic Plan for FY2010-2015 go to
t,;`;'rtl.Fno.«,/ crl,lnacl of l t% rr ottices/cc--tcztrt�1,ll. Taken together,
HUD's Strategic Plan for FY2010-2015 and HUD's Policy Priorities set forth a roadmap of
actions to help transform communities through the implementation of HUD's programs. Each
program NOFA will contain specific activities, requirements, policy priorities, and outcomes or
measures of success that will be used to evaluate submitted applications. In each case, the
outcomes described in the program NOFA will support the measures of success described in
HUD's Strategic Plan. Each program NOFA will also describe additional procedures and
requirements that apply to the individual program NOFAs, including a description of the eligible
applicants, eligible activities, threshold requirements, factors for award, variations from the
General Section requirements, and any additional program requirements or limitations. To
adequately address all of the application requirements for any program for which you intend to
apply, please carefully read and respond to both this General Section and the individual program
NOFAs.
B. Policy Priorities.
In FY2011, HUD is encouraging applicants to undertake programs and projects that align
with HUD's Strategic Plan (See Section LC) and the following cross -cutting departmental Policy
Priorities. Applicants that propose to undertake activities that result in the achievement of the
specific Policy Priorities are eligible to receive policy priority points in the rating of their
application. Each NOFA shall have a minimum of two Policy Priorities applicable to the
program in the NOFA for which points can be obtained. The total number of points available for
policy priorities is a maximum of five points per NOFA. Each program NOFA shall specify the
applicable Policy Priorities and the number of points allocated to each policy priority and
specific criteria that must be addressed to earn the points.
1. Job Creation/Employment
Significant HUD funds are invested in programs that create jobs and promote economic
development. HUD provides its grantees with opportunities to focus on job creation and entry-
level career opportunities for those that receive federal housing assistance. With the
unemployment rate at 9 percent in January 2011, it is imperative that HUD encourage grant
funds to be used as a catalyst for workforce development, particularly among low-income
populations and communities that leverage HUD assistance and other federal assistance. HUD's
FY2010-2015 Strategic Plan focuses on this job creation priority prominently in Goals 3 and 4
(See Section I.C.). Specifically, Subgoal 3C promotes "utilizing HUD assistance to increase
economic security and self-sufficiency," while Subgoal 4A emphasizes HUD's goal to "catalyze
economic development and job creation, while enhancing and preserving community assets."
HUD seeks to fund grantees that undertake activities to create jobs and further local
economic development, particularly for low-income populations and communities. These
activities should be more comprehensive than those required to meet HUD's Section 3
requirements. Some of the strategies grantees might focus on, as described in HUD's Strategic
Plan, include:
a. Improving access to job opportunities through information sharing, coordination with federal,
state, and local entities, and other means (Subgoal 3C);
b. Increasing access to job training, career services, and work support through coordination with
federal, state, and local entities (Subgoal 3C); and
c. Expanding economic and job creation opportunities for low-income residents and creating
better transportation access to those jobs and other economic opportunities by partnering with
federal and nonprofit agencies, private industry, and planning and economic development
organizations and by leveraging federal and private resources (Subgoal 4A).
Of particular interest is a focus on access to skills training and partnerships with
community -based organizations to develop pathways to career -ladders for low-income
populations. Beyond creating construction, housing production, and green industry jobs for low-
income residents, applicants should focus efforts on providing mechanisms to ensure that low-
income populations have long-term access to the new opportunities created. HUD is interested
in creating sustainable community benefits for low-income residents of HUD -assisted housing.
HUD seeks to measure successful outcomes beyond just the number of jobs created.
HUD emphasizes the importance of skills -training access and long-term (12 to 24 months) job
retention strategies, along with the numbers of persons who are in long-term employment career
ladders resulting from grant activities. To receive policy priority points, grantees will be
expected to identify anticipated outcomes such as:
(1) Organizational partnership capacity -building and sustainability planning: Identify the
linkages grantees intend to undertake with local workforce investment boards; one -stop career
centers; business associations; community -based organizations, including faith -based
organizations; labor unions; private developers; philanthropy; and/or nonprofit intermediaries to
ensure that any ongoing jobs created by the HUD -funded project continue to be available to low-
income populations. Identify existing government funding streams and new funding streams
developed through public -private collaboration.
(2) Quality and career potential of jobs created: Identify the types of jobs that trainees
and career ladder jobs residents were being trained to obtain, the courses or training offered, and
the duration of the training for each course and of the training period as a whole. Identify the
number of low-income persons expected to be trained and to attain the skills needed to obtain a
job, and of those jobs the number that were career -ladder jobs during the period of performance
of the award, and including the number of residents expected to retain the jobs during the period
of performance and for a 12 to 24 month period after the period of performance under the award.
Full Time Equivalent Employment (FTE) is based upon a 40 hour work week. The report should
also include the average income per job attained. Identify job quality standards and career paths
developed to improve wages and benefits for low -wage and low -skilled workers.
(3) Support services and retention: Identify the number and types of supportive services
provided to the residents to enable them to obtain the training, obtain and retain the jobs created,
or employment opportunity provided through linkages created under the HUD award.
(4) Minority- and women -owned business creation: Identify any "employee -owned"
business models developed to foster minority and women owned business development.
Each NOFA will specify the specific outputs and outcomes related to job creation/employment
that applicants should include in their application to receive the policy priority points, as well as
the outcome measures they will beexpectedto report on as apart of their required reports to
HUD, if they are selected for award. To ensure the privacy of the individuals employed,
grantees will be reporting aggregate numbers for jobs created and persons employed, not client -
level data.
2. Sustainability. Recognizing the fundamental role that HUD's investments play in defining the
physical form of communities and quality of life for residents, HUD encourages its grantees to
help communities embrace a more sustainable future. To HUD, sustainability means ensuring
that the land that we build on is clean or will be clean; the investments we make in
neighborhoods help residents lead healthy, safe, affordable, and productive lives; the buildings
we invest in are energy efficient and healthy; and the regions we support improve their economic
strength and provide opportunities for all residents.
HUD's FY2010-2015 Strategic Plan highlights sustainability in Goal 3 and all of Goal 4
(See Section I.C). In particular, HUD seeks in Subgoal 4B to "promote energy -efficient
buildings and location -efficient communities that are healthy, affordable, and diverse" and in
Subgoal 3B to "utilize HUD assistance to improve health outcomes." In Subgoal 4A HUD
strives to "catalyze economic development and job creation, while enhancing and preserving
community assets," increasing viability of communities; while in Subgoal 4C HUD seeks to
"ensure open, diverse, and equitable communities" that are viable for all. In Subgoal 4D, HUD
seeks to "facilitate disaster preparedness, recovery, and resiliency" as a key to long-term
sustainability, and in Subgoal 4E to "build the capacity of local, state, and regional public and
private organizations" that can plan for a successful future.
HUD seeks grantees that envision and work toward sustainable communities, and
provides a number of strategies to do so in the Strategic Plan:
a. Promote and preserve community assets including small businesses, fresh food markets, parks,
hospitals, and quality schools by incentivizing comprehensive and inclusive local economic
development planning (Subgoal 4A);
b. Give consumers more information about the true cost of living by incorporating both housing
and transportation costs into measures of affordability (Subgoal 413);
c. Improve residents' health and safety, particularly that of children and other vulnerable
populations, by promoting green and healthy design, construction, rehabilitation, and
maintenance of housing and communities (Subgoal 413);
d. Support and promote an energy -efficient, green, and healthy housing market by retrofitting
existing housing, supporting energy -efficient new construction, improving home energy labeling,
and promoting financing products that reduce the carbon footprint of non -HUD -supported
residential buildings (Subgoal 413);
e. Reduce energy consumption and incorporate green building practices in the design and
operation of HUD -supported affordable housing (Subgoal 413);
f. Promote coordinated planning, integrating federal resources, and targeting technical assistance
at the local, state, and regional levels for sustainable housing and communities (Subgoal 4B);
g. Promote the design and construction of buildings and communities that are accessible and
visitable by people with disabilities (Subgoal 4C);
h. Promote the use of climate -resilient and disaster -resistant building design, construction, and
siting (Subgoal 4D); and
i. Encourage metropolitan and regional focus in planning and community development (Subgoal
4E).
10
To receive points for this policy priority, applicants must go beyond the basic minimum
requirements of the NOFA to which they are applying, and must commit to incorporate into their
proposed activities the appropriate Livability Principles described by the Partnership for
Sustainable Communities, which includes HUD, the Department of Transportation, and the
Environmental Protection Agency. These activities include: metropolitan regional plans,
neighborhood plans, infrastructure investments, site plans, or architectural plans, so that resulting
development or reuse of property takes into account the impacts of the development on the
community and the metropolitan region, consistent with sustainable development as expressed in
the Livability Principles, as follows:
(1) Provide More Transportation Choices. Develop safe, reliable, and economical
transportation choices to decrease household transportation costs, reduce our Nation's
dependence on foreign oil, improve air quality, reduce greenhouse gas emissions, and promote
public health.
(2) Promote equitable, affordable housing. Expand location - and energy -efficient
housing choices for people of all ages, incomes, races, and ethnicities to increase mobility,
improve access to jobs, expand educational opportunities, and lower the combined cost of
housing and transportation.
(3) Enhance Economic Competitiveness. Improve economic competitiveness through
reliable and timely access to employment centers, educational opportunities, services, and other
basic needs of workers, as well as expanded business access to markets.
(4) Support Existing Communities. Target federal funding toward existing
communities —through strategies like transit -oriented, mixed -use development, and land
recycling —to increase community revitalization and the efficiency of public works investments
and to safeguard rural landscapes.
(5) Coordinate Policies and Leverage Investment. Align federal policies and funding to
remove barriers to collaboration, leverage funding, and increase the accountability and
effectiveness of all levels of government to plan for future growth, including making smart
energy choices, such as locally generated renewable energy.
(6) Value Communities and Neighborhoods. Enhance the unique characteristics of all
communities by investing in healthy, safe, and walkable neighborhoods —rural, urban, or
suburban.
All applicants must demonstrate the direct impact of their program as described in the
specific NOFA to which they are applying. Specific outcomes will be identified in individual
program NOFAs. To receive points for this policy priority, applicants must produce activities
that exceed requirements of the NOFA to which they are applying, detailing how they will
achieve outcomes in areas such as:
(a) Neighborhood Sustainability Standards. Identify projects or activities consistent with
adoption of LEED 2009 for Neighborhood Development (LEED-ND) Rating System or a similar
neighborhood sustainability standard.
ll
(b) Combined Housing; and Transportation Cost Burden. Prioritize the reduction of the
proportion of residents in the affected project area or development who will face a combined
housing and transportation cost burden of 45 percent their of average household income.
Estimate the proportion of residents of the affected project area or development currently facing
this cost burden (based on a calculator such as the Center for Neighborhood Technology's
calculator located at h p hht indo x.ct.orLi) and estimate the proportion of residents who will
have their cost burden reduced below 45 percent as a result of actions undertaken by the grantee.
(c) Energy Efficiency and Green Development. Identify the number of buildings or units
that will be built or rehabilitated to a recognized green building rating standard by utilizing one
of several recognized green rating programs for new construction or substantial rehabilitation,
including such programs as the Energy Star Plus Indoor Air Package or Energy Star Advanced
New Home Construction; Enterprise Green Communities Initiative; the NAHB Green Building
Standards; LEED for Homes (for single family); LEED New Construction (for multifamily or
commercial development); as well as regionally or locally recognized green standards such as
Earthcraft or Built Green.
(d) Healthy Design. Identify the number of buildings that will be built or rehabilitated
incorporating healthy design features that meet or exceed the mandatory requirements identified
in a green building standard such as the Enterprise Green Communities "Healthy Living
Environment" criteria (Category 7) or similar requirements in other national or locally
recognized green rating programs.
(e) Universal Design/Visitability. Identify the number of disability -accessible proposed
housing projects, retail establishments, and/or community facilities to be created or rehabilitated
incorporating universal design or visitability standards and which exceed accessibility
requirements. Universal design is the design of the living environment to be usable by all people
regardless of ability. More information about universal design can be found at
N i -versaldes i n.orgi).
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
(hq ' kv N vi sit b31it,�,orgl).
(0 Measuring energy efficiency. Identify how you will collect and utilize data about
energy load, usage, and costs in a systematic fashion to set energy reduction goals and manage
energy use in your property/properties.
3. Affirmatively Furthering Fair Housing (AFFH)
HUD is interested in funding housing and community development activities that afford
residents an opportunity to live in a variety of neighborhoods and not be confined to affordable
housing choices in areas of high poverty or areas that are not racially or ethnically diverse.
Recognizing that housing and community development efforts must address a complex network
12
of social and economic factors in order to promote more diverse, inclusive communities, HUD
seeks to encourage its grantees to undertake comprehensive and innovative strategies to
affirmatively further fair housing.
As HUD's strategic plan notes, an inclusive community is one in which all people have
access to quality housing, education, employment opportunities, health care, and transportation.
Many of the neighborhoods hit hardest by the economic and housing crisis —those with the
highest rates of foreclosure and job loss —are racially isolated, with the poorest quality schools,
limited access to economic opportunity, the longest commuting time to jobs, and the most homes
that pose health risks. Strategies to affirmatively further fair housing are included throughout
HUD's Strategic Plan. In particular, HUD seeks, in Subgoal 4C, to "ensure open, diverse, and
equitable communities" and in Subgoal 2D to "expand families' choice of affordable rental
homes located in a broad range of communities" (See Section LC).
To earn full points for this policy priority, applicants must go beyond the minimum
affirmatively furthering fair housing requirements of the NOFA to which they are applying.
Each NOFA will specify the activities applicants should undertake in order to receive full points.
A few possible strategies to meet the objective of this policy priority, as described in the
Strategic Plan, include, but are not limited to:
a. Regional coordination of affirmatively furthering fair housing plans, including such activities
as developing regional analyses of impediments (Subgoal 2D);
b. Regional strategies to reduce racially segregated living patterns and other effects of formerly
de jure segregated public or assisted housing in metropolitan areas with a year 2000 dissimilarity
index of 70 or higher and where the minority population is at least 20,000. See,
http://www.censusscope.org/us/rank_dissimilarity_white_black.html. (Subgoal 4C or 2D);
c. Decreasing the concentration of poverty and racial segregation in neighborhoods and
communities through strategic targeting of resources (Subgoal 4C); and
d. Promoting visitability for persons with disabilities in single-family housing (Subgoal 4C)
To receive points for this policy priority, an applicant must demonstrate a history of
success at affirmatively furthering fair housing, including a description of measurable outcomes
the applicant has achieved. The applicant must also go beyond the requirement to affirmatively
further fair housing by outlining a set of specific activities and measurable outcomes to improve
upon their history of affirmatively furthering fairhousingand achieve improved results. To
receive points for this policy priority, an applicant must not only identify the specific activities to
be undertaken to solve identified problems, but also identify the quantifiable outcomes that the
grantee will measure in order to track the progress of these efforts. Applicants must explain how
they will collect baseline and outcome data, and they must provide evidence of capacity to
collect and interpret this data.
To receive full points for this policy priority, grantees will be asked to detail how they
will achieve outcomes in areas such as:
13
(1) Racial Segre a tion: Identify decreases in the concentration of racial segregation in
housing developments, neighborhoods, or communities.
(2) Vestiges of De Jure Segregation: Identify regional plans that result in more integrated
living patterns and reduce or eliminate other effects of formerly de jure segregated public or
assisted housing, in regions with a high segregation index.
(3) Mixed-Incomc Communities of Opportunity: Identify increases in the number of HUD -
assisted households in mixed -income low -poverty communities with access to employment and
educational opportunities, transportation, and essential goods and services.
(4) Concentration of Poverty: Identify increases in the number of HUD -assisted households
living outside neighborhoods of concentrated poverty.
4. Capacity Building and Knowledge Sharing
HUD recognizes that successful program implementation can occur only in partnership
with effective grantees. Working with our partners to expand the affordable housing and
community development field and align programs is fundamental to building resiliency in
difficult economic times. It is therefore critical to strengthen the capacity of HUD's partners --
local and state governments and nonprofit entities. Capacity building is the development of core
skills within partner organizations to organize, manage, implement, and raise capital for
community development and affordable housing projects and to provide one-on-one, place -based
assistance to implement projects. Increased technical capabilities and knowledge sharing will
allow HUD's partners to participate in decision making and planning processes, coordinate on
cross -programmatic, placed -based approaches, and ensure that expertise is institutionalized.
Capacity building is featured in HUD's Strategic Plan for FY2010-2015, Goal 4 (See Section
I.C). Specifically, Subgoal 4E reads, "Build the capacity of local, state, and regional public and
private organizations."
HUD seeks to fund grantees that undertake activities that build enduring capacity of
partners and mechanisms for knowledge sharing. Some of the strategies grantees might focus
on, as described in HUD's Strategic Plan, include:
a. Develop, target and deliver technical assistance for increasing affordability in areas
experiencing increased rental costs due to development (Subgoal 2D);
b. Strengthen the capacity of state and local partners, including governments and nonprofit
organizations, to implement HUD programs, participate in decisionmaking and planning
processes, and coordinate on cross -programmatic, place -based approaches through grantmaking
and technical assistance (Subgoal 4E); and
c. Support knowledge sharing and innovation by disseminating best practices, encouraging peer
learning, publishing data analysis and research, and helping to incubate and test new ideas
(Subgoal 4E).
All grantees must demonstrate the direct impact of their programs as described in the specific
NOFA to which they are applying. To receive additional points for this policy priority, grantees
must go beyond these requirements. The grantee must detail how the lead applicant(;) or the
14
applicant(s) responsible for program implementation will provide knowledge -
sharing experiences to their applicant partners in program design and implementation processes
that will provide long-term benefits and increase capacity. To receive policy priority points,
grantees will be expected to identify outcomes such as:
(1) Increased skills and expertise: Identify activities that will result in partner organizations
gaining skills and technical expertise in the grant subject matter and managing federal awards,
including financial management, project management, and program performance assessment and
evaluation. Applicants awarded points under this policy priority will be expected to demonstrate
the skills gained by these partners during the life of award and means of measuring increased
capacity (i.e., needs assessments, evaluations, etc.)
(2) Knowledge sharing and coordination: Demonstrate that key personnel for the
grant/partner responsible for implementation of work with identified partner personnel to
ensure knowledge sharing in the key areas related to the success of the grant. Demonstrate that
personnel engage in coordinating cross -programmatic, placed -based approaches.
Individual program NOFAs will specify the outputs and outcomes related to capacity building
and knowledge sharing that applicants should include in their application to receive the policy
priority points, as well as the outcome measures they will be expected to report on as a part of
their required reports to HUD, if they are selected for award.
5. Using Housing as a Platform for Improving Other Outcomes
HUD believes that no child's life chances should be determined by the neighborhood
where their family resides. Through interagency partnerships at the federal, state, and local
levels, HUD will utilize housing as a platform for coordinating a variety of services to improve
other critical and interconnected resident and community outcomes. In turn, HUD seeks to
encourage grantees to undertake collaborations with public, private, nonprofit, and community -
and faith -based organizations to improve education, health, economic, and public safety
outcomes. These activities are particularly critical to supporting special populations, such as
low- and very -low income households, elderly individuals, persons with disabilities, persons and
families who are homeless or at risk of homelessness, persons with HIV/AIDS, returning
veterans, and others facing significant barriers to obtaining and maintaining housing. In HUD's
Strategic Plan, this policy priority is addressed in all of Goal 3, "Utilize Housing as a Platform
for Improving Quality of Life," which seeks to connect HUD assistance to improve outcomes in
education, early learning and development, health, economic security and self-sufficiency,
housing stability through supportive services for vulnerable populations, and public safety.
To earn points for this policy priority, grantees must go beyond the minimum
requirements of the NOFA to which they are applying. Each NOFA will specify the activities
applicants should include in their application in order to receive the policy priority points.
Possible strategies to meet the objective of this policy priority, as described in the Strategic Plan,
include, but are not limited to:
a. Increasing access to high quality early learning programs and services through
coordination with local programs (Subgoal 3A),
15
b. Providing physical space to co -locate healthcare and wellness services with housing (e.g.,
on -site health clinics) (Subgoal 313),
C. Increasing access to public benefits (such as Temporary Assistance for Needy Families
and Supplemental Security Income) through outreach and other means (Subgoal 3C);
d. Maintaining or improving the physical environment and design of HUD -assisted
residences, giving attention to physical safety and crime prevention (Subgoal 3E); and
e. Providing mobility counseling to increase access to neighborhoods of opportunity
(Subgoal 2D).
Applicants will be asked to identify measures of success for selected strategies, such as, but
not limited to, the following outputs:
(1) Early childhood enrollments: Identify increases in the number of assisted households
with school -aged children enrolled in high performing early childhood programs.
(2) Public benefits enrollments: Identify increased take-up rates of a range of public benefits,
including Temporary Assistance for Needy Families (TANF), Supplemental Security
Income (SSI), Special Needs Assistance Programs, and other programs.
(3) Health services enrollments: Identify increases in the number of enrollments in mental
health and substance abuse programs, as well as in other health programs.
Moreover, grantees will be asked to provide evidence of improved coordination and
information sharing with relevant partner organizations. Each NOFA will specify the related
outputs applicants will be expected to track. To receive the points for this policy priority,
applicants will be expected to identify the target population(s) to be served, the baseline from
which improvements are to be measured, the anticipated impact outcome, the related activity,
and measurements to be used to gauge the positive change. During the course of the award, the
grantee will be expected to report progress in meeting the expected goals.
6. Expand Cross -Cutting Policy Knowledge
HUD recognizes that healthy, vibrant communities succeed through a combination of
housing, jobs, schools, safety, transportation, and other amenities. Successful programs often
have impacts that extend beyond the immediate goals, and vary according to specific local
conditions. Taking successful models to other communities requires quantitative evidence of
which policies work and how they work, and public dissemination of this information. HUD's
experience is that many local organizations and governments collect administrative data as part
of their regular operations. Policymakers at all levels could benefit from this rich data that
HUD's grantees collect, and HUD encourages applicants to collaborate with policy researchers
to increase the overall body of policy knowledge.
Expanding cross -cutting policy knowledge is featured in HUD's Strategic Plan for
FY2010-2015, Goal 4 (See Section I.Q. Specifically, Subgoal 4E reads, "Build the capacity of
local, state, and regional public and private organizations." HUD seeks to fund grantees who go
16
beyond the specific outcomes of each program to provide information that informs future
policymaking. The Strategic Plan identifies one strategy in particular for this priority:
a. Support knowledge sharing and innovation by disseminating best practices, encouraging
peer learning, publishing data analysis and research, and helping to incubate and test new ideas
(Subgoal 4E).
All grantees must demonstrate the direct impact of their programs as described in the specific
NOFA to which they are applying. To receive points for this policy priority, grantees must go
beyond these requirements, detailing other outcomes to be improved. Examples might include:
jobs created in the target area or change in employment for the target population; change in
property values in a target area; asset building for the target population, health outcomes, such as
infant mortality rates in a target area; education outcomes, such as change in test scores for
children in the target population or in the neighborhood school; public safety, such as
neighborhood crime rates; and other similar outcomes.
