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Fiscal Year 2006 SuperNOFA for HUD's Discretionary Programs
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: March 8, 2006 (Volume 71, Number 45)]
[Notices]
[Page 11961-12010]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr08mr06-148]
[[pp. 11961-12010]]
Fiscal Year 2006 SuperNOFA for HUD's Discretionary Programs
[[Continued from page 11960]]
[[Page 11961]]
B. Public Access, Documentation, and Disclosure.
See Section VIII. F. of the General Section.
BILLING CODE 4210-01-P
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[GRAPHIC]
[TIFF OMITTED]
TN08MR06.025
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Self-Help Homeownership Opportunity Program (SHOP) Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title: Self-Help Homeownership Opportunity
Program (SHOP).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
5030-N-06. The Office of Management and Budget (OMB) paperwork approval
number is 2506-0157.
E. Catalog of Federal Domestic Assistance (CFDA) Number: Self-Help
Homeownership Opportunity Program. The CFDA number is 14.247.
F. Application Deadline: The application deadline date is May 24, 2006.
G. Optional, Additional Overview Content Information:
SHOP funds are awarded to national and regional nonprofit
organizations and consortia demonstrating experience in administering
self-help housing programs in which the homebuyers contribute a
significant amount of sweat-equity toward construction or
rehabilitation of the dwelling. The amount available for SHOP in Fiscal
Year (FY) 2006 is approximately $20,000,000.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description
SHOP funds are intended to facilitate and encourage innovative
homeownership opportunities on a national geographically diverse basis
through self-help housing programs that require a significant amount of
sweat-equity by the homebuyer toward the construction or rehabilitation
of the dwelling.
SHOP programs are administered by national and regional nonprofit
organizations and consortia. Units developed with SHOP funds must be
decent, safe, and sanitary non-luxury dwellings and must be made
available to eligible homebuyers at prices below the prevailing market
prices. Eligible homebuyers are low-income individuals and families
(i.e., those whose annual incomes do not exceed 80 percent of the
median income for the area, as established by HUD) who would otherwise
be unable to purchase a dwelling but for the provision of sweat equity.
Housing assisted under this Notice of Funding Availability (NOFA) must
involve labor contributed by homebuyers and volunteers in the
construction of dwellings and other activities that involve the
community in the project.
B. Authority
Funding made available under SHOP is authorized by Section 11 of
the Housing Opportunity Program Extension Act of 1996 (42 U.S.C. 12805
note) (the ``Extension Act'').
II. Award Information
Approximately $20,000,000 will be available for this program in FY
2006. Any unobligated funds from previous competitions or additional
funds that may become available due to deobligation or recapture from
previous awards or budget transfers may be added to the FY 2006
appropriation to fund applications submitted in response to this NOFA.
Awards will be made to successful applicants in the form of a grant.
Grant funds must be expended within 24 months of the date that they are
first made available for draw-down in a line of credit established by
HUD for the grantee, except that grant funds provided to affiliates
that develop five or more units must be expended within 36 months.
III. Eligibility Information
A. Eligible Applicants
You must be a national or regional nonprofit public or private
organization or consortium that has the capacity and experience to
provide or facilitate self-help housing homeownership opportunities.
Your organization or consortium must undertake eligible SHOP activities
directly and/or provide funding assistance to your local affiliates to
carry out SHOP activities. You must propose in your application to use
a significant amount of SHOP funds in at least two states. Affiliates
must be located within the regional organization's or consortium's
service area.
A national organization is defined as an organization that carries
out self-help housing activities or funds affiliates that carry out
self-help housing activities on a national scope. A regional
organization is defined as an organization that carries out self-help
housing activities or funds affiliates that carry out self-help housing
activities on a regional scope. A regional area is a geographic area,
such as the Southwest or Northeast, that includes at least two states.
The states in the region need not be contiguous, and the service area
of the organization need not precisely conform to state boundaries.