To achieve full points, the applicant must indicate what administrative data they and/or
partner organizations collect on primary and secondary outcomes for the target area or
population, as described above. The grantee must describe the extent of data on primary and
secondary outcomes made available to policy researchers through documentation, such as a letter
of cooperation, demonstrating a data -sharing agreement.
(1) For housing or service providers with household -level data, this may be an agreement
with a university or other policy research group that regularly produces peer -reviewed
research publications.
(2) For housing or service providers with parcel -related data, this agreement may be with a
regional planning, non profit, or government agency that provides consolidated local data
on a regular basis to the public for free.
(3) If the applicant is a research organization, this may be an agreement with a housing or
service provider organization to access and analyze administrative data.
Individual program NOFAs will specify the secondary outcomes to be tracked. The
collection method and specific data elements will not be prescribed by HUD, but may be
determined by the applicant.
C. HUD's FY2010 -2015 Strategic Plan and Goals to Create Strong, Sustainable, Inclusive
Communities and Quality Affordable Homes for All.
The cross -cutting Policy Priorities for FY2011, described above (See Section I.B.), align with
the five core goals of HUD's FY2010-2015 Strategic Plan. The Strategic Plan provides the
direction and focus HUD needs to achieve its mission: create strong, sustainable, inclusive
communities and quality, affordable homes for all. To tackle the economic, financial, and
community development issues facing the Nation, HUD has established the following strategic
goals to guide the direction of the Department and its programs:
Goal l: Strengthen the Nation's Housing Market to Bolster the Economy and Protect
Consumers.
1'7
IA. Stem the foreclosure crisis.
1 B. Protect and educate consumers when they buy, refinance, or rent a home.
1 C. Create financially sustainable homeownership opportunities.
1D. Establish an accountable and sustainable housing finance system.
Goal 2: Meet the Needs for Quality Affordable Rental Homes.
2A. End homelessness and substantially reduce the number of families and individuals
with severe housing needs.
2B. Expand the supply of affordable rental homes where most needed.
2C. Preserve the affordability and improve the quality of federally assisted and private
unassisted affordable rental homes.
2D. Expand families' choices of affordable rental homes located in a broad range of
communities.
Goal 3: Utilize Housing as a Platform for Improving Quality of Life.
3A. Utilize HUD assistance to improve educational outcomes and early learning and
development.
3B. Utilize HUD assistance to improve health outcomes.
3C. Utilize HUD assistance to increase economic security and self-sufficiency.
3D. Utilize HUD assistance to improve housing stability through supportive services for
vulnerable populations including the elderly, people with disabilities, homeless people, and those
individuals and families at risk of becoming homeless.
3E. Utilize HUD assistance to improve public safety.
Goal 4: Build Inclusive and Sustainable Communities Free from Discrimination.
4A. Catalyze economic development and job creation, while enhancing and preserving
community assets.
4B. Promote energy efficient buildings and location efficient communities that are
healthy, affordable and diverse.
4C. Ensure open, diverse, and equitable communities.
4D. Facilitate disaster preparedness, recovery, and resiliency.
4E. Build the capacity of local, state and regional public and private organizations.
Goal 5: Transform the Way HUD Does Business.
5A. Build Capacity: Create a flexible and high performing learning organization with a
motivated, skilled workforce.
IV
5B. Focus on Results: Create an empowered organization that is customer -centered, place
based, collaborative, and responsive to employee feedback and focused on results.
5C. Bureaucracy Busting: Create flexible, modern rules and systems that promote
responsiveness, openness, and transparency.
5D. Culture Change: Create a healthy, open, flexible work environment that reflects the
values of HUD's mission.
Additional information about HUD's Strategic Plan for FY2010-2015 can be found at
tt 1`:r' c Galaha i' rt l a gc, c rta li lUl f' rc offices/C60.
Authority HUD's authority for making funding available under its FY2011 programs is
identified in each program NOFA.
Funding Available. Each program NOFA will identify the estimated amount of funds
available in FY2011 based on available appropriations, plus any funds from previous years
available for award in FY2011.
II. Award Information
Additional program NOFAs may be published during FY2011. Any additional funding
opportunities will be made available on www.Grants.gov, with a corresponding Federal Register
notice indicating where the notice can be found on Grants.gov.
III. Eligibility Information
A. Eligible Applicants.
The individual program NOFAs describe the eligible applicants, eligible activities,
specific program requirements, and selection information for each program. Applicants should
be aware that HUD does not directly fund individuals through its formula -based programs or its
competitive NOFA process.
B. Cost Sharing or Matching.
The program NOFAs describe the applicable cost sharing or matching requirements, or
leveraging requirements related to each program, if any. Although matching or cost sharing may
not be required, HUD programs often encourage applicants to leverage grant funds with other
funding to receive higher rating points.
It is important to note that the following Office of Management and Budget (OMB)
circulars are applicable, and particular attention should be given to the provisions concerning the
use of federal funds for matching requirements.
OMB Circular A-102 (Grants and Cooperative Agreements with State and Local
Governments) establishes consistency and uniformity among federal agencies in the management
of grants and cooperative agreements with state, local, and federally recognized Indian tribal
governments. The circular provides that state and local administration of federal funds must
include fiscal and administrative requirements that are sufficiently specific to ensure that funds
are used in compliance with all applicable federal statutory and regulatory provisions, costs are
reasonable and necessary for operating these programs, and funds are not to be used for general
expenses required to carry out other responsibilities of state or its subrecipients. HUD's
implementation of OMB Circular A-102 is found at 24 CFR part 85.
OMB Circular A-110 (Uniform Administrative Requirements for Grants and Agreements
with Institutions of Higher Education, Hospitals, and Other Non -Profit Organizations), now
relocated to 2 CFR part 215, sets forth standards for obtaining consistency and uniformity among
federal agencies in the administration of grants and agreements with institutions of higher
education, hospitals, and other nonprofit organizations. This circular specifies the conditions for
which funds may be used for cost sharing or matching and provides that federal funds shall not
be accepted as cost sharing or matching, except where authorized by federal statute to be used
for cost sharing or matching. HUD's implementation of OMB Circular A-110 is found at 24
CFR part 84.
OMB Circular A-87 (2 CFR part 225) (Cost Principles for State, Local, and Indian Tribal
Governments) establishes principles and standards for determining costs for federal awards
carried out through grants, cost reimbursement contracts, and other agreements with state and
local governments and federally recognized Indian tribal governments (governmental units).
This circular provides that an allowable cost under a federal award does not include a cost
sharing or matching requirement of any other federal award in the applicable funding period,
except as specifically provided by federal law or regulation.
OMB Circular A-122 (2 CFR part 230,) (Cost Principles for Non -Profit Organizations)
establishes principles for determining costs of grants, contracts, and other agreements with
nonprofit organizations. This circular provides, similar to OMB Circular A-87, that an allowable
cost under a federal award in the applicable funding period does not include a cost sharing or
matching requirement of any other federally financed program.
Copies of the OMB Circulars are available online at
' rs/ NOTE: Applicants for funding
under HUD's FY2011 NOFA are reminded of the importance of confirming that any federal
grant funds that they intend to use as a cost sharing or matching share are available to be used as
matching funds under applicable statutes and regulations.
C. Other Requirements and Procedures Applicable to All Programs.
Except as may be modified_ in the individual program NOFAs, the requirements,
procedures, and principles listed below apply to all HUD programs in FY2011 for which fianding
is announced by NOFA and posted to Grants.gov with announcement in the Federal Re ister.
Please read the individual program NOFAs for additional requirements and information.
1. Statutory and Regulatory Requirements. To be eligible for funding under HUD NOFAs
issued during FY2011, applicants must meet all statutory and regulatory requirements applicable
to the program or programs for which they seek funding. Applicants requiring program
regulations may obtain them from the NOFA Information Center. See the individual program
NOFAs for instructions on how HUD will respond to proposed activities that are ineligible.
K11
2. Threshold Requirements
a. Ineligible Applicants. HUD will not consider an application from an ineligible applicant.
b. D&B Data Universal Numbering System (DUNS) Number Requirement. All applicants
seeking funding directly from HUD must have a DUNS number and include the number in their
Application for Federal Assistance. The DUNS number must reflect the applicant organization
that is to receive funding from HUD and correspond to the legal name that is entered into Box 8a
of Standard Form 424 (SF424). The legal name entered into Box 8a of the SF424 must
correspond to the information provided to D&B and CCR. Failure to follow these instructions
and provide a DUNS number and Taxpayer identification Number (TIN) that is registered at
CCR will prevent an applicant from obtaining an award, regardless of whether it is a new award
or renewal of an existing one. This policy is pursuant to the OMB policy issued in the Federal
Register on June 27, 2003 (68 FR 38402). HUD published its regulation implementing the
DUNS number requirement on November 9, 2004 (69 FR 65024). A copy of the OMB Federal
Register notice and HUD's regulation implementing the DUNS number can be found on HUD's
website at tt ;,l4w%v. ucidgt l' i 1� ,'< rat a s.c .
Applicants are reminded that when registering with D&B, please be sure to use the
organization's legal name that is used when filing a return with or making payments to the
Internal Revenue Service. Organizations should also provide the Zip Code, using the Zip Code
plus the four additional digits. The DUNS number used in the application must be for the
applicant organization, not the entity submitting the application on behalf of the applicant.
c. Active Registration in the CCR. HUD will not make an award of funds to an applicant
organization listed in Box 8a of the SF424 that does not have an active registration in the CCR;
or where the DUNS number, TIN, and name and address of the applicant organization does not
match CCR data files. Registrations in CCR are active for one year. The CCR registrant is
notified by email one month prior to the registration expiration date that the CCR registration
will be expiring. The email provides instructions for how to update/renew the CCR registration.
Applicants are advised to update any email addresses as persons leave the organization and also
to name a primary and alternate contact person in the CCR registration. That will ensure that, if
a person leaves the organization, you have an alternate person available to update/renew the
registration. Effective August 16, 2010, HUD requires that applicants have a current CCR
registration order for to receive an award of funds. See, Interim Rule published July 15, 2010
(75 FR 41087) and Final Rule published December 8, 2010 (75 FR 76260).
d._ Resolution of Outstanding Civil Rights Matters. If you, the applicant:
(1) have received a charge from HUD concerning a systemic violation of the Fair
Housing Act or has received a cause determination from a substantially -equivalent state or local
fair housing agency concerning a systemic violation of a substantially equivalent state or local
fair housing law proscribing discrimination because of race, color, religion, sex, national origin,
disability or familial status;
(2) are a defendant in a Fair Housing Act lawsuit filed by the Department of Justice
alleging a pattern or practice of discrimination or denial of rights to a group of persons raising
and issue of general public interest pursuant to 42 U.S.C. 3614(a);
21
(3) have received a letter of findings identifying 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;
(4) have received a cause determination from a substantially equivalent state or local fair
housing agency concerning a systemic violation of provisions of a state or local law proscribing
discrimination in housing based on sexual orientation or gender identity; or
(5) have received a cause determination from a substantially equivalent state or local fair
housing agency concerning a systemic violation of a state or local law proscribing discrimination
in housing based on lawful source of income; and
(a) The charge, cause determination, lawsuit, or letter of findings referenced in
subparagraphs (1),( 2), (3), (4), or (5) above has not been resolved to HUD's satisfaction before
the application deadline, then you, the applicant, are ineligible for funding. HUD will determine
if actions to resolve the charge, cause determination, lawsuit, or letter of findings taken before
the deadline are sufficient to resolve the matter.
(b) Examples of actions that would normally be considered sufficient to resolve the
matter include, but are not limited to:
(i) Current compliance with a voluntary compliance agreement signed by all the parties;
(ii) Current compliance with a HUD -approved conciliation agreement signed by all the
parties;
(iii) Current compliance with a conciliation agreement signed by all the parties and
approved by the state governmental or local administrative agency with jurisdiction over the
matter;
(iv) Current compliance with a consent order or consent decree; or
(v) Current compliance with a final judicial ruling or administrative ruling or decision.
e. Debarment and Suspension. In accordance with 2 CFR part 2424, no award of federal funds
may be made to applicants that are debarred or suspended, or proposed to be debarred or
suspended from doing business with the Federal Government.
f. Consistency with the Consolidated Plan and Analysis of Impediments to Fair Housing
Choice. Certain competitive programs require that the application for HUD fundscontaina
certification of consistency with a HUD -approved Consolidated Plan. The certification of
consistency means the jurisdiction's plan shows need, the proposed activities are consistent with
the jurisdiction's strategic plan, and the location of the proposed activities is consistent with the
geographic areas specified in the consolidated plan. The consolidated plan also includes the
jurisdiction's certification to affirmatively further fair housing, which means the jurisdiction will
conduct an Analysis of Impediments to Fair Housing Choice(AI). In making consistency
determinations, the jurisdiction should consider information contained in the AI relevant to the
consolidated plan. If a program NOFA requires a certification of consistency with the
Consolidated Plan and the applicant fails to provide a certification, and such failure is not cured
as a technical deficiency, HUD will not fund the application. If HUD is provided a signed
22
certification indicating consistency with the area's approved Consolidated Plan and HUD finds
that the activities are not consistent with the Consolidated Plan, HUD will not fund the
inconsistent activities or will deny funding the application if a majority of the activities are not
consistent with the approved Consolidated Plan. The determination not to fund an activity or to
deny funding may be determined by a number of factors, including the number of activities being
proposed, the impact of the elimination of the activities on the proposal, or the percent of the
budget allocated to the proposed activities.
g. Delinquent Federal Debts. It is HUD policy, consistent with the purposes and intent of 31
U.S.C. 3720B and 28 U.S.C. 3201(e), that applicants with an outstanding federal debt will not be
eligible to receive an award of funds from the Department unless: (1) a negotiated repayment
schedule is established and the repayment schedule is not delinquent, or (2) other arrangements
satisfactory to HUD are made prior to the award of funds by HUD. If arrangements satisfactory
to HUD cannot be completed within 90 days of notification of selection, HUD will not make an
award of funds to the applicant, but offer the award to the next eligible applicant. Applicants
selected for funding, or awarded funds, must report to HUD changes in status of current
agreements covering federal debt. HUD may withhold funding, terminate an award, or seek
other remedies from a grantee if a previously agreed -upon payment schedule has not been
adhered to or a new agreement with the federal agency to which the debt is owed has not been
signed.
3. Other Threshold Requirements. The individual program NOFAs may contain additional
items identified as Threshold Requirements.
4. Other Requirements that may Prohibit Receipt of an Award of Funds
a. Pre -Award Accounting System Survey. HUD may arrange for a pre -award survey of the
applicant's financial management system if the recommended applicant has no prior federal
support, if HUD's program officials have reason to question whether the applicant's financial
management system meets federal financial management standards, or if the applicant is
considered a high risk based upon past performance or financial management findings. HUD
will not disburse funds to any applicant that does not have a financial management system that
meets federal standards. (Please see 24 CFR 84.21 if you are an institution of higher education,
hospital, or other nonprofit organization. See 24 CFR 85.20 if you are a state, local government,
or federally recognized Indian tribe.)
b. Name Check Review. Applicants are subject to a name check review process. Name checks
are intended to -reveal -matters that significantly reflect on the applicant's management and
financial integrity, including if any key individual has been convicted or is presently facing
criminal charges. If the name check reveals significant adverse findings that reflect on the
business integrity or responsibility of the applicant or any key individual, HUD reserves the right
to: (1) deny funding, or in the case of a renewal or continuing award, 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.
23
c. False Statements. A false statement in an application is grounds for denial or termination of
an award and possible punishment, as provided in 18 U.S.C. 1001.
5. Additional Nondiscrimination and Other Requirements
a. Compliance with Fair Housing and Civil Rights Laws.
(1) With the exception of federally recognized Indian tribes and their instrumentalities,
(a) applicants and their sub recipients must comply with all applicable fair housing and civil
rights requirements in 24 CFR 5.105(a), including, but not limited to, the Fair Housing Act, VI
of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973; Title II of the
American Disabilities Act; Section 109 of the Housing and Community Development Act of
1974; (b) if the applicant's state or local government has passed a law or laws proscribing
discrimination in housing based on sexual orientation or gender identity, or a law or laws
proscribing discrimination based on lawful source of income, the applicant and any proposed
subrecipients must comply with those laws;
(2) If the applicant is conducting programs or activities with funds received under a HUD
program NOFA in a state or local jurisdiction that has passed a law or laws proscribing
discrimination in housing based upon sexual orientation or gender identity, or a law or laws
proscribing discrimination in housing based on lawful source of income, the applicant and its
subrecipients must comply with those laws of the states or localities in which the programs or
activities are conducted;
(3) If you are a federally recognized Indian tribe, you must comply with the
nondiscrimination provisions enumerated at 24 CFR 1000.12, as applicable.
b. Affirmatively Furthering Fair Housing (AFFFi).
Section 808(e)(5) of the Fair Housing Act imposes a duty on HUD to affirmatively
further the purposes of the Fair Housing Act in its housing and urban development programs.
Accordingly, HUD requires recipients of HUD funds, including those awarded and announced
under HUD's FY2011 funding notices not specifically exempted, to take affirmative steps to
further fair housing.
NOTE: Federally recognized Indian tribes are not subject to the requirement to affirmatively
further fair housing. Other tribal entities may also be exempt. Refer to the individual program
NOFAs for more information on exemptions.
Unless otherwise specified in the particular program NOFA, your application must
discuss how you are going to carry out your proposed activities in a manner that affirmatively
furthers fair housing.
To affirmatively further fair housing, your proposed activities must help overcome
impediments to fair housing choice that are identified in the "Analysis of Impediments to Fair
Housing Choice" (AI) produced by the state and/or local government(s) in which your program
activities occur, the effects of those impediments, and any other impediments in housing or urban
development activities you may identify. State and local governments produce an Al as a
condition of receipt of certain HUD funds, and a copy must be made available for inspection by
24
the public. (See, for example, HUD's rule at 24 CFR. §§ 91.225(a)(1); 91.5.) In addition, the
proposed activities must address at least one of the following objectives: (1) help overcome any
impediments to fair housing choice related to the assisted program or activity itself; (2) promote
racially, ethnically, and socioeconomically diverse communities; or (3) promote housing -related
opportunities that overcome the effects of past discrimination because of race, color, national
origin, religion, sex, disability, and familial status.
Eligible activities and means for fulfilling this requirement will be more specifically
identified in the individual program NOFAs. The following examples indicate how the
requirement to affirmatively further fair housing could be satisfied under different types of
programs. These examples are not intended as exclusive alternatives; grantees are encouraged to
select activities and outcomes that best meet their specific context.
• For programs that focus on planning, activities that affirmatively further fair housing
include those that promote racially, ethnically, and economically diverse communities
and integrated living patterns and avoid patterns where persons are forced to live in high
poverty areas, or in areas suffering from a lack of services, or a lack of diversity in terms
of income, race, or ethnicity.
For programs that focus on redevelopment of existing neighborhoods, activities that
affirmatively further fair housing include those that: (1) integrate housing development
with access to effective schools, job training, child care, financial services, health care
services, social services, or public transportation; (2) increase economic and racial and
ethnic diversity within the neighborhood; and (3) to the extent permitted by program and
relocation assistance requirements, provide existing residents with the choice to remain in
their current neighborhood or pursue housing choices in areas of greater racial, ethnic and
income or diversity and in areas that provide improved housing opportunities, effective
schools, access to jobs or job training, financial services, medical and social services,
health care facilities, and transportation.
• For programs that focus on rehabilitation or new construction of housing, activities that
affirmatively further fair housing include those that: (1) ensure that housing is sited in a
manner to enhance racial or ethnic diversity; (2) ensure that housing units are affordable
to persons of low, very low- and moderate income; (3) to the extent permitted by program
requirements, ensure that buildings and housing units are accessible and visitable by
peoples with disabilities; (4) to the extent permitted by program and relocation assistance
requirements, ensure that any existing residents relocated to facilitate construction are
afforded preference or first right of refusal for the new units, and (5) ensure that theunits
are placed in an area of opportunity, which includes factors such as access to
employment centers, effective schools, health care facilities, social services, and public
transportation. New construction activities must refrain from geographically
concentrating housing for persons with disabilities. Such housing must be placed in the
most integrated setting appropriate to the needs of qualified individuals with disabilities.
• For programs that include or require marketing, affirmative marketing activities include:
(1) making the availability of the affordable housing units or other new development
widely known throughout the market area, including to persons who are not likely to be
aware of the housing opportunity, and including advertising in languages other than
25
English; and (2) affirmative marketing of the redevelopment to landlords, real estate
professionals, and developers. (See 54 FR 3232 and 3235, January 23, 1989.)
For programs that provide counseling, social services, technical assistance, or fair
housing services, activities that affirmatively further fair housing include: (1) providing
clients with training and information on rights and remedies available under the federal,
state and local fair housing and civil rights laws; (2) where there are instances suggesting
that violations of such laws have occurred or are occurring, provide information to HUD
to investigate such potential violations; and are affirmatively marketed, as described
above.
Further requirements for Affirmatively Furthering Fair Housing will be identified in the
individual program NOFAs.
c. Executive Order 13166, "Improving Access to Services for Persons with Limited English
Proficiency (LEP)." Executive Order 13166 seeks to improve access to federally assisted
programs and activities for individuals who, as a result of national origin, are limited in their
English proficiency. Applicants obtaining federal financial assistance from HUD shall take
reasonable steps to ensure meaningful access to their programs and activities to LEP individuals.
As an aid to recipients, HUD published Final Guidance to Federal Financial Assistance
Recipients: Tile, VI Prohibition Against National Origin Discrimination Affecting Limited
English Proficient Persons (LEP Guidance) in the Federal Register on January 22, 2007 (72 FR
2732). For assistance and information regarding LEP obligations, go to
itp `' etti cc `art, icidcc "1 it Car ` .tan ? pd . For more information on
LEP, please visit tt :;':'r.d.olc 'iic,orzt`1,cr,
d. Economic Opportunities for Low -and Very Low-income Persons (Section 3). Certain
programs to be funded during FY2011 require recipients of assistance to comply with Section 3
of the Housing and Urban Development Act of 1968 (Section 3), 12 U.S.C. 170lu (Economic
Opportunities for Low- and Very Low -Income Persons in Connection with Assisted Projects),
and the HUD regulations at 24 CFR part 135. Applicants are advised to carefully review the
individual program NOFAs to determine if Section 3 applies to the program for which you are
seeking funding.
Section 3 requires recipients to ensure, to the greatest extent feasible, that training,
employment, and contracting will be directed to low- and very low-income persons, particularly
those who are recipients of government assistance for housing, and to business concerns that
provide economic opportunities to low -and very low-income persons in the area in which the
project is located.