A consortium is defined as two or more nonprofit organizations
located in at least two states that individually have the capacity and
experience to carry out self-help housing activities or fund affiliates
that carry out self-help housing activities on a national or regional
scope and enter into an agreement to submit a single application for
SHOP funding on a national or regional basis. The consortium must
propose to use a significant amount of SHOP funds in each state
represented in the consortium. All consortium members must receive SHOP
funds. One organization must be designated as the lead entity. The lead
entity must submit the application and, if selected for funding,
execute the SHOP Grant Agreement with HUD and assume responsibility for
the grant on behalf of the consortium in compliance with all program
requirements.
A consortium agreement, executed and dated by all consortium
members for the purpose of applying for and using FY 2006 SHOP funds,
must be submitted with your application. A consortium's application
must be a single integrated document that demonstrates the consortium's
comprehensive approach to self-help housing. All consortium members
must be identified in your application. The integrated application must
reflect all consortium members' programs as a single program and may
only briefly summarize the individual consortium members' past
experiences in factor 1. All other components of the application must
reflect the overall consortium program design. Individual program
designs for consortium members or affiliates within the integrated
document will not be considered by HUD. Upon being funded, the lead
entity must enter into a separate agreement with each consortium
member. The agreement must include the requirements of the FY 2006 SHOP
Grant Agreement between HUD and the consortium and set forth the
individual consortium member's responsibilities for compliance with
HUD's 2006 SHOP program.
An affiliate is defined as:
(1) A local public or private nonprofit self-help housing
organization which is a subordinate organization (i.e., chapter, local,
post, or unit) of a central organization and covered by the group
exemption letter issued to the central organization under Section
501(c)(3) of the Internal Revenue Code; or
(2) A local public or private nonprofit self-help housing
organization with which the applicant has an existing relationship
(e.g., the applicant has provided technical assistance or funding to
the local self-help housing organization); or
[[Page 11964]]
(3) A local public or private nonprofit self-help housing
organization with which the applicant does not have an existing
relationship, but to which the applicant will provide necessary
technical assistance and mentoring as part of funding under the application.
You must carry out eligible activities or you must enter into an
agreement to fund affiliates to carry out eligible activities. If you
are a consortium, each of your affiliates must be linked to an
individual consortium member.
Your application may not propose to fund any affiliate or
consortium member that is also included in another SHOP application.
You must ensure that any affiliate or consortium member under your FY
2006 application is not also seeking FY 2006 SHOP funding from another
SHOP applicant. If an affiliate applies for funds through more than one
applicant, it may be disqualified for any funding.
B. Cost Sharing or Matching
There is no match requirement for the SHOP funds. However, you are
expected to leverage resources for the construction of self-help
housing assisted with SHOP. Failure to provide documentation of
leveraged resources that meet the submission requirements for firm
commitments as stated in factor 4 will result in a lower application score.
C. Other
1. Eligible Activities
The costs of eligible activities may be incurred by the applicant
(and by affiliates, if permitted by the applicant) after the
publication date of the NOFA and charged to the SHOP grant, provided
that the applicant and affiliates comply with the requirements of this
NOFA (including relocation and environmental review requirements) and
costs are included in the application. Applicants and affiliates incur
costs at their own risk, because applicants that do not receive a SHOP
grant cannot be reimbursed or reimburse affiliates.
Eligible activities are:
a. Land acquisition, including financing and closing costs, which
may include reimbursing an organization, consortium, or affiliate, upon
approval of any required environmental review, for non-grant amounts
expended by the organization, consortium, or affiliate to acquire land
before completion of the review;
b. Infrastructure improvements, including installing, extending,
constructing, rehabilitating, or otherwise improving utilities and
other infrastructure, including removal of environmental hazards; and
c. Administration, planning, and management development, including
the costs of general management, oversight, and coordination of the
SHOP grant, staff and overhead costs of the SHOP grant, costs of
providing information to the public about the SHOP grant, costs of
providing civil rights training to local affiliates as well as any
expenses involved in affirmatively furthering fair housing, and
indirect costs (such as rent and utilities) of the grantee or affiliate
in carrying out the SHOP activities.