To implement 24 CFR 1359(a) of the Department's Section 3 rules, applicants for
funding under programs covered by Section 3 shall, by signing the application, certify
compliance. Also, the program NOFAs for which Section 3 is applicable, will include
information regarding how Section 3 activities will be considered in rating the application.
Applicants subject to this requirement will describe in their applications their plans to train and
employ Section 3 residents and contract with Section 3 business concerns in furtherance of the
proposed activities.
26
Recipients of covered funding are required to comply with the requirements of 24 CFR Part 135,
particularly subpart B-Economic Opportunities for Section 3 residents and Section 3 Business
Concerns, and Subpart E-Reporting and Recordkeeping. Additional information on the
requirements can be found at
e. Ensuring the Participation of 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 Indian tribal governments are required by 24 CFR 85.36(e) and nonprofit
recipients of assistance (grantees and subgrantees) by 24 CFR 84.44(b) to take all necessary
affirmative steps in contracting for the purchase of goods or services to assure that minority
firms, women -owned business enterprises, and labor surplus area firms are used whenever
possible or as specified in the individual program NOFAs.
f. Accessible Technology. Section 508 of the Rehabilitation Act (Section 508) requires HUD
and other federal departments and agencies to ensure, when developing, procuring, maintaining,
or using electronic and information technology (EIT), that the EIT allow, regardless of the type
of medium, persons with disabilities to access and use information and data on a comparable
basis as is made available to and used by persons without disabilities. Section 508's coverage
includes, but is not limited to, computers (hardware, software, word processing, email, and
Internet sites), facsimile machines, copiers, and telephones. Among other things, Section 508
requires that, unless an undue burden would result to the federal department or agency, EIT must
allow individuals with disabilities who are federal employees or members of the public seeking
information or services to have access to and use of information and data on a comparable basis
as that made available to employees and members of the public who are not disabled. Where an
undue burden exists to the federal department or agency, alternative means may be used to allow
a disabled individual use of the information and data. Section 508 does not require that
information services be provided at any location other than a location at which the information
services are generally provided. HUD encourages its funding recipients to adopt the goals and
objectives of Section 508 by ensuring, whenever EIT is used, procured, or developed, that
persons with disabilities have access to and use of the information and data made available
through the EIT on a basis comparable as is made available to and used by persons without
disabilities. This does not affect recipients' required compliance with Section 504 of the
Rehabilitation Act and, where applicable, the Americans with Disabilities Act. Applicants and
recipients seeking further information on accessible technology should go to--
t
g. Executive Order 13279, "Equal Protection of the Laws for Faith -Based and Community
Organizations." HUD is committed to full implementation of Executive Order 13279. The
Executive Order established fundamental principles and policymaking criteria to guide federal
agencies in formulating and developing policies that have implications for faith -based and
community organizations, to ensure the equal protection for these organizations in social service
programs receiving federal financial assistance. Consistent with this order, HUD has reviewed
all departmental policies and regulations that have implications for faith -based and community
organizations and has established a policy to provide full and equal access to grassroots faith-
27
based and other community organizations in HUD program implementation. HUD revised its
program regulations in 2003 and 2004 to remove the barriers to participation by faith -based
organizations in HUD funding programs (68 FR 56396, September 30, 2003; 69 FR 41712, July
9, 2004; and 69 FR 62164, October 22, 2004).
h. Real Property Acquisition and Relocation. Except as otherwise provided by federal statute,
HUD -assisted programs or projects are subject to the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970, as amended (Uniform Act or URA) (42 U.S.C. 4601),
and the governmentwide implementing regulations issued by the U.S. Department of
Transportation at 49 CFR part 24. The Uniform Act's protections and assistance apply to
acquisitions of real property and displacements resulting from the acquisition, rehabilitation, or
demolition of real property for federal or federally assisted programs or projects. With certain
limited exceptions, real property acquisitions for a HUD -assisted program or project must
comply with 49 CFR part 24, subpart B. To be exempt from the URA's acquisition policies, real
property acquisitions conducted without the threat or use of eminent domain, commonly referred
to as "voluntary acquisitions," must satisfy the applicable requirements of 49 CFR 24.101(b)(1)
through (5). Evidence of compliance with these requirements must be maintained by the
recipient. The URA`s relocation requirements remain applicable to any tenant who is displaced
by an acquisition that meets the requirements of 49 CFR 24.101(b)(1) through (5).
The relocation requirements of the Uniform Act, and its implementing regulations at 49
CFR part 24, cover any person who moves permanently from real property or moves personal
property from real property as a direct result of acquisition, rehabilitation, or demolition for a
program or project receiving HUD assistance. While there are no statutory provisions for
"temporary relocation" under the URA, the URA regulations recognize that there are
circumstances where a person will not be permanently displaced but may need to be moved from
a project for a short period of time. Appendix A of the URA regulation (49 CFR
24.2(a)(9)(ii)(D)) explains that any tenant who has been temporarily relocated for a period
beyond one year must be contacted by the displacing agency and offered URA relocation
assistance. Some HUD program regulations provide additional protections for temporarily
relocated tenants. For example, 24 CFR 583.310(f)(1) provides guidance on temporary
relocation for the Supportive Housing Program for the homeless. Before planning their project,
applicants should review the regulations for the programs for which they are applying.
Generally, the URA does not apply to displacements resulting from the demolition or disposition
of public housing covered by Section 18 of the United States Housing Act of 1937.
Additional information and resources pertaining to real property acquisition and
relocation for HUD -funded programs and projects are available_ on HUD's Real Estate
Acquisition and Relocation website at tt:'1"..,,c='res ic,. The website contains
applicable laws and regulations, policy and guidance, publications, training resources, and a
listing of HUD contacts to answer questions or otherwise provide assistance.
i. Conducting Business in Accordance with Core Values and Ethical Standards/Code of
Conduct. Applicants subject to 24 CFR parts 84 or 85 (most nonprofit organizations and state,
local, and Indian 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
28
arise among officers, employees, or agents; prohibit the solicitation and acceptance of gifts or
gratuities by your officers, employees, or agents for their personal benefit in excess of minimal
value; and outline administrative and disciplinary actions available to remedy violations of such
standards. Before entering into an agreement with HUD, an applicant awarded assistance under
a HUD program NOFA issued in FY2011 will be required to submit a copy of its code of
conduct and describe the methods it will use to ensure that all officers, employees, and agents of
its organization are aware of its code of conduct. The code of conduct must be dated and signed
by the Executive Director, or Chair of the governing body of the organization.
An applicant is prohibited from receiving an award of funds from HUD if it fails to meet
this requirement for a code of conduct. An applicant that previously submitted an application
and included a copy of its code of conduct will not be required to submit another copy if the
applicant is listed on HUD's website at
ces,ladm;nistratic)n/'{terantsi`C,ondtict and if
the information is still accurate. An applicant not listed on the website must submit a copy of its
code of conduct with its FY2011 application for assistance. An applicant must also include a
copy of its code of conduct if the information listed on the above website has changed (e.g., the
person who submitted the previous application is no longer the authorized organization
representative, the organization has changed its legal name or merged with another organization,
or the address of the organization has changed, etc.). Any applicant that needs to submit its code
of conduct to HUD via facsimile using the form HUD9601 1, "Facsimile Transmittal" ("Third
Party Documentation Facsimile Transmittal" on Grants.gov) may do so at the time of
application submission. This form is available as part of your application package downloaded
from Grants.gov. When using the facsimile transmittal form, please type the requested
information. Use the form HUD96011 as the cover page for the submission and include the
following header in the top line of the form under Name of Document Being Requested- "Code
of Conduct for (insert your organization's name, city, and state)." Fax the information to HUD's
toll -free number at 800-HUD-1010. If you cannot access the 800 number or have problems, you
may use 215-825-8798 (this is not a toll -free number). If you use the wrong fax number, your
fax will not be entered as part of HUD's FY2011 competition database. HUD cannot match
FY2011 faxes to FY2011 applications if the wrong fax number is used. If the wrong fax
number is used, your application will be reviewed without faxed information. Continuum of
Care applicants should follow the directions in the Continuum of Care program NOFA for
submission of Codes of Conduct.
j. Prohibition Against Lobbying Activities. Applicants are subject to the provisions of Section
319 of Public Law 101-121 (approved October 23, 1989) (31 U.S.C. 1352) (the Byrd
Amendment), which prohibits recipients of federal contracts, grants, or loans from using
appropriated funds for lobbying the executive or legislative branches of the Federal Government
in connection with a specific contract, grant, or loan. In addition, applicants must disclose, using
Standard Form LLL (SFLLL), "Disclosure of Lobbying Activities," any funds, other than
federally appropriated funds, that will be or have been used to influence federal employees,
Members of Congress, or congressional staff regarding specific grants or contracts. Federally
recognized Indian tribes and tribally designated housing entities (TDHEs) established by
federally recognized Indian tribes as a result of the exercise of the tribe's sovereign power are
excluded from coverage of the Byrd Amendment, but state -recognized Indian tribes and TDHEs
established only under state law must comply with this requirement. Applicants must submit the
29
SFLLL if they have used or intend to use federal funds for lobbying activities. (see 24 CFR Part
87 subpart A, including Appendix A)
k. 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.
1. Participation in HUD -Sponsored Program Evaluation. As a condition of the receipt of
financial assistance under a HUD program NOFA, all successful applicants will be required to
cooperate with all HUD staff or contractors who perform HUD -funded research or evaluation
studies.
m. Salary Limitation for Consultants. Unless otherwise provided in the program NOFA,
FY2011 funds may not be used to pay or to provide reimbursement for payment of the salary of a
consultant at a rate more than the equivalent of General Schedule 15, Step 10, base rate plus
locality pay in accordance with Office of Personnel Management pay scales posted at
o _ local l i t�'�1 �-"� ��C s. �s
n. OMB Circulars and Governmentwide Regulations Applicable to Financial Assistance
Programs. Certain OMB Circulars (2 CFR part 225) also apply to HUD program NOFAs. The
policies, guidance, and requirements of OMB Circulars A-87 (Cost Principles Applicable to
Grants, Contracts and Other Agreements with State and Local Governments), A-21 (Cost
Principles for Education Institutions), A-122 (Cost Principles for Non -Profit Organizations), A-
133 (Audits of States, Local Governments, and Non -Profit Organizations), and the regulations at
24 CFR part 84 (Grants and Agreements with Institutions of Higher Education, Hospitals, and
other Non -Profit Organizations), and 24 CFR part 85 (Administrative Requirements for Grants
and Cooperative Agreements to State, Local, and Federally Recognized Indian Tribal
Governments) may apply to the award, acceptance, and use of assistance under the individual
program NOFAs, and to the remedies for noncompliance, except when inconsistent with the
provisions of applicable federal statutes or regulations, or the provisions of this notice.
Compliance with additional OMB circulars or governmentwide regulations may be specified for
a particular program in the applicable Program Section NOFA. Copies of the OMB circulars
may be obtained from httpa/A%xv�N hitehous <gov/orri �'��� i rs�i cex. tr=l, or from the
Executive Office of the President Publications, New Executive Office Building, Room 2200,
Washington, DC 20503; telephone number 202-395-3080 (this is not a toll -free number).
Individuals with speech or hearing impairments may access this number by dialing 800-877-
8339 (toll -free TTY Federal Information Relay Service).
we
o. Environmental Requirements. If you become a recipient under a HUD program that assists
in physical development activities or property acquisition, you are generally prohibited from
acquiring, rehabilitating, converting, demolishing, leasing, repairing, or constructing property, or
committing or expending HUD or non -HUD funds for these types of program activities, until
one of the following has occurred:
(1) HUD has completed an environmental review in accordance with 24 CFR part 50; or
(2) For programs subject to 24 CFR part 58. HUD has approved a recipient's Request for
Release of Funds (form HUD7015.15) following a responsible entity's completion of an
environmental review.
You, the applicant, should consult the individual program NOFA for any program for
which you are interested in applying to determine the procedures for, timing of, and any
modifications or exclusions from environmental review under a particular program.
p. Drug -Free Workplace. Applicants awarded funds from HUD are required to provide a
drug -free workplace. Compliance with this requirement means that the applicant will:
(1) Publish a statement notifying employees that it is unlawful to manufacture, distribute,
dispense, possess, or use a controlled substance in the applicant's workplace and that such
activities are prohibited. The statement must specify the actions that will be taken against
employees for violation of this prohibition. The statement must also notify employees that, as a
condition of employment under the federal award, they are required to abide by the terms of the
statement and that each employee must agree to notify the employer in writing if the employee is
convicted for a violation of a criminal drug statute occurring in the workplace, no later than 5
calendar days after such conviction;
(2) Establish an ongoing drug -free awareness program to inform employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug -free workplace;
(c) Any available drug counseling, rehabilitation, or employee assistance programs; and
(d) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
(3) Notify HUD, and every federal agency on whose award the convicted employee was
working, 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 7th Street, SW, Room
3156, Washington DC 20410-3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, telephone and fax numbers;
(c) A grantee contact name, telephone and fax numbers;
(d) The convicted employee's position and title; and
31
(4) Require that each employee engaged in the performance of the federally funded
award be given a copy of the drug -free workplace statement required in item (1) above and
notify the employee that one of the following actions will be taken against the employee within
30 calendar days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to and including termination
consistent with requirements of the Rehabilitation Act of 1973 (29 U.S.C. 794), as amended; or
(b) Imposition of a requirement that the employee participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such purposes by a federal, state, or local
health, law enforcement, or other appropriate agency; and
(5) Identify to the agency making the award all known workplaces under the award.
Your workplace identification must include the actual address of buildings or other sites where
work under the award will take place. You must also inform the agency of any workplace
changes during the performance of the award. Your identification of the workplaces must occur
either:
(a) At the time of application or upon award; or
(b) In documents that you keep on file in your offices during performance of the award,
in which case you must make the information available for inspection upon request by the
agency.
q. Conflicts of Interest. If you are a consultant or expert who is assisting HUD in rating and
ranking applicants for funding under HUD NOFAs published in FY2011, 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 NOFAs published in
FY2011, you may not serve on a selection panel and you may not serve as a technical advisor to
HUD. Persons involved in rating and ranking HUD FY2011 NOFAs, including experts and
consultants, must avoid conflicts of interest or the appearance of such conflicts. Persons
involved in rating and ranking applications must disclose to HUD's General Counsel or HUD's
Ethics Law Division the following information, if applicable; how the selection or non selection
of any applicant under FY2011 NOFAs will affect the individual's financial interests, as
provided in 18 U.S.C. 208, or how the application process involves a party with whom the
individual has a covered relationship under 5 CFR 2635.502. The person must disclose this
information before participating in any matter regarding an FY2011 NOFA. If you have
questions regarding these provisions or concerning a conflict of interest, you may call the Office
of General Counsel, Ethics Law Division, at 202-708-3815 (this is not a toll -free number).
r. Safeguarding Resident/Client Files. In maintaining resident and client files, HUD funding
recipients shall observe state and local laws concerning the disclosure of records that pertain to
individuals. Further, recipients are required to adopt and take reasonable measures to ensure that
resident and client files are safeguarded. This includes when reviewing, printing, or copying
client files.
s. Executive Order, "Intergovernmental Review of Federal Programs." Executive Order
12372 was issued with the desire to foster the intergovernmental partnership and strengthen
federalism by relying on state and local processes for the coordination and review of proposed
federal financial assistance and direct federal development. The Order allows each state
32
government to designate an entity to perform this function and for each state to determine what
programs, if any, it wants to review prior to submission to the grantor agency. To determine if
your state has designated a Point of Contact, please go to
httv:f/v-,n. hitch s � )v/om � is sp c/. To determine what programs are required to be
submitted for review, you must directly contact the person listed. Applicants are advised to
allow time for the state's review process to occur prior to submitting their funding application.
t. Compliance with the Federal Funding Accountability and Transparency Act of 2006
(Pub. L. 109-282) (Transparency Act), as amended.
(1) Recipient Reporting to Meet the Requirements the Federal Financial Assistance
Accountability and Transparency Act of 2006, as amended.
(a) Prime Awardee Reporting. Prime recipients of HUD financial assistance are
required to report subawards made either as pass -through awards, subrecipient awards, or vendor
awards in the federal governmentwide website 'sr. or its successor system.
Starting with awards made October 1, 2010 prime financial assistance awardees receiving
funds directly from HUD are required to report subawards and executive compensation
information both for the prime award and subawards, including awards made as pass -through
awards or awards to vendors, where both the initial award is $25,000 or greater or the cumulative
award will be $25,000 or greater if funding incrementally as directed by HUD in accordance
with OMB guidance. The reporting of award and subaward information is in accordance with
the requirements of Federal Financial Assistance Accountability and Transparency Act of 2006,
as amended by section 6202 of Public Law 110-252, hereafter referred to as the "Transparency
Act" and OMB Guidance issued to the Federal agencies on September 14, 2010 (75 FR 55669)
and in OMB Policy guidance. The prime awardee will have until the end of the month plus one
additional month after a subaward or pass -through award is obligated to fulfill the reporting
requirement. The Transparency Act requires the creation of a public governmentwide website in
which the following subaward data will be displayed:
(i) Name of entity receiving award;
(ii) Amount of award
(iii) Funding agency;
(iv) North American Industry Classification System (NAICS) code for contracts/CFDA
program for financial assistance awards;
(v) Program source;
(vi) Award title descriptive of the purpose of the funding action;
(vii) Location of the entity (including Congressional district);
(viii) Place of Performance (including Congressional district);
(ix) Unique identifier of the entity and its parent; and
(x) Total compensation and names of top five executives.
For the purposes of reporting into the FFATA Sub -award Reporting System (FSRS)
reporting site, the unique identifier is the DUN and Bradstreet Universal Numbering System
(DUNS) number the entity has obtained from Dun and Bradstreet, and for Prime awardees the
DUNS number registered in the Central Contractor Registration as required by HUD regulation
24 CFR 5.1004.
33
(b) Prime Awardee Executive Compensation Reporting.. Prime awardees must also
report in the governmentwide website the total compensation and names of the top five
executives in the prime awardee organization if.
(i) More than 80% of the annual gross revenues are from the Federal government, and
those revenues are greater than $25 million annually; and
(ii) Compensation information is not readily available through reporting to the Securities
Exchange Commission (SEC.)
(c) Subaward Executive Compensation Reporting. Prime awardees must also report in the
governmentwide website the total compensation and names of the top five executives in the
subawardees, pass -through or vendor organization if-
(i) More than 80% of the annual gross revenues are from the Federal government, and those
revenues are greater than $25 million annually; and
(ii) Compensation information is not readily available through reporting to the Securities
Exchange Commission (SEC.)
(d) Transparency Act Reporting Exemptions. The Transparency Act exempts any sub -
awards less than $25,000 made to individuals and any sub -awards less than $25,000 made to
an entity whose annual expenditures are less than $300,000. Subawards with a cumulative
total of $25,000 or greater are subject to subaward reporting beginning the date the subaward
total award amount reaches $25,000. Any other exemptions to the requirements must be
approved by the Office of Management and Budget.
u. Compliance with Section 872 of the Duncan Hunter National Defense Authorization Act
for Fiscal Year 2009 (Pub. L. 110-417), hereafter referred to as "Section 872." Section 872
requires the establishment of a governmentwide data system to contain information related to the
integrity and performance of entities awarded federal financial assistance and making use of the
information by federal officials in making awards. It is anticipated that the federal data system
will be known as the Federal Awardee Performance and Integrity Information System (FAPIIS).
Only federal officials and the entity will be able to view the information in the FAPIIS system.
Further, each recipient of federal funds with a cumulative value greater than $10 million and
their direct (i.e., first -tier) subrecipients would be required to report to the FAPIIS system. The
data collection requirements include information about certain civil judgments, criminal
convictions, and outcomes of administrative proceedings that reached final disposition within the
most recent 5-year period and were connected with the award or performance of a federal or state
award. Recipients and first -tier subrecipients must report information at least semi annually to
maintain the currency of the information. Section 872 also requires that an entity be allowed to
submit comments to the data system about any information that system contains about the entity.
Use of the FAPIIS system requires a DUNS number and current valid registration in the CCR for
HUD awardees and first -tier subrecipients.
Prior to making a funding decision, the federal official authorized to make the award is
required to determine whether the entity is qualified to receive an award, taking into
consideration any information about the entity that is in the data system. OMB is in the process
of issuing regulations regarding federal agency implementation of Section 872 requirements. A
34
proposed rule was published in the Federal Re ig ster on February 18, 2010, by OMB seeking
public comments no later than April 19, 2010.
HUD's terms and conditions to its FY2011 awards will contain requirements related to
meeting Section FFATA and Section 872 requirements.
IV. Application and Submission Information
A. Addresses to Request Application Package.
This section describes how applicants may obtain application forms and request technical
assistance.
1. Technical Assistance and Resources for Grants.gov Electronic Grant Applications
a. Grants.gov Customer Support. Grants.gov provides customer support information on its
website at tto:1N -x�,,rants.Rov,'c tac'usiconta! �. Applicants having difficulty accessing
the application and instructions or having technical problems can receive customer support from
Grants.gov by calling 800-518-GRANTS (this is a toll -free number) or by sending an email to
u� r nts. . The customer support center is open 24 hours a day, seven days per
week, except federal holidays. The customer service representatives will assist applicants in
accessing the information and addressing technology issues, including accessibility problems, in
accordance with Section 508 of the Rehabilitation Act (see paragraph 4(h), Accessible
Technology). Applicants should ask for, and retain, a Grants.gov call center ticket number if not
provided one by the call center customer service representative. In case of issues, HUD relies on
the call center ticket logs as part of the review of records.
b. HUD Website. The following documents and information can be found on HUD's website:
(1) Connecting with Communities: A User's Guide to HUD Programs and the FY2011
NOFA Process Guidebook. This guidebook to HUD programs will be available from the HUD
NOFA Information Center and at HUD's Funds Available website at
:%!rud.cfi c,I:`«artsuclaril, rr after the publication of the General
Section and when the details of the Program Sections to the 2011 NOFAs are known. The
guidebook provides a brief description of all HUD programs that have fimding available in
FY2011, identifies eligible applicants for the programs and the program office responsible for
the administration of the program, as well as contains information on HUD's formula and
subsidy programs.
(2) NOFA Webeasts. HUD provides technical assistance and training on its programs
announced through its NOFAs. The NOFA broadcasts are interactive and allow potential
applicants to obtain a better understanding of the threshold, program and application -submission
requirements for funding. Participation in this training opportunity is free of charge and can be
accessed via HUD's website. The NOFA webcast schedule can be found via HUD's website at
c. HUD's NOFA Information Center. Applicants that do not have Internet access and need to
obtain a copy of a NOFA can contact HUD's NOFA Information Center toll free, at 800-HUD-
8929. Persons with hearing or speech impairments may access this number, toll free, via TTY
by calling the Federal Information Relay Service at 800-877-8339. The NOFA Information
35
Center is open between the hours of 10 a.m. and 6:30 p.m. eastern time, Monday through Friday,
except federal holidays.
d. HUD Staff. HUD staff will be available to provide you with general guidance and technical
assistance about this notice or about individual program NOFAs. However, HUD staff is not
permitted to help prepare your application. Following selection of applicants, but before
announcement of awards, HUD staff is available to assist in clarifying or confirming information
that is a prerequisite to the offer of an award or annual contributions contract (ACC) by HUD. If
you have program -related questions, follow the instructions in Section VII of the Program
Section entitled "Agency Contact(s)" in the program NOFA under which you are applying. If
you have difficulty in submitting your application, please first contact the Grants.gov Help Desk,
B. Content and Form of Application Submission
1. Use of Adobe Forms Application Packages. In FY2011, HUD is again using Adobe Forms
in the application packages available from Grants.gov. The Adobe Forms packages are
compatible with the Microsoft Windows Vista operating system, Apple Macintosh computers,
and Microsoft Office 2007. For more information, see the Grants.gov website at
http tvrantortepidcoa softer are sacice� . Applicants need to pay strict
attention to the submission instructions provided in this notice in order to have a successful
submission using the Adobe Forms packages.
2. Instructions on How to Register for Electronic Application Submission. Applicants must
submit their applications electronically through Grants.gov. Before you can do so, you must
complete several important steps to register as a submitter. The registration process can take
approximately 2 to 4 weeks to complete. Therefore, registration should be done in sufficient
time before you submit your application. To register, applicants must complete five sequential
steps:
a. Step One: The applicant organization checks with Dun and Bradstreet to see if they have an
existing Dun and Bradstreet Data Universal Numbering System (DUNS) number. If no number
is on file at Dun and Bradstreet for the organization, at its Street location, then the applicant
organization must obtain a DUNS number and follow all of the registration steps.
b. Step Two: Register the applicant organization at the CCR,
c. Step Three: Register a user name and password (Authorized Organization Representative
[AOR] ID) at_Grants.gov;
d. Step Four: The applicant organization's E-Business Point of Contact (E-Biz POC) logs in to
Grants.gov to grant authority to the Authorized Organization Representative (AOR); and
e. Step Five: The AOR confirms his or her status as "authorized applicant" to submit an
application on behalf of the organization.
All five steps must be completed to have a valid registration and to be able to
successfully submit an application via Grants.gov. Definitions and a detailed explanation of
each step in the process are contained below. Information is also available at the Grants.gov
web site at qR,/'wk rants. go ,,, !£_���ts/ge reg,is �r� .`So.
36
3. Key Terms Used as Part of the Registration Process.
a. Applicant Organization. The applicant organization is an entity that is identified as the legal
applicant for funding in box 8a on the SF424, Application for Federal Assistance, and should the
applicant be selected for funding, the organization that HUD awards funds to and will hold
accountable to fulfill the requirements of the award.
b. Authorized Organization Representative (AOR). The applicant organization (applicant
legal name on box 8a of the SF424) E-Biz POC, must grant permission for a person (the AOR
registered at Grants.gov) to submit an application on behalf of the applicant organization through
the Grants.gov system. Authorizing an AOR safeguards the applicant organization from
unauthorized individuals who may attempt to submit a grant application without permission.
c. eBusiness Point of Contact (E-Biz POC). The E-Biz POC is identified in the CCR (Step 2 of
the Registration Process). The E-Biz POC must grant authority for a person, the AOR, to submit
applications on behalf of the organization. An E-Biz POC may serve as an AOR, as well as an
E-Biz POC. The E-Biz POC is the sole authority recognized by Grants.gov with the authority to
grant or revoke an AOR's permission to submit a grant application on behalf of the organization,
using the Grants.gov system.
d. Marketing Partner ID Number (MPIN). As part of the CCR Registration Process, the E-Biz
POC will be asked to create an MPIN. The MPIN is a nine character (alpha numeric) password
that is used to access other systems and should be well guarded.
4. Instructions on Completing the Registration Process for New Applicants or Applicants
Updating or Renewing Registration.
a. The Need to Register. HUD provides funding to organizations only. This information,
therefore, is directed to HUD applicants that are organizational entities. Registration protects
both HUD and the applicant. Specifically, registration confirms that the applicant organization
has designated and authorized an individual or entity to submit an application on its behalf and
assures HUD that it is interacting with a designated representative of the applicant who has been
authorized to submit the application.
b. Registration Requirements. HUD's NOFA process requires applicants to submit
applications electronically through Grants.gov. Before being able to do so, applicants must
register with Grants.gov to provide and obtain certain identifying information. Please note that
registration is -a multistep process. The registration process also requires the applicant
organization to provide information at websites other than Grants.gov. The registration process
can take approximately 2 to 4 weeks to complete, if there are data issues that need to be
resolved.
(1) Step One: Obtain a Dun and Bradstreet Data universal Numbering Svstem (DUNS)
number. Step One of the registration process requires an applicant organization to have a DUNS
number for the organizational entity for which funds are requested and an application for federal
assistance is being submitted. All organizations seeking funding directly from HUD must have a
DUNS number and include the number on the form SF424, Application for Federal Assistance,
which is part of the application package. The DUNS number is also required as part of the
37
registration process. If the applicant organizational entity identified in box 8a on the SF424
already has a DUNS number, it must use that number. The number must be registered for the
legal name of the organizational entity. To check if the organization has an existing DUNS
number, contact the Dun and Bradstreet (D&B) federal help desk, toll free at 866-705-5711 and
select option 4. Failure to provide a DUNS number or the correct DUNS number
associated to the applicant organization's legal name, as entered on the form SF424, box
8a, and in the CCR may prevent you from submitting a grant application or obtaining an
award, regardless of whether it is a new award or renewal of an existing one. This policy is
pursuant to OMB policy issued in the Federal Register on June 27, 2003 (68 FR 38402). HUD
codified the DUNS number requirement on November 9, 2004 (69 FR 65024). A copy of the
OMB Federal Register notice and HUD's regulation codifying the DUNS number requirement
can be found at wwNN,l uct, c)lof ces'a rn,' t,ant ,,A,,-�.,, . Applicants cannot submit an
electronic application without a DUNS number. An incorrect DUNS number in an application
package will result in Grants.gov rejecting the application, because the DUNS number entered in
the application will not be consistent with the DUNS number associated to the applicant legal
name as entered in box 8a of the form SF424, CCR, and Internal Revenue Service (IRS) records.
The applicant's legal name and DUNS number used on the application must match the DUNS
number and organization name used in the CCR. Applicants must note that information entered
and used to obtain the DUNS number will be used to pre -populate the CCR, which is Step Two
of the registration process. Applicants should, therefore, carefully review information entered
when obtaining a DUNS number. When registering with D&B, please be sure to use the
organizational entity's legal name used when filing a return or making a payment to the IRS.
Organizations should also provide the Zip Code using the Zip Code plus four code (Zip--4).
Applicants can obtain a DUNS number by calling the D&B federal helpdesk at toll free,
866-705-5711 option 4 for federal grant applicants. Applicants in Alaska and Puerto Rico can
call toll free, 800-234-3867. The approximate time it takes to get a DUNS number is 10 to 15
minutes, and there is no charge. Applicants may also obtain a DUNS number by accessing the
D&B website at hyi)-/'fed v. ub,-Iomrl kr b o,m. The approximate time to create the number
online is one business day. When obtaining a DUNS number, be sure you provide D&B with
information on the applicant organization that is consistent with that on the applicant
organization's IRS records. After obtaining a DUNS number, applicants should wait 24 to 48
hours to register with the CCR so that its DUNS number has time to become activated in the
D&B records database.
If you are not sure if you have a DUNS number for your organization, call the D&B
federal help desk toll free, at 866-705-5711, option 4. They will assist you in determining if a
number already exists for your organization at the address identified on the SF424.
(2) Step Two: Register with the CCR. The second step of the registration process is
registering with the CCR. The CCR is the primary registrant database for the Federal
Government. An organization planning to submit a grant application for the first time must
register, using its legal business name used by the IRS. If you need assistance with the CCR
registration process, you can contact the Federal Service Desk, Monday through Friday, from 8
a.m, to 8 p.m. eastern time, toll free, at 866-606-8220 or 334-206-7828. Applicants can also
obtain assistance online at w ww, cr. ov. A CCR User's Guide that guides applicants through
the registration process is available on the CCR website by clicking on "Help."
38
Registration, including update/renewal, can take several weeks as CCR compares its
records to those maintained by D&B and the IRS. The records of D&B, CCR, and the IRS
must match. If discrepancies arise, Step Two cannot be completed until the discrepancies are
resolved. For this reason, HUD urges applicants to complete the CCR registration, or
update/renew its existing registration immediately. Otherwise, the CCR check with D&B and
IRS records may delay completing the registration process and adversely affect the ability to
submit a grant application.
The CCR registration process consists of completing a CCR Trading Partner Profile
(TPP), which contains general, corporate, and financial information about your organization.
When completing the TPP, you will be required to identify several points of contact (POCs).
Mandatory POCs include the primary CCR POC, who will be responsible for maintaining the
information in the TPP, and the E-Biz POC who will authorize individuals wishing to submit
applications through Grants.gov on behalf of the applicant organization. It is important that you
enter and maintain current, accurate email addresses for these two POCs because Grants.gov
sends its notifications to the email addresses listed in the registration. If the email bounces back
the POCs will not be notified of pending actions.
(a) CCR Use of D&B Information. In July 2006, CCR implemented a policy change.
Under this policy change, instead of obtaining name and address information directly from the
registrant, CCR obtains the following data fields from D&B: Legal Business Name, Doing
Business As Name (DBA), Physical Address, and Postal Code (Zip+4). Registrants will not be
able to enter or modify these fields in CCR because they will be prepopulated using data from
D&B. During a new registration, or when updating a record, the registrant has a choice to accept
or reject the information provided from the D&B records. If the registrant agrees with the D&B
supplied information, the D&B data will be accepted into the CCR registrant record. If the
registrant disagrees with the D&B supplied data, the registrant must go to the D&B website at
http , ,' ed,;o .cln coi .'xk,e form to modify the information contained in D&B's records before
proceeding with its CCR registration. Once D&B confirms the updated information, the
registrant must revisit the CCR website and "accept" D&B's changes. Only at this point will the
D&B data be accepted into the CCR record. It can take up to 2 business days for D&B to send
modified data to CCR, and that time frame may be longer if data is sent from abroad.
(b) CCR EIN/TIN Validation. To complete the CCR registration, the
Employer/Taxpayer Identification Number (EIN/TIN) and Employer/Taxpayer Name
combination you provide in the IRS Consent Form must match exactly the EIN/TIN and
Employer/Taxpayer Name used in federal tax matters. It will take 1 to 2 business days to
validate new and updated records prior to becoming active in CCR. Please be sure that the data
items provided to D&B match information provided to the IRS. If the registration in D&B and
the CCR do not match the IRS information, an error message will result. Until the discrepancies
have been resolved, the registration will not be completed. HUD recommends that applicant
organizations carefully review their D&B and CCR registration information for accuracy
immediately upon publication of this notice. If you have questions about your EIN/TIN, call, toll
free, 866-255-0654, Option 4.
(c) Detailed Stems for NEW applicant organizations to register with CCR CCR provides
a detailed step-by-step User's Guide on its help page at https://Nvww.bpn.gov/ccr/help.aspx to
assist an applicant organization in completing their CCR registration. New Registrants should
print out this guide and follow it's clear and precise, step-by-step instructions. Additional
39
assistance is available online at wxyw,ccr.gov. Before beginning the CCR registration process,
organizations should designate an individual who will be responsible for completing the CCR
registration and managing the information entered into CCR.
(3) Step Three: AOR ID (Username and Password) at Grants.gov. In order to safeguard
the security of your electronic information, Grants.gov requires all users to create an account in
the Grants.gov system.. Note: Your organization ' s CCR registration must be complete and
active before the AOR can obtain a username and password.
(a) Select Get Registered in the Quick Links on the left navigation of any Grants.gov
page. This will take you to the Get Registered screen.
(b) Under the Get Registered heading, select Organization Registration in the left
navigation.
(c) Under Organization Registration, select STEP 3: Username & Password.
(d) Once you are on STEP 3: Username & Password screen, select the link Create
Username and Password in the gray bar on the screen.
(e) Enter the applicant organization's DUNS number and select the Register button. You
will be taken to an online form. Complete the form. When entering an email address, please
keep in mind that all correspondence with Grants.gov will be sent to that email address. For the
Secret Question/Answer fields, enter a question only you would be able to answer and will be
able to remember in the future. When you have completed the form, select the Continue button.
(f) A confirmation screen will appear. If you have changes you would like to make,
choose the Edit button and the form will return to a screen where you can make changes. If you
have no changes, select the Submit button.
(g) You will see a message at the top of the screen that will read "You are successfully
registered." To continue to the Applicant login page, select the Continue button on the bottom
right. If you don't receive the "successful" message, another message will appear stating what
issue needs to be addressed with the form. Simply correct the error and select Submit until you
receive the successful message.
(h) When you register an AOR ID including a username and password at Grants.gov, the
Grants.gov system sends an email to the E-Biz POC identified at CCR The email from
Grants.gov contains a password that the E-BIZ POC must use with the DUNS number to login at
Grants.gov and authorize the AOR to submit on behalf of the organization. After logging in for
the first time or after any change to the registration at CCR, the E-Biz POC will be asked to
(4) Step Four: Granting Approval of an AOR to Submit an Application on Behalf of the
Organization. To complete this step, the E-Biz POC for the organization identified in Box 8a of
the SF424 form must log into the Grants.gov website and give the registered AOR approval to
submit an application to Grants.gov. By authorizing the AOR to submit on behalf of the
applicant organization, the E-Biz POC is stating that the person has the legal authority to submit
the electronic application on behalf of the applicant organization and can make a legally binding
commitment for the applicant organization.
IN
(a) The E-Biz POC must approve the designated AOR(s). If the E-Biz POC does not
grant authorization, Grants.gov will not accept the application. The E-Biz POC can designate
the AOR to submit applications on behalf of the organization by selecting the E-Biz POC Login
link on the Grants.gov home page, logging in, and selecting Manage Applicants. The
registration is complete when an AOR has been approved to submit an application on behalf of
the applicant organization by the E-Biz POC.
HUD urges AORs to check with the E-Biz POC to make sure they have been authorized
to make a legally binding commitment for the applicant organization when submitting the
application to Grants.gov. This is particularly important if the E-Biz POC for the applicant
organization has been changed. The new E-Biz POC will have to grant authorization to all
AORs not previously authorized. You can search the CCR registration for the E-Biz POC by
going to !jtt Lo,,,'(-'C�WSearc�h/Searc�h.a<;r-�,-�.
�s_; n�_
(5)Step Five: Check your AOR Status at Grants.gov. AORs can track their AOR status
at any time on Grants.gov by going to the Applicant home page at Grants.gov. In "Quick
Links," on the right navigation select applicant log in and enter your user name and password.
If your status is not "Authorized Applicant," you have not been granted AOR status by the E-
Biz POC, you should contact the E-Biz POC directly.
S. Instructions on How to Download an Application Package and Application Instructions.
Please note: The following instructions are not applicable to Continuum of Care applicants
because Continuum of Care program applications are not submitted to Grants.gov.
A complete explanation on how to find and apply for Continuum of Care grants in 2011
will be provided in the Continuum of Care Program NOFA. However, HUD does provide
notification of the availability of the registration instructions, applications, or other information
through the Grants.gov website. Also, Grants.gov does provide a subscription service.
Applicants can sign up for notification of issuance of the Continuum of Care funding opportunity
or other grant opportunities by going to http://www.arants.gov/applicants/email subscription. isp.
To download the application and instructions, follow the directions below, but first you
must be sure you have Adobe Reader 9.4 installed, or the newest version of Adobe Reader
available from Grants.gov. Adobe Reader 9.4 is compatible with the Microsoft Windows Vista
operating system, Apple Macintosh computers, and Microsoft Office 2007. HUD's FY2011
applications use Adobe Reader.
a. The Application Package -and -Application Instructions. The general process for
downloading, completing, submitting, and tracking grant application packages is described at
. To download the application and
instructions, go to j1ttps:/.qrp1v0 7,granis-gow/a vbv,/forms aI)s idx.htn-d and enter the CFDA
Number, Funding Opportunity Number, or Funding Opportunity Competition ID for the
application that you are interested in. You will then come to a page where you will find the
funding opportunity Download Application & Instructions link. (If you enter more than one
criterion, you will not find the instructions). Before you can view and complete an application
package, you MUST have a compatible Adobe Reader installed. Applicants are advised that
they must download the most current reader available from the Grants.gov website. HUD has
been advised by Grants.gov that newer versions of Adobe Reader address the broken -pipe error
M
messages that were prevalent in earlier versions of Adobe Reader. Newer versions of Adobe
Reader operate better than older versions of the reader, and the newer software results in faster
uploads. To obtain the latest version of Adobe Reader and ensure compatibility with your
system, go to ers;Ons,hLml. At that site,
you can identify the software you have installed on your computer and follow the instructions for
downloading the software compatible with your computer and associated to the instructions in
this General Section for using the latest version of Adobe Reader.
(1) To check which version of Adobe Acrobat you are using, go to the Help menu in
Adobe Acrobat and then select "About Acrobat." A text box will appear containing an Adobe
logo with a number. Under that information, you will see another number; this is the version
number of your software (e.g., 9.0, 9.1, 9.1.2, 9.3.2. 9.4 etc.). If you do not have the correct
version of Adobe Reader, go to
ersions,html. System requirements for
Adobe Reader can be found on the Grants.gov site at
ex.html#90win.
(2) You can use Adobe Reader 9.4 with Adobe Professional 8.0 or newer, provided you
have updated the default setting on the copy of Adobe Professional on your computer so that the
Adobe Reader default setting matches Adobe Reader 9.4, which you have just downloaded from
the Grants.gov website and installed on your computer.
(3) Grants.gov has posted instructions in Frequently Asked Questions at
Applicants should review these FAQs, as they
will assist them in making sure they are properly set up to successfully submit an application.
Applicants need to make sure that the default setting on their Adobe Reader is set to the new
version of Adobe Reader software downloaded from Grants.gov. Applicants that need assistance
can contact the Grants.gov Contact Center by phone, toll free, at 800-518-GRANTS or via email
at su2nort,
CRITICAL NOTICE: Applicants must be aware that all persons working on Adobe Forms in
the application package must work using the same Adobe Reader version available from
Grants.gov. Please alert your staff and those working on your application that failure of all users
to download and use the correct and same version of Adobe Reader or to update the Reader on
Adobe Professional to the newer version and meet the Grants.gov compatibility requirements
contained in this General Section will result in your not being able to create or submit the
application package to Grants.gov or your application being rejected by Grants.gov. Using
incompatible versions of Adobe Reader will result in files being corrupted.
(4) Next, download the application instructions by clicking on the Download
Instructions link. The Instructions contain the General and Program Sections for the funding
opportunity, as well as forms that are not part of the Application download but are included as
elements of a complete package, as specified in the published NOFA. After you have installed
the latest version of Adobe Reader, you can now download the application by clicking on the
Download Application link. Both the instructions and application should be saved on your
computer. You do not need to be registered to download the instructions or complete the
application; however, once you have downloaded the application and intend to submit an
application, you must save it on your computer or local network drive.
42
(5) Each program NOFA also includes a checklist. Please review the checklist in the
Program Section to ensure that your application contains all the required materials.
b. Electronic Grant Application Forms
(1) Forms contained in the Instructions download are available in Microsoft Office Word
2003 (.doc), Microsoft Office Excel 2003 (.xls), or Adobe (.pdf) formats. The .pdf files are only
fillable forms and cannot be saved locally, unless you have Adobe Professional software version
8.0 or higher. To submit these forms, applicants must print the completed form and either scan
the document and attach it to the application as an Adobe .pdf file or fax the document to the fax
number identified in this General Section A using the facsimile transmittal cover sheet HUD-
96011.
(2) To open the Application download, you must first install the latest version of
Adobe Reader. During the download process, the application automatically opens. If you have
a version of Adobe Acrobat or Adobe Acrobat Reader version 8.0 or older, the application will
not open, and you will get an error message telling you to first install the correct version of the
software. If you get an error message, follow the instructions in paragraph IV.B.S a. "The
Application Package and Application Instructions," which provides information on using the
correct version of Adobe Reader. The application download will contain a cover page entitled
"Grant Application Package." The cover page provides information regarding the application
package you have chosen to download, i.e., Opportunity Title, Agency Name, CFDA Number,
etc. Review this information to ensure that you have selected the correct application. The Grant
Application cover page separates the required forms into two categories: "Mandatory
Documents"and "Optional Documents." To complete a form from either the "Mandatory
Documents" or "Optional Documents," you must first highlight and move the form over to
the "Submission" box and then open the form.
(3) Please note that regardless of the box in which the forms are listed, the published
General Section and Program Sections (and any technical corrections) in the posting on
Grants.gov are the official documents HUD uses to solicit applications. Therefore, applicants
should follow the instructions provided in the General Section and Program Sections of the
Instructions download. The individual program sections will identify the forms that may be
applicable and that need to be submitted with the application.
(4) Because you will be adding additional attachment files to the downloaded application,
applicants should save the application to their local computer or network drive. DO NOT
download the application or attempt to upload the application using a USB flash drive (also
called a "key drive," "thumb," or "jump drive") because Grants.gov has found thatapplicants
have problems uploading applications and attachments from a USB flash drive. Be sure to read
and follow the application submission requirements published in each individual NOFA for
which you are submitting an application. Each program NOFA will identify all of the required
forms and other required information for submission.
(5) HUD's standard forms are identified below:
(a) Application for Federal Assistance (SF424);
(b) Faith -Based EEO Survey (SF424 Supplement, Survey on Ensuring Equal
Opportunities for Applicants), if applicable;
43
(c) HUD _Detailed Budget_HUD424_CB, Grant_ Application_ Detailed_ Budget);
(d) Grant_Application_Detailed Budget_Worksheet HUD424_CBW,
(e) Disclosure of Lobbying_ Activities_(SFLLL), if applicable;
(f) HUD _Applicant_Recipient_Disclosure_Report_(HUD)_2880_ Applicant/RecipientDisclosure/Update Report);
(g) Certification —of _Con sistency_with_RC/EZ/EC_II_Strategic_Plan_(HUD_2990), if
applicable;
(h) Certification of Consistency with Sustainable Communities Planning and
Implementation, (HUD2995) if applicable;
(i) Certification of Consistency_with_the Consolidated-Plan_(HUD2991), if applicable;
0) Acknowledgment —of Application_Receipt_(HUD2993);
(k) Program _Outcome _Lo ,ic_Model_(HUD96010);
(1) HUD_Race_Ethnic_Form_(HUD27061), if applicable;
(m) HUD_Facsimile_Transmittal HUD96011)_ Third _ Party_ Documentation_ Facsimile_
Transmittal.