2. Threshold Requirements
HUD will not consider an application from an ineligible applicant.
An applicant must meet all of the applicable threshold requirements
listed in the General Section published on January 20, 2006, and the
SHOP threshold requirements described below:
a. Organization and Eligibility. You must be eligible to apply
under SHOP (see Section III.A.).
b. Non-Profit Status. You must describe how you qualify as an
eligible applicant and provide evidence of your public or private
nonprofit status, such as a current Internal Revenue Service (IRS)
ruling that your organization is exempt from taxation under Section
501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1986. If you are
a consortium, each consortium member must submit evidence of its
nonprofit status to the lead entity for inclusion in the consortium's
application package.
c. Consortium Agreement. If you are a consortium, each consortium
member must enter into and sign a consortium agreement for the purpose
of applying for SHOP funds and carrying out SHOP activities. Your
consortium agreement must be submitted as an appendix to your application.
d. Amount. The amount of SHOP funds requested must be sufficient to
complete a minimum of 30 self-help housing units and may not exceed an
average investment of $15,000 per unit.
e. Homebuyer Eligibility. Eligible homebuyers are low-income
individuals and families (i.e., those whose incomes do not exceed 80
percent of the median income for the area, as established by HUD). You
must specify the definition of ``annual income'' to be used in your
proposed program. You may use one of the following three definitions of
``annual income'' to determine whether a homebuyer is income eligible
under SHOP:
(1) ``Annual income'' as defined at 24 CFR 5.609; or
(2) ``Annual income'' as reported under the Census long-form for
the most recent available decennial Census; or
(3) ``Adjusted gross income'' as defined for purposes of reporting
under the IRS Form 1040 series for individual federal annual income tax
purposes.
You may also adopt or develop your own definition of annual income
for use in determining income eligibility under SHOP subject to review
and approval by HUD. You must include your definition of ``annual
income'' in your Program Summary.
f. Experience. You must demonstrate successful completion of at
least 30 self-help homeownership units in a national or regional area
within the 24-month period immediately preceding the publication of
this NOFA. For dwellings to qualify as self-help homeownership units,
the homebuyers must have contributed a significant amount of sweat-
equity toward the construction as set forth in this section.
g. Sweat Equity. Your program must require homebuyers to contribute
a minimum of 100 hours of sweat equity toward the construction or
rehabilitation of their own homes and/or the homes of other homebuyers
participating in the self-help housing program. In the case of a
household with only one adult, the requirement is 50 hours of sweat
equity toward the construction of these homes. Sweat equity includes
training for construction on the dwelling units, but excludes homebuyer
counseling and home maintenance training. All homebuyers must meet
these minimum hourly sweat equity requirements; however, grantees must
permit reasonable accommodations for persons with disabilities in order
for them to meet the hourly requirements. For example, homebuyers with
disabilities may work on less physical tasks or administrative tasks to
meet this requirement or a volunteer(s) may enter into an agreement to
substitute for the disabled person.
h. Community Participation. Your program must involve community
participation in which volunteers assist in the construction or
rehabilitation of dwellings. Volunteer labor is work performed by an
individual without promise, expectation, or compensation for the work
rendered. For mutual self-help housing programs that are assisted by
the U.S. Department of Agriculture's Rural Housing Services/Rural
Development under Section 523 of the Housing Act of 1949 (7 CFR Part
1944, subpart I) or which have a program design similar to the Section
523 program, the work by each participating family on other
participating families'
[[Page 11965]]
homes may count as volunteer labor. A mutual self-help housing program
generally involves 4 to 10 participating families organized in a group
to use their own labor to reduce the total construction cost of their
homes and complete construction work on their homes by an exchange of
labor with one another.
i. Eligible Activities. You must use the SHOP funds for eligible
activities (see Sections III.A. and IV.E.) and carry out the activities
yourself or fund affiliates to carry out the activities.