All HUD "program -specific" forms not available at the application download will be
available in the Instructions download in Microsoft Word Office 2003 (doc), Microsoft Excel
Office 2003 (.xls), or Adobe (.pdf) format, compatible with Adobe Reader 9.4 or the latest
version available from Grants.gov. The PDF forms are fillable but not savable, unless you have
Adobe Professional 8.0 or higher. Applicants may use the HUD96011, "Third Party
Documentation Facsimile Transmittal" ("HUD Facsimile Transmittal' on Grants.gov) form and
fax to HUD any forms they have completed but cannot save.
6. Instructions on How to Complete the Selected Grant Application Package
a. Ensure You Have the Correct Application Downloaded. Applicants must check the
application to ensure that the application they have downloaded matches the CFDA Number,
Funding Opportunity Number, and Competition ID for the funding opportunity under which the
applicant is requesting funds. In FY2011, if HUD receives an application submitted under the
wrong application package, HUD will rate the application under the funding competition ID on
the SF424 for the submitted application. Please pay careful attention to which application you
submit. The CFDA number, Funding Opportunity Number, and Competition ID are located on
the front page of the downloaded application. If you download the wrong application, and it is
prior to the deadline date, simply go back to Grants.gov and obtain the correct application and
resubmit.
b. Mandatory Fields on Application Download Forms. Forms in the Application download
contain fields with a yellow background. These data fields are mandatory and must be
completed. Failure to complete the fields will result in an error message when checking the
package for errors.
e. Completion of SF424 Fields First. The forms in the application package are designed to
automatically populate common data such as the applicant name and address, DUNS number,
44
eta In order to trigger this function, the SF424 must be completed first. Once applicants
complete the SF424, the entered information will transfer to the other forms.
d. Submission of Narrative Statements, Third -Party Letters, Certifications, and Program -
Specific Forms. In addition to program -specific forms, many of the NOFAs require the
submission of other documentation, such as third -party letters, certifications, or program
narrative statements. This section discusses how you should submit this additional information,
electronically, as part of your application:
(1) Narrative Statements to the Factors for Award If you are required to submit narrative
statements, you must submit them as an electronic file in Microsoft Word Office 2007 (or
earlier) (.doc), Microsoft Excel 2007 (or earlier) (.xls), or in Adobe (.pdf) format that is
compatible with Adobe Reader 9.4 or the latest version available from Grants.gov. If HUD
receives a file in a format or software other than those specified or that is not compatible
with HUD software, HUD will not be able to read the file, and it will not be reviewed. Each
response to a Factor for Award should be clearly identified and can be incorporated into a single
attachment or all attachments can be zipped together into a single attached ZIP file. However,
HUD advises applicants that files zipped within zipped files cause problems and can result in the
application attachments being unopenable or unreadable. Applicants should develop files, then
zip the files together, and then place them as an attachment to the application. If you have any
questions, you can contact the NOFA Information Center or the HUD program contact listed in
the program NOFA. Documents that applicants possess in electronic format, e.g., narratives they
have written, must be submitted as Microsoft documents; graphic images (such as computer
aided design (CAD) files from an architect) must be saved in PDF format. The documents must
be compatible with Adobe Reader 9.4 or above and be attached using the "Attachments" form
included in the application package downloaded from Grants.gov. In addition, some NOFAs
may request photographs. If this is the case, then the photographs should be saved in .jpg or
jpeg format and be attached using the "Attachments" form. When creating attachments to your
application, please follow these rules:
(a) DO NOT attach a copy of the electronic application with your attachments as an
attachment file. HUD cannot open such files when the application is attached as an attachment
file.
(b) Check the attachment file and make sure it has a file extension of .doc, .pdf, .xls, .jpg,
or .jpeg or, if you save files in Microsoft Office 2007, the file extensions should be as follows:
Word 2007 File Type Extension
(i) docx -.Ward 2007 y Mi_, Document
Excel 2007 File Type Extension
(ii) xlsx - Excel 2007 XML Workbook
PowerPoint 2007 File Extension Type
(iii) pptx — PowerPoint 2007
W,
(c) File Extensions. Make sure that file extensions are not in upper case. File extensions
must be lower case for the file to be opened. The software will automatically insert the correct
file extension when saved.
(d) DO NOT adjust file extensions to try to make them conform to HUD standards. If
you have problems, please contact the HUD contact listed in the NOFA.
(e) DO NOT use special characters (i.e., #, %, /, etc.) in a file name.
(f) DO NOT include spaces in the file name.
(g) Limit file names to not more than 50 characters. HUD recommends that file names
be no more than 32 characters.
(h) DO NOT convert Word files or Excel files into PDF format. Converting to PDF
format increases file size and will make it more difficult to upload the application and does not
allow HUD to enter data from the Excel files into a database.
(i) DO NOT submit applications larger than 150 megabytes. These file sizes are difficult
to upload and HUD cannot guarantee that they can be processed, as its system has not been
tested with files larger than 150 megabytes.
Failure to follow the directions for items (e), (f), and (g) will result in your application being
rejected with a "VirusDetect" error message.
(2) ZIP Files. In order to reduce the size of attachments, applicants can compress several
files using a ZIP utility. Applicants can then attach the zipped file as described above. HUD's
standard zip utility is WinZip 14. Files compressed with the WinZip utility must use WinZip 14
or earlier versions and must be zipped using either the "Normal" option or "Maximum
(portable)" option available to ensure that HUD is able to open the file. Files received using
compression methods other than "Normal" or "Maximum (portable)," or which have been zipped
with a version of WinZip later than WinZip 14, cannot be opened by HUD and will not be
reviewed. Applicants should be aware that if HUD receives files compressed using another
utility, or not in accord with these directions, it cannot open the files and, therefore, such
files will not be reviewed.
(3) Third -Party Letters, Certifications Requiring_ Signatures, and Other Documentation.
Applicants required to submit third -party documentation (e.g., establishing matching or
leveraged funds, documentation of 501(c)(3) status or incorporation papers, documents that
support the need for the program, Memorandums of Understanding (MOUs), or program -
required -documentation that supports your organization's claims regarding work that has been
done to remove regulatory barriers to affordable housing) can choose from the following two
options as a way to provide HUD with the documentation:
(a) Scanning Documents to Create Electronic Files. Scanning documents increases the
size of files. If your computer has the memory and capacity to upload scanned documents,
submit your documents with the application by using the Attachments form in the Mandatory or
Optional Forms section of the application. If your computer does not have the memory to upload
scanned documents, you should submit them via fax, as described below. Electronic files must
be labeled so that the recipient at HUD will know what the files contain. Program NOFAs will
indicate any naming conventions that applicants must use when submitting files using the
46
Attachments form. Please note that if you do not comply with the file name limit of NOT
more than 50 characters (HUD recommends 32), and the prohibition on using spaces and
special characters in the file name, the Grants.gov system will treat these files as though
they had a virus, and the application will be rejected with a "VirusDetect" error message.
If an applicant received a "VirusDetect" error message and the package has been checked for
viruses, applicants should check their attachment file names for length, delete any spaces, and
delete any special characters. Although 50 characters can be taken into the Grants.gov system
and HUD's systems, HUD highly recommends that file names be no more than 32 characters.
Once the deficiencies have been addressed, applicants should save the application file, and the
newly renamed attachments, and close the application down. Remove any cookies, reboot your
computer, and then submit the application. Grants.gov advises submitting the application from
Internet Explorer.
(b) Faxing Required Documentation. Applicants may fax the required documentation as
program -specific forms to HUD. Applicants should use this method only when documents
cannot be attached to the electronic application package as a .pdf, .doc, .xls, jpeg, or .jpg, or
when the size of the submission is too large to upload from the applicant's computer. If an
applicant is trying to submit the application including scanned documents, and the application
does not upload quickly to Grants.gov, HUD advises the applicant to either reconvert the
scanned documents back to Microsoft Word or Excel files or send the attachments in using the
fax method, because the size of the scanned attachment files may be exceeding the capacity of
your computer, or of your Internet server, or your Internet service provider, to process the files
and obtain a successful upload to Grants.gov.
HUD will not accept entire applications by fax and will disqualify applications submitted
entirely in that manner.
(i) Fax form HUD96011, "Third _Party_Documentation_ Facsimile_ Transmittal" (HUD
Facsimile Transmittal on Grants.gov). Facsimiles submitted in response to a NOFA must use
the form HUD96011. The Facsimile Transmittal form, found in the downloaded application,
contains a unique identifier that allows HUD to match an applicant's submitted application via
Grants.gov with faxes coming from a variety of sources. Each time the application package is
downloaded, the Facsimile Transmittal form in the package is given a unique ID number. To
ensure that all the documents faxed in support of your application contain the same unique ID
number, when you have downloaded your application package from Grants.gov, be sure to first
complete the SF424 and save the application package on your hard drive or shared network
drive, and then provide copies of the form HUD96011 from the saved application package to
third parties that will submit information in support of your application. Do not download the
same application package from Grants.gov more than once for each application that you
are going to submit, because if the unique identifier on the Facsimile Transmittal form
covering documents faxed in support of your application does not match the unique
identifier in your application, HUD will not be able to match the faxes received to your
application submission. Applicants submitting more than one application under a funding
opportunity must download a separate application package from Grants.gov so that each
application submitted will have its own unique embedded ID number. Applicants must use a
unique application for each funding request. Each application downloaded from Grants.gov
contains a unique ID number that is used to associate any materials transmitted by facsimile to a
47
single funding request submitted for an organization. To associate faxed materials, the unique
ID on an application has to match the unique ID on the Facsimile Transmittal form used as the
cover page. Reusing a previously submitted application for another project or another
organization's submission will result in HUD not being, able to match the faxes received to the
appropriate application. HUD will not match documents submitted via fax using the same ID
number in two or more funding requests or without using the HUD96011 Facsimile Transmittal
as the first sheet on the transmitted materials, or faxed to the wrong fax number.
Faxes that cannot be matched to an application will not be considered in the review
process.
If you have to provide a copy of the form HUD96011 to another party that will be
responsible for faxing an item as part of your application, print a copy of the Facsimile
Transmittal from your downloaded application and provide that copy to the third party for use
with the fax transmission. Please instruct third parties to use the form HUD9601 I that you have
provided as a cover page when they submit information supporting your application using the
facsimile method, because it contains the embedded ID number that is unique to your
application submission.
(ii) Use form HUD96011 as the fax cover page. For HUD to correctly match a fax to a
particular application, the applicant must use, and require third parties that fax documentation on
its behalf to use, the form HUD9601 I Facsimile Transmittal as the cover page of the facsimile.
Using the form HUD96011 will ensure that HUD can electronically read faxes submitted by and
on behalf of an applicant and can match them to the applicant's application package received via
Grants.gov.
Failure to use form HUD96011 as the cover page to a fax and that is associated with a
unique application downloaded from Grants.gov per funding request will create a problem in
electronically matching your faxes to the application. If HUD is unable to match the faxes
electronically due to an applicant's reusing an application for more than one funding request or
for failure to follow these directions, it will result in the faxed material not being considered in
rating the application. HUD will not hand -match faxes to applications for which materials have
been faxed that fail to follow the directions.
If your facsimile machine automatically creates a cover page, turn this feature off
before faxing information to HUD. After the feature has been disabled, send a test fax to
ensure the feature has been completely disabled.
(ii) HUD Fax Number. Applicants and third parties submitting information on their
behalf must use the form HUD9601 I Facsimile Transmittal as the fax cover page and must send
the information to the following toll -free fax number: 800-HUD-1010. If you cannot access the
toll -free 800 number or experience problems, you may use 215-825-879$ (this is not atoll -free
number). Your application will be reviewed without faxed information if you fail to use the
FY2011 fax numbers.
(iv) Fax Individual Documents as Separate Transmissions. It is highly recommended
that applicants fax individual documents as separate submissions to avoid fax transmission
problems. When faxing two or more documents to HUD, applicants must use the form
48
HUD96011 as the cover page for each document (e.g., Letter of Matching or Leveraging Funds,
Memorandum of Understanding, Certification of Consistency with the Consolidated Plan, eta).
Please be aware that faxing large documents at one time may result in transmission failures.
(v) Check Accuracy of Fax Transmission. Be sure to check the record of your
transmission issued by the fax machine to ensure that your fax submission was completed "OK."
For large or long documents, HUD suggests that you divide them into smaller sections for faxing
purposes. Each time you fax a document that you have divided into smaller sections, you should
indicate on the cover sheet what part of the overall section you are submitting (e.g., "part 1 of 4
parts" or "pages 1 to 10 of 20 pages").
Your facsimile machine should provide you with a record of whether HUD received your
transmission. If you get a negative response or a transmission error, you should resubmit the
document until you confirm that HUD has received your transmission. HUD does not
acknowledge that it received a fax successfully. When receiving a fax electronically, HUD will
electronically read it with an optical character reader and attach it to the application submitted
through grants. goy. Applicants and third parties submitting information on their behalf may
submit information by facsimile at any time before the application deadline date. Applicants
must ensure that the form HUD96011 used to fax information is part of the application package
downloaded from Grants.gov. As stated previously, if your facsimile machine automatically
generates a cover page, you must ensure that you turn that feature off and use the form
HUD96011 as the cover page. Also ensure that the fax is transmitted to fit 81/z x 11" letter -size
paper.
(vi) Preview your Fax Transmission. HUD recommends that you "preview" how your
fax will be transmitted by using the copy feature on your facsimile machine to make a copy of
the first two or three pages. This way, you will see what HUD will receive as a fax. If the fax is
not clear or cuts off at the bottom of the page, applicants should use a different facsimile
machine or have the machine adjusted. All faxed materials must be received no later than
11:59:59 p.m. eastern time on the application deadline date. HUD will store the information and
match it to the electronic application when HUD receives it from Grants.gov. If you are not
faxing any documents, you must still complete the Facsimile Transmittal form. In the
section of the form titled "Name of Document Transmitting," enter the words "Nothing
Faxed with this Application." Complete the remaining highlighted fields and enter the
number "1" in the section of the form titled "How many pages (including cover) are being
faxed".
(vii) If You Resubmit an Application. Please be aware that a resubmitted application
must meet the timely receipt requirements of this notice. All documents faxed in support of the
application should be faxed again using the form HUD96011, Facsimile Transmittal that you
saved for that application. Fax the materials after your resubmitted application has been received
by HUD. Please be sure to allow time for your application to be received and faxed materials to
be sent after receipt.
7. Steps to Take Before You Submit Your Application. Approximately one week before
submitting an application, each applicant should configure its proxy and cache servers to ensure
transmission of its application to Grants.gov. Grants.gov uses HTTP post protocols on port 80
(your technical support will be able to assist). Prior to submitting, applicants should review the
49
application package and all the attachments to make sure the application contains all the
documents the applicant wants to submit. If it does, save it to your computer and remove
previously saved versions. Check your AOR status on Grants.gov to make sure your eBusiness
POC has authorized you to submit an application on behalf of the applicant organization. Run
the Check Package for Errors feature on the application package and correct any problems
identified. Contact any persons or entities that were to submit third -party faxes to make sure that
the faxes have been submitted using the form HUD96011, Facsimile Transmittal, as the cover
page that you provided in accordance with instructions in this General Section. Check your
email system to ensure that it allows receipt of messages fromt cr:dc�, Microsoft
Outlook users can set their email to receive messages from 5.uppory by going to their
email Inbox, clicking on "Actions" and selecting "Junk Email,", and then selecting "Junk Email
Options." A dialog box will come up. Click "OK." Another dialog box will appear and select
the "Safe Senders" folder. Then add @grants.gov to the list of acceptable email domains. Click
"OK." Applicants not using Microsoft Outlook should check with their software provider or IT
staff to get directions on how to allow email from Grants.gov to come into your Inbox. This is
critical as notices of receipt, validation, or rejection are sent by email. Grants.gov sends the
email notification to the email address registered during the registration process. The email from
Grants.gov does not go to the contact name listed on the SF424 Application for Federal
Assistance, but to the person designated in the registration at Grants.gov. Also check your Trust
Manager to ensure that it will allow files to go to all sites. To enable Trust Manager, follow the
steps below:
a. Click on Edit;
b. Then click on Preferences;
c. Then click Trust Manager in the left-hand pane;
d. Click on Change Settings on the ensuing window;
e. Select allow all sites listed toward the top of the page;
f. Click on OK;
g. Click on JavaScript on the left-hand side of the screen;
h. Make sure everything is checked here except for things under the Debugger heading (do not
change);
i. Click on OK until you get out of the preferences windows;
j. When this has been done, you can try submitting your application. Click "Allow" on the _pop-
up window.
C. Receipt Dates and Times
Please note: Applicants under the Continuum of Care program should follow the directions for
application submission and timely receipt that are contained in the Continuum of Care program
NOFA. The instructions below apply only to applicants submitting applications via the federal
portal vww.Cr nts,90V,
1. Application Deadline. The application deadline for receipt of HUD applications via
Grants.gov is 11:59:59 p.m. eastern time on the date identified in the published program NOFA.
50
As a result, applications must be received by Grants.gov by the deadline in order to meet the
program NOFA deadline. Received means that the application has been successfully uploaded to
the Grants.gov server and the applicant has received confirmation of successful submission to
Grants.gov. Applicants should be aware that hitting the "sign and submit" button to transmit the
application does not mean the application has been successfully uploaded to Grants.gov. Only
when the upload is complete is the application date and time stamped by the Grants.gov system.
An application that has been rejected by Grants.gov is not deemed to have been received by
Grants.gov. (Please see Section IV.C.4.a. below for a detailed explanation of Timely Receipt
Requirements and Proof that Requirements are Met) As in the past, HUD encourages applicants
to submit their applications early and with sufficient time to address any issues that might affect
the applicant's ability to have an application successfully uploaded and received by Grants.gov.
HUD may extend the application deadline for any program in the following
circumstances.
(a) The Grants.gov system is down and not available to applicants for at least 24 hours
prior to the deadline date, or the system is down for 24 hours or longer, impacting the ability of
applicants to cure a submission deficiency within the grace period; or
(b) There is a presidentially declared disaster in the applicant's area.
In the event of either or both of these events, HUD will publish a notice extending the
deadline or cure period, for affected applicants.
NOTE: Busy servers or slow processing are not the basis for HUD to extend the deadline dates
or the grace period.
In FY2011, HUD is amending its one -day grace period policy. The paragraphs below
describe HUD's Grace Period Policy for FY2011. Please note that the Grace Period Policy does
not apply to applications submitted in paper after receiving a waiver to the electronic application
submission requirement.
a. Applicants that have successfully uploaded their application to Grants.gov prior to the
deadline, and subsequently receive a rejection notice from Grants.gov have a grace period of
one -day beyond the deadline date and time published in the program NOFA to submit a
corrected application that is received and validated by Grants.gov. The Grants.gov rejection
notice identifies the reasons why the application was rejected. Applicants that do not understand
the error messages received in the rejection notice should immediately contact the Grants.gov
Help Desk so they can get assistance in clearing the problem. Generally, Grants.gov will reject
an application because it contains an incorrect DUNS number or a DUNS number that does not
match the AOR's registration, the application was submitted by an individual without proper
authorization as the AOR, and/or the application contains file names that trigger a "VirusDetect"
message. The grace period ends at 11:59:59 p.m. eastern time one day after the deadline date
and time published in the program NOFA.
WARNING: Applications that contain file names that are longer than 50 characters or contain
spaces or special characters will result in the file being detected as a virus by the Grants.gov
system and the application will be rejected with a "VirusDetect" message. In FY2009, most
instances of an applicant receiving a "VirusDetect" rejection were due to files having spaces and
51
special characters. Applicants should also scan files for viruses because the Grants.gov system
will also reject files with viruses.
Applications received by Grants.gov, including those received during the grace period,
must be validated by Grants.gov to be rated or ranked or receive funding consideration by HUD.
HUD will use the date and time stamp on the Grants.gov system to determine dates when the
grace period begins and ends. If the applicant has submitted an application multiple times, HUD
will only consider the last application received and validated by Grants.gov in accordance with
the timely receipt requirements. This provision includes applications received during the grace
period. HUD will use the Grants.gov date and time stamps to determine the last application
received and validated.
b. Applications uploaded to Grants.gov after the deadline date under the following circumstances
do not qualify for the grace period and will not be considered for funding:
(1) Applications received by Grants.gov after the deadline date and time for which there
is no prior evidence of a rejection for the same opportunity in the Grants.gov system logs will be
considered late and will not be rated and ranked or receive funding consideration. Failure to
have an application received by Grants.gov by the deadline date and time as documented by a
time and date stamp in the Grants.gov system, does not qualify for the grace period, as described
above.
(2) Applications receiving a rejection notice due to the funding opportunity being closed
will not be provided the one -day grace period to correct the "opportunity closed" deficiency or
any other basis for rejection because the applicant missed the deadline date and time and
therefore does not qualify for the grace period as described above.
(3) If an application is received during the grace period and is subsequently rejected after
the grace period ends, the applicant will not be afforded additional time to correct the
deficiency(ies) noted in the rejection notice.
c. The grace period ends at 11:59:59 p.m. eastern time, one day after the deadline date and time
posted in the program NOFA, and any technical corrections to that NOFA affecting the deadline
date and time. Applicants must ensure that their email notification address contained in the
Grants.gov registration is up-to-date. Neither HUD nor Grants.gov will be responsible if email
messages are not received at the address listed in the registration process. Applicants must also
ensure that their email systems will accept messages from Su�rt rtrnts,c�, and set their
Internet service provider SPAM filter to accept emails from Support@Grants.gov. Applicants
are responsible for monitoring their email messages. Applicants are advised that they can also
track their application status on line by going to www.Grants.gov and clicking on "Track My
Application" and then entering the Grant tracking number received on the upload confirmation
screen. Applications will not be considered if they are uploaded and received after the grace
period. Failure to receive an email notification is not a basis of appeal for an otherwise ineligible
application to receive consideration for funding.
Applicants are advised to monitor the Grants.gov system using the Grants.gov blog at
http.,/,iLyrants-(_-)7c)N,,,blo-,s-t.corr;. The Grants.gov blog provides information on server capacity,
traffic on the Grants.gov site, and other federal grant closings each day. Applicants should
monitor the site and take into account the amount of traffic on the site when applying.
M
2. Limited Time for Correction of Rejection Errors. An applicant will not be provided
additional opportunities to correct rejection errors if an application is rejected after the one -day
grace period has expired.
As with any electronic system, applicants may experience issues when attempting to
submit their application, which do not permit the uploading of the application to Grants.gov.
Such issues can be due to firewall and virus protection software that the applicant has placed on
their system or network; proxy and cache settings, Internet traffic; limitation on the size of the
files attempting to be transmitted, established at the applicant's site or by the applicant's Internet
provider; Grants.gov servers experiencing busy traffic; or any number of issues. Therefore,
HUD strongly advises applicants to submit their applications at least 48 hours prior to the
deadline and when the Grants.gov Help Desk is open so that assistance can be provided.
Assistance may require diagnosing an applicant's particular issues. An applicant that does not
follow HUD's advice increases the applicant's risk of not being able to meet the timely receipt
requirements. A submission attempt less than the recommended 48 hours before the deadline
does not allow the time needed to research the reason for the problem or to work with the
applicant in overcoming the uploading difficulty. Similarly, attempting to submit within 24
hours of the deadline or on federal holidays when the Grants.gov Help Desk is closed does not
allow the time needed for Grants.gov to provide the needed assistance. In addition, HUD staff
cannot provide assistance or contact Grants.gov on your behalf after the HUD business hours or
when the Grants.gov Help Desk is closed.
3. Grants.gov Application Processing Steps and Notifications
After successful upload of an application to Grants.gov, the following processes will
occur:
a. Confirmation of Submission to Grants.gov. When an application is successfully uploaded
to Grants.gov, the AOR submitting the application will receive a confirmation screen on his or
her computer that informs the submitter that the application has been successfully uploaded to
Grants.gov and is being processed. This confirmation will include a tracking number. Print this
confirmation out and save it for your records. If you submitted multiple applications, check your
confirmation for each application submitted. The tracking number, CFDA Number, and Funding
Opportunity Number, as well as the date and time of submission will appear on the confirmation.
If you do not receive this confirmation, it usually means that your application has not been
successfully uploaded. If your screen goes blank or you have problems uploading or your
computer is not saving files, it usually means that your computer does not have sufficient
memory or processing capability to store and upload the. application. If you experiencethese
difficulties, you should go to x_ -a ts. ox/ and log in using your user name and password,
and then click on "Check Application Status." If your application does not appear, you should
immediately call Grants.gov support at 800-518-GRANTS for assistance (this is a toll -free
number). If the Help Desk is closed, you should try reducing the size of your application or
temporarily taking files off your computer to reduce the demand on your system. The files that
were removed can be placed back on your system after uploading the application. (See
information on Adobe Version system requirements contained in Section IV.13.5 of this General
Section.) HUD also recommends checking to ensure that the applicant's firewalls and anti -virus
software allows access to the Grants.gov system. HUD also recommends that the applicant
check the file size that they intend to upload to Grants.gov and make sure that their computer has
53
sufficient memory to process the application; the Internet service they have with their Internet
Service Provider allows them to transmit a file of that size and, if not, either reduce the file size
by using the facsimile resource or increasing the service capacity contracted with the service
provider; and that their internal network will allow a file of that size to be uploaded. If your
internal network has file size limits, the applicant can reduce the file size by using the facsimile
resource or work with their IT staff to allow a larger size application to be accepted by their
network.
b. Application Submission Validation Check. The application will then go through a
validation process. The validation check ensures that:
(1) The application is virus free (this includes that the file names comply with the
required size limits and spacing and special characters limitations);
(2) The DUNS number submitted on the application matches the DUNS number in the
registration, and that the AOR has been authorized to submit the application for funding by the
organization identified by its DUNS number;
(3) The AOR has been authorized by the applicant's E-Biz POC to submit the
application;
(4) Information was entered in all the mandatory (highlighted) fields and forms were
completed on the application; and
(5) The correct version of Adobe Reader was used in completing the application package
forms.
e. Application Validation and Rejection Notification. If the application fails any of the above
items during the validation check, the grant application will be rejected and Grants.gov will send
an email to the person denoted by the applicant in the registration process to receive email
notifications from Grants.gov. The email will indicate that the grant application has been
rejected. The email will also include the reasons why the application was rejected. The email
will come from The validation check can occur 24 to 48 hours after the
application submission.
(1) Applicants receiving a rejection notice have the opportunity to cure the rejection
under the terms and provisions listed under HUD's grace period policy.
(2) HUD also expects applicants to track their application status by going to
vx ww.Grants,(Yo and clicking on "Track My Application".
4. Timely Receipt Requirements and Other Important Information
a. Timely Receipt Requirements and Proof that the Requirements Are Met.
Timely receipt is determined by the logs in the Grants.gov system. Applicants are also
notified of the various steps in the application receipt process. A valid application not only has
to be received by Grants.gov but also needs to be validated by the Grants.gov system for HUD to
be able to pull the application for review and funding consideration. The steps in the receipt
process are identified below as well as the means by which applicants can track their applications
through the process. The Grants.gov system provides applicants with three ways to check the
status of their application. In addition to the Confirmation Receipt that is displayed on the
54
computer screen at the time the application upload to grants.gov has been completed, and the
follow-up email `'Received Receipt" from Grants.gov; followed by the Validation or Rejection
email notification, Grants.gov now offers the ability to track the status of your application on
line. The various ways to track your application as it processes through the Grants.gov system
are described below. The fastest way to check the application status is to use the on-line "Track
My Application" identified in item h. below.
(1) Proof of Application Receipt. Receipt times and rejection notifications are
automatically recorded by Grants.gov. An electronic time stamp is generated within the system
when the application has been successfully received, the application has been validated, or when
an application has been rejected. HUD will use these date stamps to determine whether an
application meets the timely receipt requirements.
(2) Confirmation Receipt. Upon submitting an application at Grants.gov, the person
submitting the application will see a confirmation screen appear on their computer. The
confirmation advises the submitter that the application has been successfully uploaded to
Grants.gov. This confirmation will also include the Grants.gov tracking number. Print the
confirmation and save it with your records. If you do not receive the confirmation screen, go to
www,Grants.gov, and using the AOR user name and password, click on "Check Application
Status." If there is no data to display for the submitted application, the application was not
successfully uploaded and not received by Grants.gov.
(3) Grants.gov Receipt Email. Shortly after displaying the successful submission
confirmation screen, Grants.gov will send a Receipt Notice to the email address listed in the
registration. The Receipt Notice will identify the application submitted and the date and time it
was received by Grants.gov. HUD will use this date and time stamp to determine if the
application was received by Grants.gov in accordance with the timely receipt requirements in
this notice. The Receipt Notice merely acknowledges that an application was received. The next
step in the process is the validation of the registration information against the DUNS number
information and the applicant electronic signature in the application submitted to Grants.gov; and
a check to see that there are no viruses in the application or that the attachment files met the file,
naming conventions contained in this notice so as to be compatible with the Grants.gov system.
(4) Validation Receipt via Email. Within 24 to 48 hours after receiving the Receipt
Notice email, the applicant will receive a validation receipt or rejection notice via email. The
validation receipt indicates that the application has passed the validation review at Grants.gov
and that the application is ready to be retrieved by the grantor agency for agency processing.
Please be aware that the Grants.gov validation does not indicate that your application has met
HUD's requirements; rather, the validation merely indicates that the application has been
successfully received by the Grants.gov system and is ready for the grantor agency to pull the
application from Grants.gov to the grantor agency system for review and evaluation. Applicants
should also be aware that if they do not follow the directions in this General Section concerning
file names, completing mandatory fields, or software compatible with HUD systems, run the risk
of the application not meeting HUD system standards.
(5) Rejection Notice. If an application fails the Grants.gov validation process, the
applicant is sent by email a rejection notice within 24 to 48 hours after the notification of receipt
by Grants.gov. The email notification will be sent to the email address registered in the
55
Grants.gov system to receive email notifications. The applicant can also see the reasons for
rejection by logging on to Grants.gov and checking the status of their application. The "Track
My Application" link will tell the applicant the status, but if rejected, the applicant should log on
to Grants.gov and they will be able to obtain the full details of the reason for rejection using the
"Check the Status of My Application" link. The applicant should review the rejection notice
because it will include the reason(s) for rejection. If the rejection notice is received prior to the
deadline date, the AOR should try to cure the deficiencies identified and resubmit the application
as soon as possible prior to the deadline. If the rejection notice is received after the deadline
date, the AOR should try to cure the deficiencies identified and resubmit the application prior to
the end of the grace period. The most common rejection notices are:
(a) Invalid DUNS
"The DUNS number entered in your package is invalid or does not match the DUNS number
that is registered with the Central Contractor Registry (CCR). Please verify that the DUNS
number is entered correctly, and is the same as in your Central Contractor Registry (CCR)
registration."
(b) Password ID.
If the submitter submits using a password not associated with the User ID or if the submitter
forgets or confuses the password, the submitter will not be able to log onto Grants.gov.
Attempts to log on using the wrong password/ID combination will result in a pop-up JAVA
Script Window with a Warning Notice. The notice states, "Grants.gov cannot log you in with
the provided credentials. You have made 1 of 3 allowed failed log ins. Please verify your user
name and password and attempt to login again." Applicants can get their password reset by
going to their credential provider, obtaining a new password, registering that password at
Grants.gov and having the E-Biz Point of Contact authorize the submitter as an AOR to submit
the application under the applicant DUNS number using the registered credentials.
(c) Not Authorized
(i) A User that uses a User ID/Password combination that is registered but has not been
authorized by the applicant's E-Biz POC will receive a rejection message that states, "You are
not designated by your organization to be an Authorized Organizational Representative and your
application cannot be validated. You either have not successfully completed the registration
process or your E-Biz POC has not authorized you to submit on behalf of your organization." To
verify whether you have been successfully registered with Grants.gov, click
rov//Aointiicll. To check to see if you have been
designated by the E-Biz POC as an AOR, go to ruts Lyov,'a scants/or
(ii) Applicants that may have an authorized user name/password but who enter the DUNS
number incorrectly, or who use a DUNS number that they have not been authorized to use, will
receive the "NOT AUTHORIZED" rejection in combination with the invalid DUNS message.
(iii) Individuals who attempt to apply for a grant for which individuals are not an eligible
applicant will receive the Not Authorized and Invalid DUNS rejection notices, plus a third
rejection notice that states: "The grant opportunity for which you have applied is designated for
Authorized Organization Representatives (AOR) only. However, your application or a
grant/grants was not submitted on behalf of a company, organization, institution, or government.
An AOR submits a grant on behalf of a company, organization, institution, or government.
0
AORs have the authority to sign grant applications and the required certifications and/or
assurances that are necessary to fulfill the requirements of the application process."
(d) Virus Detect.
A "VirusDetect" rejection message can be received if the application contains a virus or if the
application submission contains files which do not meet the file -naming conventions stated in
this notice.
(6) Most Common Reasons for Rejection. HUD has found that the most common reason
for rejection of an application by Grants.gov was the failure of the applicant to be authorized by
their E-Biz POC to submit the application on behalf of the applicant organization. The second -
most common error was an applicant including spaces, special characters, and/or using more
than 50 characters in an attachment file name, which resulted in a "VirusDetect" error. The
third -most common error was an applicant not submitting the application using the correct
DUNS number associated to the applicant organization for which the applicant was the
authorized AOR. If you submit an application with a DUNS number that does not match the
registration information you will receive three error messages.
(7) Save and File Receipts. Applicants should save all receipts from Grants.gov, as well
as facsimile receipts, for proof of timely submission. Applicants will be considered meeting the
timely submission requirements based upon the requirements in Section W.C. "Receipt Dates
and Times", and when all fax transmissions have been received by 11:59:59 p.m. eastern time on
the deadline date stated in the program NOFA.
(8) Checking the Status of Your Application Online. Because the notice might
potentially be delayed or blocked by a spam filter, or an applicant's fire wall, or otherwise not
received, applicants should not depend on receipt of an email notification that their application
has been accepted by Grants.gov. As soon as applicants receive the application tracking number
on the confirmation screen following successful transmission, applicants should immediately
track the status of their application by selecting "Track My Application" on the Grants.gov home
page and entering the Grant Tracking Number received on the confirmation screen. Grants.gov
allows applicants to check the status of their application online two ways. To quickly check your
application status, simply select Track My Application on the Grants.gov home page. For a
more thorough check, click on Applicant Login, and then enter your user name and password.
All applications submitted by the applicant with the user name and password entered in the login
screen will be identified and the status will be displayed. By Logging into Grants.gov, applicants
can also view the list of forms and files received with their application package. This link is
available for each application under Submission Files/Names in Check Application Status. Be
- -- sure to review the list to see that all your files are included in your submission. This will ensure
that you submitted and Grants.gov received what you intended to submit. Applicants are
obligated to check the on-line status of their application if they do not receive an immediate
confirmation notice or an email notice of receipt as well as validation. HUD advises applicants
to use this service to make sure the application was received by Grants.gov in accordance with
Section IV.C., entitled "Receipt Dates and Times" and to track the application to see if it is
validated or rejected by Grants.gov. Applications submitted after the one -day grace period
stipulated in Section W.C. ``Receipt Dates and Times" will be considered late and will not
receive funding consideration.
M
(9) Understanding the Status Messages. If the application has not been uploaded or
received by Grants.gov, the status message will state, "No data to display." Applicants seeing
this message should attempt to submit their application if the deadline date has not passed. HUD
will not accept an application that is received after the deadline date and time, if there is no prior
record of a rejection notice.
If an application has been received, Grants.gov will note on the "Application Status"
display that the application has been received. If the application has been received and validated,
the status will display as validated.
If an application has been rejected, the status will display that the application has been
rejected with errors, and the applicant should click on the rejection to see what the error message
was or should consult his or her email for the reasons for the rejection.
If an application has been received by HUD, the status will note that the application has
been received by the granting agency.
When HUD assigns a tracking number, the status will indicate that the agency has
assigned a tracking number.
Applications are not received by HUD until HUD pulls the application from Grants.gov.
As long as the application shows as having been validated by Grants.gov in accordance with the
timely receipt requirement stated in this notice, applicants should not be concerned that the
application was not received by HUD or not assigned a tracking number. That step of the
process will occur when HUD pulls the applications from the Grants.gov site into its backend
system.
(10) Grants.gov Support Ticket Numbers. If you call the Grants.gov Support Help Desk,
the operator will provide you with a call reference ticket number. Applicants should retain a
record of the call ticket number(s) along with the application receipts or rejection notices
received from Grants.gov. If the Help Desk does not offer a ticket number, ask for one.
b. Late applications.
(1) Applications received by Grants.gov after the program NOFA deadline date or that do
not meet the requirements of HUD's grace period policy will be considered a late application and
will not be considered for funding. Applicants should pay close attention to the grace period
policy and the timely receipt instructions, as they can make a difference in whether HUD will
accept the application for funding consideration.
(2) The Grace Period Policy is not applicable to applications- received- in paper format.
Applications received after the stipulated date and time for receipt of the paper application will
be considered late.
(3) HUD will not consider application information submitted by facsimile as part of the
application, if received by HUD after the published deadline date, unless directed by HUD under
the terms of Section V.13.2., Corrections to Deficient Applications. There is no grace period for
submission of facsimile transmissions, as the facsimile system is not part of Grants.gov. Please
take into account the transmission time required for facsimile documents related to your
application.- Every time you submit an application, you must also refax all the documentation,
58
making sure that you use the form HUD96011, Facsimile Transmittal, as the first page of each
document you fax.
HUD recommends that applicants submit their applications during the operating hours of
the Grants.gov Help Desk so that, if there are questions concerning transmission, operators will
be available to assist you through the process. Submitting your application early and during the
Help Desk hours will also ensure that you have sufficient time for the application to complete its
transmission before the application deadline.
c. Submission Tips.
(1) Multiple Applications. Applicants submitting multiple applications for different
organizations or multiple funding requests for the same organization but for different projects
MUST NOT use the same downloaded application package for all submissions. Each funding
request must have its own unique downloaded application and Form HUD96011 Facsimile
Transmittal. Every time an application package is downloaded, the form HUD96011 Facsimile
Transmittal is given a unique identifier. The unique identifier is embedded as an ID on the form
HUD96011. This unique ID allows any and all faxes containing the same embedded ID to be
appropriately matched to an application with the matching embedded ID number. When an
application is reused for multiple funding requests, the faxes cannot be matched. HUD will not
match documents submitted via fax using the same ID number in two or more funding requests
or without using the Form HUD9601 I Facsimile Transmittal as the first sheet on the transmitted
materials, or faxed to the wrong fax number.
(2) Delayed Transmission Time. Applicants using dial -up connections should be aware
that transmitting your application takes extra time before Grants.gov receives it. Grants.gov will
provide either an error or a successfully received transmission message. The Grants.gov Help
Desk reports that some applicants abort the transmission because they think that nothing is
occurring during the transmission process. Please be patient and give the system time to process
the application. Uploading and transmitting a large file, particularly electronic forms with
associated eXtensible mark-up language (XML) schema, will take considerable time to process
and be received by Grants.gov. However, the upload even for large files should not take longer
than 30 minutes. If you are still waiting after 30 minutes for the submission to be uploaded
to Grants.gov, stop the transmission and check the available disk space and memory on
your computer or check to see if you followed the submission requirements, including
naming of files, and that you are using compatible versions of Adobe Reader with Adobe
Professional on your computer operating system. HUD has found that difficulty in uploading
an application from the applicant's desktop is most frequently due to: (a) use of the wrong
DUNS number or user name/password combination; (b) the application package being too large
to be handled by the applicant's computer; (c) the applicant not downloading and setting the
default settings to be compatible with the version of Adobe Reader downloaded; (d) the local
entity's network limiting the size of files going in or out; (e) the Internet service provider having
a file size limit (it often depends on the level of service contracted for); (f) the applicant's
firewall is set to limit files going in or out, or limit access to certain websites; and (g) the
applicant's anti -virus software or system set-up has placed other limits on accessing websites or
file contents. HUD has found that if applicants, when uploading their applications, were first
asked to permit access, it was usually because their firewall settings were preventing access to
other websites, which resulted in submission failures. Applicants should check their firewall
setting prior to beginning transmission to allow access to the Grants.gov portal. If you, the
im
applicant, are experiencing long upload delays, or you receive a time-out error message, you
should check your package for errors, and your anti -virus software, firewall, or Internet provider
to be sure that there are no file size limits, and work with your IT support to address Internet,
firewall, and anti -virus issues. In many instances, firewall and anti -virus protection can cause
transmission problems and need to be disabled to permit a successful transmission. Applicants
should also check their proxy and cache server configuration settings to ensure the application
can be transmitted to Grants.gov. Grants.gov uses HTTP post protocols on Port 80.
Please also ensure that file attachments are named in accordance with the directions in
this General Section. Be aware that multiple applications on a computer or very large files can
overwhelm the processing power of a computer. If this is the case, you are advised to reduce the
number and size of the attachment files by removing attachment files and submitting the
attachments via the facsimile method, using the form HUD96011 as the cover page, while the
application without attachments should be uploaded to Grants.gov. HUD will match applications
submitted to Grants.gov with facsimiles that have been transmitted following the directions in
this notice. DO NOT split attachment files into two separate applications. HUD can view only
the contents of a single application. For HUD to review the complete application, files must be
transmitted with the application or associated with an application through use of the facsimile
using the Facsimile Transmittal Form (form HUD96011) as the cover sheet. HUD will not
match attachment files submitted either in two applications, or without using the cover sheet.
(3) Using Task Manager to Monitor Processing_ Applicants experiencing long upload
times or seeing a screen that states "Processing do not close" can check to see if the application
is frozen or just taking awhile to upload by turning on the Task Manager to see if there is any
processing occurring. To view the Task Manager, press Ctrl+Alt+Delete (by holding down Ctrl
and Alt and then pressing Delete). A dialog box will appear; select Task Manager. There are
four tabs across the top of the Task Manager. Select the Performance tab; then you will see two
pairs of windows: CPU and Page file usage and usage history. The little windows on the right
side (usage history) look like little graphs moving from right to left about one tick every second.
As long as those graphs continue to move toward the left, you know your machine is not frozen.
If the graph lines stop moving for more than a few seconds, your machine is totally frozen and
you should immediately shut down the application, remove cookies, close down and reboot your
computer, and then try to upload again.
(4) Uploading Directly from Your Internet Browser. If you have difficulty submitting the
application, close down all applications, then reboot your computer and follow these steps:
(a) Open the Internet Explorer browser on your computer.
(b) Go to the File Menu and select "Open." This will cause the "Open" dialog box to
appear.
(c) Click on the browse button, and another dialog box will appear with access to your
files.
(d) In the dialog box, go to the drop -down menu for "File Types" and select "Ali Files."
(e) Through the dialog box, find the location of your saved application package
(including the attachments).
60
(f) Once you have located your application package, select it with your mouse and click
the "Open" button. The dialog box will disappear and the "Open" dialog box will still be
present.
(g) In the "Open" dialog box, click on the "OK" button. Your application package will
now appear.
(h) Within your application package, to submit, click on the "Submit and Save" button.
(5) Ensure You Have Installed the Free Grants.gov Software.
Check to ensure that the latest version of the Adobe Reader software available from
Grants.gov, which is free for system users, has been properly installed on your computer.
Applicants will find a link to the free software for download at the Download Application page
for the funding opportunity available on Grants.gov. HUD has found that an improper
installation or not using the recommended version of the Adobe Reader 9.4 software will result
in an application not being able to upload properly. If you are not sure how to determine if the
software is properly installed, call the Grants.gov Support Desk. If you are operating your
computer through a network, contact your system administrator to download the latest software.
Please allow sufficient time for your network system administrator to respond to your
request.
5. Adobe Reader Error Messages
A complete list of error messages can be found on Grants.gov at
Grants.gov has also established a troubleshooting page for applicants at
ht %"?t antolhr'tnic to i- Applicants are advised to be familiar with this page
and pass on this information and the General Section instructions to any persons working on
your application or charged with submitting the application on behalf of your organization.
D. Intergovernmental Review/State Points of Contact (SPOC).
Executive Order 12372, "Intergovernmental Review of Federal Programs," was issued to
foster intergovernmental partnership and strengthen federalism by relying on state and local
processes for the coordination and review of federal financial assistance and direct development.
HUD implementing regulations are published at 24 CFR part 52. The Executive Order allows
each state to designate an entity to perform a state review function. Applicants can find the
official listing of SPOCs for this review process at http://www.whitehouse.gov/omb/grants_spoc.
States not listed on the website have chosen not to participate in the intergovernmental review
process and, therefore, do not have a SPOC. If your state has a SPOC, you should contact the
SPOC to see if it is interested in reviewing your application before you submit it to HUD.
Please make sure that you allow ample time for this review when developing and
submitting your application. If your state does not have a SPOC, you can submit your
application directly to HUD using Grants.gov.
E. Funding Restrictions.
The individual program NOFAs will describe any funding restrictions that apply to each
program.
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F. Other Submission Requirements
1. Discrepancies between the NOFA posted on HUD Website and Other Documents.
The NOFA posted at www.grants.gov website is the official document that HUD uses to solicit
applications. Therefore, if there is a discrepancy between the NOFA posted on grants.gov and
other information provided in paper copy, electronic copy, at or on other websites, the posted
NOFA atvgrants, ov prevails. HUD will also post any corrections to a NOFA on the
Lv%vxv.grants.gov website and alert the public of this fact by Federal Register publication. Please
be sure to review your application submission against the requirements in the posted program
NOFA or NOFAs to which you are applying. If you note discrepancies, please notify HUD
immediately by calling the program contact listed in the NOFA, or the Office of Departmental
Grants Management at 202-708-0667 (this is not a toll -free number).
2. Application Certifications and Assurances. Applicants are placed on notice that by signing
(either through electronic submission or in paper copy submission, for those applicants granted a
waiver to submit in paper) the SF424 cover page:
a. Certification and Assurances Applicable to All Applicants (including Indian Tribes).
(1) The governing body of the applicant's organization has duly authorized the
application for federal assistance. In addition, by signing or electronically submitting the
application, the AOR certifies that the applicant:
(2) Has the legal authority to apply for federal assistance and has the institutional,
managerial, and financial capacity (including funds to pay for any non-federal share of program
costs) to plan, manage, and complete the program as described in the application;
(3) Will provide HUD with any additional information it may require; and
(4) Will administer the award in compliance with requirements identified and contained
in the NOFA (General and Program Sections), as applicable to the program for which funds are
awarded and in accordance with requirements applicable to the program.
(5) Affirms its awareness of these certifications and assurances. The AOR submitting the
application is affirming that these certifications and assurances are material representations of the
facts upon which HUD will rely when making an award to the applicant.
If it is later determined that the signatory to the application submission knowingly made a
false certification or assurance or did not have the authority to make a legally binding
commitment for the applicant, the applicant may be subject to criminal prosecution, and HUD
may terminate the award to the applicant organization or pursue other available remedies.
b. Certifications and Assurances Applicable to Applicants Other than Federally
Recognized Indian Tribes
No appropriated federal funds have been paid or will be paid, by or on behalf of the
applicant, to any person for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, an officer or an employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into any cooperative agreement, and
62
the extension, continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement.
If funds other than federally appropriated funds have been or will be paid for influencing
or attempting to influence the persons listed above, the applicant agrees to complete and submit
the SFLLL, Disclosure of Lobbying Activities, as part of its application submission package.
The applicant further agrees to and certifies that it will require similar certification and disclosure
of all subawards at all tiers, including subgrants and contracts.
The applicant is required to include this language of this certification in award documents
for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans
and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into an award under this NOFA and imposed by section 1352, title 31,
U.S. Code. Any person who fails to file the required certification shall be subject to a civil
penalty of not less than $10,000 and not more than $100,000 for each such failure.
c. Certifications and Assurances Applicable to Indian Tribes.
(1) Federally recognized Indian tribes and tribally designated housing entities (TDHEs)
established by a federally recognized Indian tribe, as a result of the exercise of the tribe's
sovereign power, are excluded from coverage by item b above (also known as the Byrd
Amendment).
(2) State -recognized Indian tribes and TDHEs established under state law are not
excluded from the Byrd Amendment's coverage and, therefore, must comply with item b above.
By submitting an application, the applicant affirms its awareness of these certifications
and assurances. The AOR submitting the application is affirming that these certifications and
assurances are material representations of the facts upon which HUD will rely when making an
award to the applicant.
3. Waiver of Electronic Submission Requirements. The regulatory framework for HUD's
electronic submission requirement is the final rule established in 24 CFR 5.1005. Applicants
seeking a waiver of the electronic submission requirement must request a waiver in accordance
with 24 CFR 5.1005. HUD's regulations allow for a waiver of the electronic submission
requirement for good cause. If the waiver is granted, the applicable program office's response
will include instructions on how many copies of the paper application must be submitted, as well
as how and where to submit them. Applicants that are granted a waiver of the electronic
submission requirement will not be afforded additional time to submit their applications. The
deadlines for applications will remain as provided in the program section of the NOFA. As a
result, applicants seeking a waiver of the electronic application submission requirement should
submit their waiver request with sufficient time to allow HUD to process and respond to the
request. Applicants should also allow themselves sufficient time to submit their application so
that HUD receives the application by the established deadline date. For this reason, HUD
strongly recommends that if an applicant finds it cannot submit its application electronically and
must seek a waiver of the electronic grant submission requirement, it should submit the waiver
request to the HUD program office designated in the applicable program NOFA no later than 15
63
days before the application deadline. To expedite the receipt and review of such requests, some
NOFAs allow applicants to email their requests to the program contact listed in the program
NOFA. If HUD does not have sufficient time to process the waiver request, a waiver will not be
granted. Paper applications received without a prior approved waiver and/or after the established
deadline date will not be considered.
V. Application Review Information
A. Criteria
1. Factors Used to Evaluate and Rate Applications.
For each program NOFA, the points awarded for the rating factors total 100, with a possibility of
up to 4 bonus points, as specified below:
a. RC/EZ/EC-II. HUD will award 2 bonus points to each application that includes a
completed form HUD2990 certified by person authorized to certify on behalf of the RC/EZ/EC
or Chair of the governing body of the RC/EZ/EC, that the proposed activities/projects in the
application furthers or supports the strategic plan for an empowerment zone (EZ) that was
designated by HUD or the U.S. Department of Agriculture (USDA); the tax incentive utilization
plan for an urban or rural renewal community that was designated by HUD (RC); or the strategic
plan for an enterprise community that was designated in round II by USDA (EC -II); and that the
proposed activities/projects will be conducted within the RC/EZ/EC-II identified above and are
intended to serve the residents. For the purposes of receiving bonus points, the applicant
organization is not required to set up an office within the RC/EZ/EC, but must conduct specific
activities within the RC/EZ/EC and those activities must benefit the residents of the RC/EZ/EC.
To receive the points, the form must be signed and dated anytime from the date of the
publication of the funding opportunity on Grants.gov to the deadline date of the funding
opportunity. Any certifications signed before or after those dates will not be acceptable. For
ease of reference in this notice, all of the federally designated areas are collectively referred to as
"RC/EZ/EC-IIs" and residents of any of these federally designated areas as "RC/EZ/EC-II
residents." The individual funding announcements will indicate if the bonus points are available
under the program.
b. Preferred Sustainable Communities Status Bonus Points.
In FY2011, HUD will award 2 bonus points to applicants that are working in the following
ways with communities that have received Preferred Sustainability Status under the HUD
FY2010 Sustainable Communities Regional Planning Grant Program and/or the FY2010 HUD
funded Challenge Grant Program (hereafter referred to as the Preferred Sustainability Status
Communities).
(1) The applicant is engaged in activities, that in consultation with the designated Point of
Contact of the HUD designated Preferred Sustainability Status Community furthers the
purposes of the Regional Planning Grant Program or the Challenge Grant Program; and
(2) The applicant's proposed activities either directly reflect the Livability Principles cited
and contained in HUD's General Section to the FY201 I NOFAs or will result in the
delivery of services that are consistent with the goals of the Livability Principles; and
64
(3) The applicant has committed to maintain an on -going relationship with a HUD Preferred
Sustainability Status Community for the purposes of being part of the planning and
implementation processes in the designated area.
To be eligible to receive bonus points, an applicant is required to obtain a certification from
the Designated Point of Contact for the designated Preferred Sustainability Status Community
using form HUD2995 which verifies that the applicant has met the above criteria. The form will
certify the nexus between the proposed activities of the applicant and the Livability Principles as
they are being advanced in the Preferred Sustainability Status Community. It must be signed and
dated anytime from the date of the publication of the funding opportunity on wva -,Gr nt ,gye�r to
the deadline date of the funding opportunity. Any certifications signed before or after those dates
will not be acceptable. If the applicant is from the agency that holds Point of Contact status in a
particular Preferred Sustainability Status Community, the form HUD2995 must be certified by
the appropriate HUD Regional Administrator in consultation with field staff.
HUD anticipates making the Preferred Sustainable Status Communities bonus points available in
the following program NOFAs:
Asthma Interventions in Public and Assisted Multifamily Housing Grant Program
Brownfields Economic Development Initiative (BEDI)
Capital Fund Education and Training Community Facilities Program
Choice Neighborhoods
Continuum of Care
Fair Housing Initiatives Program
Healthy Homes Production
Healthy Homes Technical Studies
Hispanic Institutions Assisting Communities (HSIAC)
Historically Black Colleges and Universities Program (HBCU)
HOPE VI Main Street
HOPE VI Revitalization
Housing Counseling Program
Housing for Persons with AIDS (HOPWA)
Lead -Based Paint Hazard Control Program
Lead Hazard Reduction Demonstration
McKinney-Vento Homeless Assistance Programs Technical Assistance
Multifamily Energy Innovation NOFA
Rural Innovation Fund
Section 4 Capacity Building for Community Development and Affordable Housing (Limited
Competition)
Section 202 Supportive Housing for the Elderly
Section 811 Supportive Housing for Persons with Disabilities Program
Self -Help Homeownership Opportunity Program (SHOP)
Please note that HUD may revise this list at any time. Applicants are advised to carefully review
the program NOFA for which they intend to apply to determine the availability of Preferred
Sustainable Status Communities bonus points.
65
To view the listing of Preferred Sustainable Status Communities Points of Contact and to
determine if your program will be operating within a Preferred Sustainable Status Community
area, go to
�t ,rc)i e.u-j.,.v,=iL!I'i,1€j.?Srcv i'og1;1n ofcejifi1r11strI('n,jvransif��4Ti4a'aii
At that site you will find a link to a map and listing of preferred status areas and contacts)
c. The Five Standard Rating Factors for FY2011. HUD has established the following five
standard factors for awarding funds under the majority of its FY2011 program NOFAs. When
providing information to HUD in response to Rating Factor 1, Capacity, applicants should not
include Social Security numbers on any resumes submitted to HUD.
Factor 1: Capacity of the Applicant and Relevant Organizational Staff.
Factor 2: Need/Extent of the Problem.
Factor 3: Soundness of Approach.
Factor 4: Leveraging Resources.
Factor 5: Achieving Results and Program Evaluation.
Additional details about the five rating factors and the maximum points for each factor
are provided in the program NOFAs. For a specific funding opportunity, HUD may modify
these factors to take into account explicit program needs or statutory or regulatory limitations.
Applicants should carefully read the factors for award as described in the program NOFA to
which they are responding.
The Continuum of Care Homeless Assistance programs have only two factors that
receive points: (1) Need and (2) Continuum of Care. Additional information will be available in
the Continuum of Care program NOFA to be published in the Federal Re ig_ster.
d. Use of the HUD Logic Model. In FY2011, HUD uses standardized points for evaluating
Logic Models submitted under Rating Factor 5, Achieving Results and Program Evaluation for
programs using the Logic Model. The decision to standardize the basis for rating the Logic
Model resulted from review of submitted Logic Models and rating factor narrative statements,
and training sessions held with HUD staff and the applicant community.
By standardizing the rating for the Logic Model submission, HUD believes that a greater
understanding will be gained on the use and relationship of the Logic Model to information
submitted as part of the Rating Factors for award. The standardization of the Logic Model
submission in Rating Factor 5 highlights the relationship between the narratives produced in
response to the factors for award, stated outputs and outcomes, and discrepancies or gaps that
have been found to exist in submitted Logic Models. HUD also believes that the standardization
will strengthen the use of the Logic Model as a management and evaluation tool.
The Logic Model is a tool that integrates program operations (mission, need,
intervention, projected results, and actual results) and program accountability (measurement tool,
data source, and frequency of data collection and reporting, including personnel assigned to
function). Applicants/grantees should use it to support program planning, monitoring,
evaluation, and other management functions.
66
HUD uses the Logic Model and its electronic version, the eLogic Model, to capture an
executive summary of the application submission in data format, which HUD uses to evaluate
the attainment of stated applicant goals and anticipated results. HUD also uses the data for
policy formulation.
HUD encourages applicants and those selected for award to use the Logic Model data to
monitor and evaluate their own progress and effectiveness in meeting stated goals and achieving
results consistent with the program purpose. To further this objective, and in response to grantee
requests, the HUD eLogic Model contains a column that allows the grantee to input results
achieved for the reporting period, as well as Year -To -Date (YTD) in the reporting year tab for
each year of the award. This added field allows the grantee to review performance each
reporting period and for each year of the award "at a glance," and without having to construct a
report. The HUD eLogic Model also has fields to capture the location (city, state, and nine,
digit Zip Code) where the majority of the activities take place, as well as a drop -down menu to
identify the reporting period start and end date. In FY2010, HUD added a drop down field for
the reporting period, as follows: YrlQtrl; Yr1Qtr2; Yr1Qtr3; YrlQtr4; Yr2Qtr5; Yr2Qtr6;
Yr2Qtr7; Yr2Qtr8; Yr3Qtr9; Yr3Qtr10; Yr3Qtr11; Yr3Qtrl2; and Final Report. The sequential
numbering of the quarters was determined necessary because each start and end date within a
program may vary by grantee, so it was difficult to determine the actual report that was sent in
the order that they were received by HUD. If a grantee only reports semi annually, it would
select Yrl Quarter 2 as its first reporting period and Yrl Quarter 4 as its second semi-annual
reporting period. If a grantee is only required to report annually, it would select Yrl Qtr4 to
denote its reporting period. Final reports would be denoted as a final report. Each Program
NOFA will specify the reporting requirement with instructions, and whether a separate final
report is required in addition to any annual report.
Applicants and grantees must follow the following requirements in completing and
naming their Logic Model files:
The applicant name in the Logic Model must match the applicant name in box 8a of
the SF424, Application for Federal Financial Assistance Form
• If an applicant is submitting more than one application for funding, the project name
must be completed and must be different for each funding request made.
• DO NOT use special characters (i.e., #, %, /, etc.) in a file name.
« DO NOT include spaces in the file name.
• Limit file names to not more than 50 characters (HUD strongly recommends not more
. DO NOT convert Word files or Excel files into PDF format. Converting to PDF
format increases file size and will make it more difficult to upload the application and
does not allow HUD to enter data from the Excel files into a database.
• DO NOT save your logic model in .xlsm format. If necessary save as an Excel
97-2003 .xls format. Using the .xlsm format can result in a Grants.gov virus
detect error. In addition, HUD cannot accept and open .xlsm files.
File names with spaces and special characters in the file name or which contain more
than 50 characters present problems for HUD entering the data electronically into our database.
m
Applications that do not follow the naming conventions will have their applications rejected by
the Grants.gov website, as the file names that violate these requirements are viewed as
containing viruses by the system. Grantees who submit reports that do not meet the file -naming
requirements or do not complete mandatory data fields will have their Logic Model reports
returned to them for correction of these issues.
For the file name of the eLogic Model"', please follow the file naming conventions and
requirements above. After award, the file name for Logic Model must be the award number and
reporting period. For detailed instructions, please see the instructions under Tab 1 of the
program eLogic Model, form HUD96010. The reporting periods will be specified in each of
the program NOFAs.
HUD's goal is to improve the labeling of the files to improve matching submitted
application logic models and report Logic Models, thereby improving HUD's ability to place the
information in a database and measure the effectiveness of HUD programs.
Factor 5, Achieving Results and Program Evaluation, will consist of a minimum of 10
points for the quality and completeness of the applicant's Logic Model submission. The matrix
provided in Appendix A of this General Section identifies how the Logic Model will be rated in
a standardized way across program areas using the Logic Model. Training on the rating factor
will be provided via satellite broadcast and archived on HUD's website for repeat viewing.
Individual Program NOFAs may specify means other than the Logic Model for capturing
performance data for evaluation purposes. Applicants should carefully read the Program NOFA
to determine requirements and the Factors for Award which constitutes the basis for scoring each
program NOFA.
e. Additional Criteria: Past Performance. In evaluating applications for funding, HUD will
take into account an applicant's past performance in managing funds, including, but not limited
to, the ability to account for funds appropriately; timely use of funds received either from HUD
or other federal, state, or local programs; timely submission and quality of reports to HUD;
meeting program requirements; meeting performance targets as established in Logic Models
approved as part of the grant agreement; timelines for completion of activities and receipt of
promised matching or leveraged funds; and the number of persons to be served or targeted for
assistance. HUD may consider information available from HUD's records; the name check
review; public sources such as newspapers; Inspector General or Government Accountability
Office reports or findings; or hotline or other complaints that have been proven to have merit.
In evaluating past performance, HUD may elect to deduct points from the rating score or
establish threshold levels as specified under the Factors for Award in the individual program
NOFAs. Each program NOFA will specify how past performance will be rated.
B. Reviews and Selection Process
1. Threshold Compliance. Only applications that meet all of the threshold requirements
established in individual NOFAs will be eligible to receive an award of funds from HUD.
2. Corrections to Deficient Applications. After the application deadline, and in accordance
with the electronic submission grace period described in this notice, HUD may not, consistent
with its regulations in 24 CFR part 4, subpart B. consider any unsolicited information that an
applicant may want to provide. After HUD receives an application, HUD may contact an
68
applicant to clarify an item in its application or to correct curable (correctable) technical
deficiencies. HUD may not seek clarification of items or responses that improve the substantive
quality of an applicant's response to any rating factors or which correct deficiencies which are in
wholc or part of a rating factor, including items that impact EZ/EC bonus points. In order not to
unreasonably exclude applications from being rated and ranked, HUD may contact applicants to
ensure proper completion of the application, and will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include inconsistencies in the
funding request, failure to submit the proper certifications that do not impact the score of an
applicant, and failure to submit an application that contains a signature by an official able to
make a legally binding commitment on behalf of the applicant. In the case of an applicant that
received a waiver of the regulatory requirement to submit an electronic application, the technical
deficiency may include failure to submit an application that contains an original signature. If
HUD finds a curable deficiency in the application, HUD will notify the applicant in writing by
describing the clarification or technical deficiency. HUD will notify applicants by email,
facsimile, or via the U.S. Postal Service, return receipt requested. Clarifications or corrections of
technical deficiencies in accordance with the information provided by HUD must be received by
HUD within 14 calendar days of the date of receipt of the HUD notification. (If the deadline
date falls on a Saturday, Sunday, or federal holiday, then the applicant's correction must be
received by HUD on the next day that is not a Saturday, Sunday, or federal holiday.) In the case
of electronic submissions to Grants.gov, any clarifications or cure items must be submitted
electronically using the facsimile telephone number and form HUD96011, Facsimile Transmittal,
contained in the last application package submitted to HUD. The additional information
provided by facsimile will be matched to the electronic application in HUD's files. When
submitting technical deficiency cure items, please place in the in the box labeled "Name of
Document Submitting" in form HUD96011 the following information: Technical Cure plus the
name of the document. If the name of the document is long and you need space to fit the
document name, just label the Technical Cure as TC followed by the document name. When
submitting a facsimile, applicants must follow the facsimile requirements found elsewhere in this
notice. If the deficiency is not corrected within the above time frame, 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 provided for receipt of a response to a HUD request for
clarification or correction to a technical deficiency. Please be sure to carefully read this notice
and each program NOFA for any additional information and instructions. An applicant's
response to a HUD notification of a curable deficiency should be provided in accordance with
the instructions in the deficiencv notification.
Applicants that submit a paper application with the wrong DUNS number will be treated
as a technical deficiency and the applicant will be able provide a corrected SF424 to the location
indicated in the waiver approval within the specified cure period and in accordance with the
notification of the need to cure the application. Failure to correct the deficiency and meet the
requirement to have a DUNS number and active registration in the CCR will render the
application ineligible for funding. All applicants are advised to check and maintain their DUNS
numbers and CCR registrations with posting of this General Section so any updates or changes
are completed well in advance of application deadline dates.
M
3. Rating Panels. To review and rate applications, HUD may establish panels that may include
persons not currently employed by HUD. HUD may include these non -HUD employees to
obtain particular expertise and outside points of view, including views from other federal
agencies. Persons brought into HUD to review applications are subject to conflict -of -interest
provisions. In addition, reviewers using HUD IT systems may be subject to an IT security
check.
4. Rating. HUD will evaluate and rate all applications for funding that meet the threshold
requirements.
5. Ranking. HUD will rank applicants within each program or, for Continuum of Care
applicants, across the three programs identified in the Continuum of Care NOFA. HUD will
rank applicants against only those applying for the same program funding.
Where there are set -asides within a program competition, the applicant will compete against
only those applicants in the same set -aside competition.
C. Anticipated Announcement and Award Dates.
The individual program NOFAs will provide the applicable information regarding this subject.
VI. Award Administration Information
A. Award Notices
1. Negotiation. After it has rated and ranked all applications and made selections, HUD may
require, depending upon the program, that a selected applicant participate in negotiations to
determine the specific terms of the funding agreement and budget. In cases where HUD cannot
successfully conclude negotiations with a selected applicant or a selected applicant fails to
provide HUD with requested information, an award will not be made to that applicant. In such
an instance, HUD may offer an award to, and proceed with negotiations with, the next highest-
ranking applicant.
2. Adjustments to Funding
a. To ensure the fair distribution of funds and enable the purposes or requirements of a specific
program to be met, HUD reserves the right to fund less than the full amount requested in an
application.
b. HUD will not fund any portion of an application that; (1) is not eligible for funding under
specific HUD program statutory or regulatory requirements; (2) doesnotmeet the requirements
of this notice; or (3) is duplicative of other funded programs or activities from prior year awards
or other selected applicants. Only the eligible portions of an application (excluding duplicative
portions) may be funded.
c. If funds remain after funding the highest-ranking applications. HUD may fund all or part of
the next highest-ranking application in a given program. If an applicant turns down an award
offer, HUD will make an offer of funding to the next highest-ranking application.
d. If funds remain after all selections have been made, remaining funds may be made available
within the current fiscal year for other competitions within the program area or be held over for
future competitions.
70
e. If, subsequent to announcement of awards made under the FY2011 NOFAs, additional funds
become available either through the FY2011 HUD Appropriations, a supplemental appropriation
or recapture of funds during FY2011, HUD reserves the right to use the additional funding to
provide full funding to an FY2011 applicant that was denied the requested amount of funds due
to insufficient funds to make the full award, and/or to fund additional applicants that were
eligible to receive an award but for which there were no funds available.
ff. Individual program NOFAs may have other requirements, so please review the program
NOFAs carefully.
3. Funding Errors. In the event HUD commits an error that, if corrected, would result in
selection of an applicant during the funding round of a program NOFA, HUD may select that
applicant for funding, subject to the availability of funds.
4. Performance and Compliance Actions of Funding Recipients. HUD will measure and
address the performance and compliance actions of funding recipients in accordance with the
applicable standards and sanctions of their respective programs.
5. Debriefing. For a period of at least 120 days, beginning 30 days after the awards for
assistance are publicly announced, HUD will provide to a requesting applicant a debriefing
related to its application. A request for debriefing must be made in writing or by email by the
authorized official whose signature appears on the SF424 or by his or her successor in office, and
be submitted to the person or organization identified as the contact under the section entitled
"Agency Contact(s)" in the individual program NOFA under which the applicant applied for
assistance. Information provided during a debriefing will include, at a minimum, the final score
the applicant received for each rating factor, final evaluator comments for each rating factor, and
the final assessment indicating the basis upon which assistance was provided or denied.
B. Administrative and National Policy Requirements.
See Section III.C. of this notice regarding related requirements.
C. Reporting
1. Use of the eLogic Model ' to Report Performance. In FY2004, HUD began using as a
planning tool the Logic Model submitted as part of NOFA applications. In FY2005, HUD
required grant agreements to incorporate performance reporting against the approved Logic
Model. In FY2006, HUD moved to standardized "master" Logic Models from which applicants
can select needs activities/outputs, and outcomes appropriate to their programs. In FY2010,
HUD added a cover page to the eLogic Model'. In addition, program offices have identified
Program Management Evaluation Questions that grantees will be required to report on, as
specified in the approved program eLogic Model. The time frame established for the Logic
Model reporting will be in accordance with the program's established reporting periods and as
stated in the program NOFA.
2. Placement of Approved Logic Models and Reports on HUD's Website. In keeping with
HUD's Open Government Plan to increase transparency and proactively share information about
our programs with the public, it is HUD's intent to publish approved Logic Models and grantee
progress reports submitted to HUD on its Grants website. HUD intends to post all approved
71
Logic Models that show each awardees' projected outputs and outcomes during the period of
performance. As required performance reports are received by HUD, they will be added to the
website. HUD is creating this website page to highlight and make available to the public
performance and results from HUD -funded programs about which HUD believes that informing
the public on their progress is in keeping with presidential and congressional intent for
transparency in federally funded programs, as demonstrated by the passage of the Federal
Funding Accountability and Transparency Act of 2006 (Pub. L. 109-282), and creation of the
federal websites USASpending.gov and Data.gov, which keep the public informed about where,
and how, federal funds are being spent. HUD also believes that by making the Logic Models
available on the Internet, communities can collaborate and share best practices to improve the
overall delivery of services.
3. Response to Management Questions. HUD believes the applicant/grantee community can
greatly assist HUD in its attempt to place a value on the work done under the Department's grant
programs. Responding to the Management Questions contained in the program Logic Model
will enable HUD to have a better understanding of the value of activities in terms of dollars spent
on implementing programs and the impact of the program on residents served. In some
instances, a program Logic Model will ask grantees to report on a specific Return on Investment
Statement (ROI).
4. Logic Model Instructions. The Logic Model form (HUD96010), a Microsoft Excel
workbook, contains instructions in Tab 1 on how to use the form and required file -naming
conventions. The form or eLogic Model incorporates a program -specific master list of
statements of need, service, or activity/output(s) and their associated unit(s) of measure; and
outcome(s) and their associated unit(s) of measure. Applicants will be required to click on a cell
within a column. When you click on the cell, the drop -down button appears to the right of the
cell. Applicants can then select the appropriate statement(s) to reflect their proposed program.
Applicants can select multiple need(s) and services, or activities/outputs and outcomes, but each
selection is entered in separate cells using the drop -down menu. The unit measure, whether for
outputs or outcomes, may be a number or date. Applicants insert the expected number of units to
be completed or achieved or date of achievement during the period of performance. In this
manner, the applicant will build a custom Logic Model reflecting their program of activities.
The custom Logic Model will link the need(s) to the activity/output(s), which in turn are linked
to the result or expected outcome(s) tailored to each of HUD's programs.
5. Logic Model Format. The following briefly describes the format for the HUD Logic Model.
Full instructions are contained in the Logic Model found in the Instructions Download for each
program, on Grants.gov. For the Logic Model to work properly you must not modify the tabs or
format of the Logic Model and you must enable the macros upon opening the file. To check to
see if the Macros are operating on the eLogic Model °form, open the Year tab and click on any
of the cells labeled "Services or Activities/Outputs" or "Outcome" and the cell should expand to
enable the easier reading of the drop -down listings. If the cells do not expand, then check your
security settings, as they may be too high for the macros to be enabled. (See the Logic Model
instructions under Tab I of the eLogic Model "for a more detailed explanation of how to check
and modify your security settings.)
72
a. Following the Instructions Tab is a Cover Page Tab. Complete the Cover Page applicant
information first. When you complete the information on the cover Page, it will pre -populate the
data fields on the Logic Model Year 1, Year 2, Year 3 and Total Tabs. If you are selected for an
award you will need to complete the reporting information on the cover page, at the designated
time frame established in the award for logic model reporting.
b. Each Logic Model has drop -down menus for HUD Strategic Goals and Policy Priorities, to
eliminate applicant confusion over what letters and numbers to use for the goals and priorities
and to improve data quality.
c. Tabs for Year 1, Year 2, and Year 3 activities, as well as a tab for Total, are provided in each
Logic Model. HUD has found that applicants within a program had varying opinions or
interpretations on time frames for short, intermediate, and long term and that the use of clearly
defined time frames eliminates the varying interpretations and provides for better quality data.
In response to grantee requests, in FY2008, HUD added a column labeled YTD (Year -To -Date),
which represents cumulative totals per year to each reporting period for results achieved. The
column allows grantees to see immediately what they have achieved during the reporting period,
what they have achieved as they progress throughout the year, what they have achieved on a
cumulative basis each reporting year, and what they have achieved during the period of award.
The total tab allows for cumulative projected and final results to be shown covering all years of
the period of performance. Applicants with a one-year period of performance only have to
complete the Year 1 tab, since the total results will all occur in the one-year award period. When
reporting, be sure to show noncumulative data in the post column and cumulative data in the
YTD column. In 2008, HUD also increased the number of rows in each Logic Model Worksheet
to allow applicants to skip a row between groups of activities so they could better demonstrate
the relationship between the activity(ies) and the expected outcomes.
d. For the grantees' convenience and to call attention to the requirements, the eLogic Model
form contains reporting instructions. The instructions ask applicants to identify in their reports
to HUD where actual results deviated from projected results -- either positively or negatively.
The Reporting Instruction tab includes a text field in which grantees can report any deviations, as
well as their responses to the management questions. While the reporting tab does not add
additional burden hours to the information collection, HUD believes that having the reporting tab
in the form assists the applicant in completing their Logic Model and provides for better quality
Logic Models and reporting to HUD. HUD will continue to review reporting data received via
eLogic Model`t in 2010 and recommendations for improvements. HUD would like to thank the
applicant/grantee community for their recommendations _and _insights.
In FY2009, HUD added fields for the applicant's DUNS number and project location.
These data elements make it easier to place Logic Models on HUD's website and find
application Logic Models by location. In FY2011, to provide for greater consistency in
reporting, applicants must include all activities and outcomes expected each year of the period of
performance. Applicants should carefully review the program NOFA for required outputs and
outcome selections, because some of the program NOFAs define what must, at a minimum, be
included in the Logic Model.
6. In FY2011, grantees must adhere to the following reporting principles:
a. An evaluation process will be part of the ongoing management of the HUD -funded award;
73
b. Comparisons will be made between projected and actual numbers for outputs and outcomes;
c. Deviations from projected outputs and outcomes will be documented and explained as part of
required reporting; and
d. Data will be analyzed to determine the relationship of outputs to outcomes, to detennine
which outputs produce which outcomes and which are most effective.
As stated above in 3. "Response to Management Questions", in FY2007, HUD required
each program to establish a set of Program Management Evaluation Questions for grantee
reporting. Grantees must use these questions to self -evaluate the management and performance
of their program. HUD is continuing this practice in FY2011. In developing the Program
Management Evaluation Questions for the Master Logic Model, HUD trained its program
managers on the Carter -Richmond Methodology, a critical thinking process that identifies key
management and evaluation questions for HUD's programs. The following table identifies the
Carter -Richmond generic questions and where the source data is found in the Logic Model.
Carter -Richmond Methodoloey:
Buildin_g Blocks for Effective Management
Management Questions
Lo-gic Model Columns for Source Data
1.
How many clients are you serving?
Service/Activity/Output
2.
How many units were provided?
Service/Activity/Output
3.
Who are you serving?
Service/Activity/Output
4.
What services do you provide?
Service/Activity/Output
5.
What does it cost?
Service/Activity/Output
6. What does it cost per service
delivered?
Service/Activity/Output/Evaluation
7. What happens to the "subjects" as a
result of the service?2
Outcome
8.
What does it cost per outcome?
Outcome and Evaluation
9.
What is the value of the outcome?
Outcome and Evaluation
10.
What is the return on investment?
Evaluation
As a result of this training, each program has developed specific Program Management
Evaluation Questions tailored to the statutory purpose of each of their programs. Each program
NOFA will require applicants to address these questions based upon the Carter -Richmond
Methodology in their reports to HUD. The program NOFA Logic Models will identify the
' "The Accountable Agency — How to Evaluate the Effectiveness of Public and Private Programs," Reginald Carter,
ISBN Number 9780978724924.
The subject can be a client or a unit, such as a building, and is defined in its associated unit of service.
74
particular questions to be addressed that relate to the statutory purpose and intent of each
program.
Training on HUD's Logic Model and on the reporting requirements for addressing the
Program Management Evaluation Questions will be provided via satellite broadcast. The
training will also provide examples of how to construct the Logic Model using the drop -down
lists in the eLogic Model. Training materials and the dates for the training will be on HUD's
website at htt .,1v.huo,�1«flies aoantil+�si<. r. In addition, each program
NOFA broadcast will address the specific questions and reporting requirements for the specific
program.
Applicants should submit the completed Logic Model as an attachment to their
application, in accordance with the directions in the program NOFA for addressing the factors
for award. Each program NOFA will identify if it requires the factors for award, including the
Logic Model that is required as part of the application submission, to be submitted as a single
attached file or as separate files. Please follow the program NOFA directions. When opening
the eLogic Model' enable the Macros. DO NOT convert the file to PDF format. Save the file
in the format in which you opened it. Grants.gov can now accept Microsoft Office 2007 files
and HUD can read both Microsoft Office 2003 and Microsoft Office 2007 files.
After being selected for funding and awarded funds, grantees will be required to submit a
completed form HUD96010, Logic Model, indicating results achieved against the proposed
output(s) and proposed outcome(s) stated in the grantee's approved application and agreed to by
HUD. The Logic Model and required management questions must be submitted to HUD in
accordance with the reporting periods identified in each program NOFA for providing reports to
HUD.
7. Use of Form HUD27061, Race and Ethnic Data Reporting Form, to Report Race and
Ethnicity Data for Beneficiaries of HUD Programs. HUD requires grantees that provide HUD
program benefits to individuals or families to report data on the race and ethnicity of those
receiving such benefits. Grantees that provide benefits to individuals during the period of
performance, whether directly, through subrecipients, or through contractual arrangements, must
report the data using form HUD27061, Race and Ethnic Data Reporting Form, on Grants.gov.
The form is a data collection based on the standards published by OMB on August 13, 2002.
The individual program NOFAs will identify applicable reporting requirements related to each
program. Applicants reporting to HUD using an online system can use that system to meet this
requirement, provided that the data elements and reports derived from the system are equivalent
to the data collection in the form HUD27061. For programs where race and ethnicity reporting
is required, copies of form HUD27061 will be included in the Instructions Download portion of
the application posted to Grants.gov.
8. Frequency of Reports and Data Consistency
a. Logic Model Reporting. When submitting eLogic Modeig reports on a quarterly,
semiannual, or annual basis, each report should show the results that occurred during that
reporting period. All final reports should provide a final eLogic Model performance for the
entire period of the award. Grantees must follow the instructions in the eLogic Model on how
to label files when reporting. When reporting, be sure to show noncumulative data in the past
column and cumulative data in the YTD column.
75
b. Race and Ethnic Data Report. When submitting the Race and Ethnic Data Reporting Form
(HUD27061) on a quarterly or semiannual basis, each reporting period should show the results
that occurred during the performance period for all active clients. If a multiyear program is
funded, then each annual report should show results that occurred during that performance year
for all active clients. A final form HUD27061 should show results for all active clients for the
entire period of performance.
VII. Agency Contact(s)
Questions regarding this notice should be directed to the NOFA Information Center
between the hours of 10 a.m, and 6:30 p.m. eastern time at 800-HUD-8929. Persons with
hearing or speech impairments may access this number via TTY by calling the Federal
Information Relay Service at 800-877-8339. (These are toll -free numbers.) The individual
program NOFAs will identify the applicable agency contacts related to each program. Questions
regarding specific program requirements should be directed to the agency contacts identified in
each program NOFA.
VIII. Other Information
A. Public Law 106-107, Streamlining Activities and Grants.gov.
The Federal Financial Assistance Management Improvement Act of 1999 (Pub. L. 106-
107) directed each federal agency to develop and implement a plan that, among other things,
streamlines and simplifies the application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also required the Director of
OMB to direct, coordinate, and assist federal agencies in establishing: (1) a common application
and reporting system and (2) an interagency process for addressing ways to streamline and
simplify federal financial assistance application and administrative procedures, as well as
reporting requirements for program applicants. Over the last several years, the
intergovernmental work groups tasked with the implementation of Public Law 106-107 have
been engaged in various streamlining activities that are now being shared with the grantee
community for their input prior to being implemented across the federal government. Public
Law 106-107 was sunset in 2008. Despite the sunset of the law, federal agencies are still
working to simplify and streamline their application and submission requirements. Applicants
and grantees are urged to participate in the broadcasts sponsored by the Grants Policy Committee
and the Federal Government work groups to become familiar with the proposed changes to
simplify requirements, at t :/fr 't ` ",i C t?vrf id k.G 1ST L ni tit 2 c i" c (? r ;tganc
The Grants.gov initiative focuses on allowing the public to easily FIND competitive
funding opportunities and then APPLY for grant funding electronically via Grants.gov. In
FY2004, HUD posted all of its funding opportunities, with the exception of Continuum of Care,
at hit :;'tt,rt.11ntlircl art rtr:r.` and has continued to do so for
FY2011. In addition, Grants.gov is working with federal agencies to begin the process of
accepting mandatory and formula grant program plans and application submissions online via
Grants.gov. Applicants for HUD's formula and competitive programs are urged to become
familiar with the Grants.gov website, registration procedures, and electronic submissions so that,
as the website is expanded, applicants will be registered and familiar with the find -and -apply
functionality. The Grants.gov Internet address for Finding Grant Opportunities is
rL
. The Grants.gov Internet address
for Applying for Grant Opportunities is
Ott :i,'t ` 0 ants. Fcclt' iicti of ter rr:t.u.
C. HUD -IRS Memorandum of Agreement.
HUD, Treasury, and the Department of Justice entered into a Fair Housing Act Memorandum of
Understanding to provide information and technical assistance among the three federal agencies,
state agencies, developers, financial syndicators, and the general public with fair housing
information and other technical assistance about the interaction between the low-income housing
credit program and HUD housing programs. The HUD, Treasury, and Department of Justice
Memorandum of Understanding is available on HUD's website at
http://www.hud.gov/offices/theo/lihtcmou.cfm. Persons interested in finding more about this
agreement can contact:for more information. HUD encourages you
to visit the website and learn about the Memorandum and associated activities.
D. Paperwork Reduction Act Statement.
The information collection requirements in this notice have been approved by OMB
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). In accordance with the
Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to
respond to, a collection of information, unless the collection displays a valid OMB control
number. Each program NOFA will identify its applicable OMB control number.
E. Environmental Impact.
A Finding of No Significant Impact with respect to the environment has been made for
this notice, in accordance with HUD regulations at 24 CFR part 50 that implement Section
102(2)(C) of the National Environmental Policy Act of 1969 (42 U.S.C. 4332(2)(C)). As
program NOFAs are issued, each will provide a statement regarding Environmental Impact. The
Finding of No Significant Impact for this notice is available for public inspection between 8 a.m.
and 5 p.m. eastern time, Monday through Friday, except federal holidays, in the Office of
General Counsel, Regulations Division, Department of Housing and Urban Development, 451
7th Street, SW, Room 10276, Washington, DC 20410-0500.
F. Executive Orders and Congressional Intent
1. Executive Order 13132, Federalism. Executive Order 13132 prohibits, to the extent
practicable and permitted by law, an agency from promulgating policies that have federalism
implications and either impose substantial direct compliance costs on state and local
governments and are not required by statute, or preempt state law, unless the relevant
requirements of Section 6 of the executive order are met. This notice does not have federalism
implications and does not impose substantial direct compliance costs on state and local
governments or preempt state law within the meaning of the executive order.
2. Eminent Domain. Section 409 of the Transportation, Housing and Urban Development, and
Related Agencies Appropriations Act, 2010 (Pub L. I I 1-117), prohibits the use of funds to
support any federal, state, or local project that seeks to use the power of eminent domain, unless
eminent domain is employed only for a public use. Section 409 provides that public use shall not
77
be construed to include economic development that primarily benefits private entities. Use of
funds for mass transit, railroad, airport, seaport, or highway projects, as well as utility projects
which benefit or serve the general public (including energy -related, communication -related,
water -related, and wastewater -related infrastructure), other structures designated for use by the
general public or which have other common -carrier or public -utility functions that serve the
general public and are subject to regulation and oversight by the government, and projects for the
removal of an immediate threat to public health and safety or brownfields, as defined in the
Small Business Liability Relief and Brownfields Revitalization Act (Pub. L. 107-118), shall be
considered a public use for purposes of Section 409.
G. Public Access, Documentation, and Disclosure.
Section 102 of the Department of Housing and Urban Development Reform Act of 1989 (HUD
Reform Act) (42 U.S.C. 3545) and the regulations codified at 24 CFR part 4, subpart A, contain
a number of provisions that are designed to ensure greater accountability and integrity in the
provision of certain types of assistance administered by HUD. On January 14, 1992, HUD
published a notice that also provides information on the implementation of Section 102 (57 FR
1942). The documentation, public access, and disclosure requirements of Section 102 apply to
assistance awarded under individual NOFAs published as described below.
1. Documentation, Public Access, and Disclosure Requirements. HUD will ensure that
documentation and other information regarding each application submitted pursuant to its
FY2011 NOFAs are sufficient to indicate the basis upon which assistance was provided or
denied. This material, including any letters of support, will be made available for public
inspection for a 5-year period beginning not less than 30 days after the award of the assistance.
Material will be made available in accordance with the Freedom of Information Act (5 U.S.C.
552) and HUD's implementing regulations (24 CFR part 15).
2. Form HUD2880, "Applicant/Recipient Disclosure/Update Report" ("HUD Applicant
Recipient Disclosure Report" on Grants.gov). HUD will also make available to the public, for
5 years, all applicant disclosure reports (form HUD2880) submitted in connection with an
FY2011 NOFA. Update reports (also reported on form HUD2880) will be made available along
with the applicant disclosure reports, but in no case for a period of less than 3 years. All reports,
both applicant disclosures and updates, will be made available in accordance with the Freedom
of Information Act (5 U.S.C. 552) and HUD's implementing regulations (24 CFR part 5). HUD
has also developed an instructional webcast on this form for applicants/grantees. The webcast is
found at httn:,// edia.uss. ud. c r: 't ,i? 111 2,j'1 ,`i 1 I r %gg:. r
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) noncompetitive basis.
78
H. Section 103 of the HUD Reform Act.
HUD's regulations implementing Section 103 of the HUD Reform Act, codified at 24 CFR part
4, subpart B.. apply to this funding competition. The regulations continue to apply until the
announcement of the selection of successful applicants. HUD employees involved in the review
of applications and in the making of funding decisions are prohibited by the regulations from
providing advance information to any person (other than an authorized employee of HUD)
concerning funding decisions or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance should confine their inquiries to the subject areas
permitted under 24 CFR part 4.
Applicants or employees who have ethics -related questions should contact the HUD
Ethics Law Division at 202-708-3815 (this is not a toll -free number). The toll -free TTY number
for persons with speech or hearing impairments is 800-877-8339. HUD employees who have
specific program questions should contact the appropriate field office counsel or Headquarters
counsel for the program to which the question pertains.
APPENDIX A
Logic Model Assessment Matrix
Logic Model Assessment Matrix — Selectio
Proje+
Excellent Good
Services Applicant selected
services/activities
from the drop down
list that are
consistent with both
the NOFA and the
Narrative.
Activities and O
ons
Marginally Satisfactory
Applicant's
Applicant selected
Narrative identified
services/activities from
services/activities
the drop down list that
consistent with the
are inconsistent with
NOFA, but the drop
the Narrative,
down list does not
or did not select
contain that
available
service/activity.
services/activities from
the drop down list that
are consistent with the
Narrative,
or provided Narrative
that is inconsistent with
the NOFA.
79
mes and
Unacceptable
Applicant did not
select available
services/activities
from the drop down
list that are
consistent with the
Narrative,
and either the Logic
Model is
inconsistent with the
Narrative or the
Narrative is
inconsistent with the
NOFA.
3 points 1 2 points 1 1 point 1 0 points
Outcomes Applicant selected
an outcome from
the drop down list
that is consistent
with both the NOFA
and the Narrative.
Applicant's
Narrative identified
an outcome
consistent with the
NOFA, but the drop
down list does not
contain that
outcome.
Applicant selected an
outcome from the drop
down list that is
inconsistent with the
Narrative, or did not
select an available
outcome from the drop
down list that is
consistent with the
Narrative.
Applicant did not
select an available
outcome from the
drop down list and
either the Logic
Model is
inconsistent with the
Narrative or the
Narrative is
inconsistent with the
NOFA.
1 1 3 points I 2 points I 1 point 1 0 points
ns Applicant provided
realistic projected
numbers that are
consistent with the
Narrative for all
services, activities,
and outcomes.
Applicant provided
projected numbers
for most services,
activities, and
outcomes, and 50%
or more of the
projections are both
realistic and
consistent with the
Narrative.
Applicant provided
projected numbers for
some services,
activities, and
outcomes, and More
than 50% of the
projections are not
consistent with the
Narrative or are not
realistic.
Applicant did not
provide any
projected numbers,
or All of the
projections are not
consistent with the
Narrative and they
are not realistic.
1 3 points 1 2 points 1 1 point 1 0 points I
.1
.► fil M.
Logic Model Assessment Matrix
Logic Model Assessment Matrix - Evaluation Tools
Satisfactory
Marginally Satisfactory
Unacceptable
Evaluation Tools
Applicant selected
Applicant selected
Applicant selected
Evaluation Tools that are
Evaluation Tools that are
Evaluation Tools that are
mostly consistent with the
mostly inconsistent with
mostly inconsistent with
project described in the
either the Logic Model or
both the Logic Model and
Logic Model and Narrative.
the Narrative.
Narrative,
or both the Logic Model
and Narrative are
inconsistent with the
NO FA.
1 point
0 point
Deduct 1 point
Logic Model Assessment Matrix— Rating Factor Five Narrative'
Align the criteria in Rating Factor Five to the distribution of points in your evaluation plan that
you give to reviewers.
Instructions
A maximum of 10 points are assigned for evaluating and scoring the logic model.
The Logic Model Assessment Matrix identifies the four components that are to be evaluated
when scoring the logic model:
• Row —1 — Services
• Row — 2 — Outcomes
• Row — 3 — Projections
• Row — 4 — Evaluation Tools
There are four possible conditions that describe each component represented by the labels (three
conditions for the Evaluation component):
• Excellent
• Good
• Marginally Satisfactory
• Unacceptable
When reviewing and scoring the logic model, HUD reviewers will choose the one statement in
each of the four rows (services, outcomes, projections, evaluation tools) that best describes your
evaluation of the logic model and add the assigned points to obtain a total score.