3. Threshold Submission Requirements
In order for your application to be rated and ranked, all threshold
requirements must be met. Threshold requirements 2(d) through (i) above
do not require separate submissions, but must be addressed under the
submission requirements for the rating factors listed below in Section
V, Application Review Information Criteria.
4. Other Requirements
Other requirements applicable to the SHOP program are set forth in
``Additional Nondiscrimination and Other Requirements'' of the General
Section. The following requirements also apply to SHOP:
a. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). SHOP recipients must comply with Section 3 of the Housing
and Urban Development Act of 1968 (Section 3), 12 U.S.C. 170lu
(Economic Opportunities for Low- and Very Low-Income Persons in
Connection with Assisted Projects), and the HUD regulations at 24 CFR
part 135, including the reporting requirement of subpart E. Section 3
requires recipients to ensure that to the greatest extent feasible,
training, employment, and other economic opportunities will be directed
to 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.
b. Real Property Acquisition and Relocation. SHOP projects are
subject to the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (Uniform Act or URA) (42
U.S.C. 4601), and the government-wide implementing regulations issued
by the U.S. Department of Transportation at 49 CFR Part 24. The Uniform
Act is a federal law that establishes minimum standards for federally-
funded programs and projects that require the acquisition of real
property (real estate) or displace persons from their homes,
businesses, or farms. The Uniform Act's protections and assistance
apply to the acquisition, rehabilitation, or demolition of real
property for federal or federally-funded projects.
SHOP grantees and affiliates must comply with all applicable
Uniform Act requirements in order to receive SHOP funds for their
programs and projects; non-compliance could jeopardize SHOP funding.
Real property acquisitions for a SHOP-assisted program or project
conducted before completion of an environmental review and HUD's
approval of a request for release of funds and environmental
certification are also subject to the Uniform Act. SHOP grantees and
affiliates must ensure that all such real property acquisitions comply
with applicable Uniform Act requirements.
Generally, real property acquisitions conducted without the threat
or use of eminent domain, commonly referred to as ``voluntary
acquisitions,'' must satisfy the applicable requirements and criteria
of 49 CFR 24.101(b)(1) through (5). Evidence of compliance with these
requirements must be maintained by the affiliate and submitted to and
maintained by the SHOP grantee. It is also important to note that
tenants who occupy property which may be acquired through voluntary
means must be fully informed as to their eligibility for relocation
assistance. This includes notifying such tenants of their potential
eligibility when negotiations are initiated, notifying them if they
become fully eligible, and, in the event the purchase of the property
will not occur, notifying them that they are no longer eligible for
relocation benefits. Evidence of compliance with these requirements
must be maintained by the affiliate and submitted to and maintained by
the SHOP grantee.
Additional information and resources pertaining to real property
acquisition and relocation for HUD-funded programs and projects are
available on HUD's Real Estate Acquisition and Relocation Web site at
http://www.hud.gov/relocation. 
You will find applicable laws
and regulations, policy and guidance, publications, training resources, and
a listing of HUD contacts if you have questions or need assistance.
c. Environmental Requirements. The environmental review
requirements for SHOP supersede the environmental requirements in the
General Section. All SHOP assistance is subject to the National
Environmental Policy Act of 1969 and related federal environmental
authorities and regulations at 24 CFR part 58. SHOP grant applicants
are cautioned that no activity or project may be undertaken, or federal
or non-federal funds or assistance committed, if the project or
activity would limit reasonable choices or could produce an adverse
environmental impact until all required environmental reviews and
notifications have been completed by a unit of general local
government, tribe, or state and until HUD approves a recipient's
request for release of funds under the environmental provisions
contained in 24 CFR part 58. Notwithstanding the preceding sentence, in
accordance with section 11(d)(2)(A) of the Housing Opportunity
Extension Act of l996 and HUD Notice CPD-01-09, an organization,
consortium, or affiliate may advance non-grant funds to acquire land
before completion of an environmental review and HUD's approval of a
request for release of funds and environmental certification. Any
advances to acquire land prior to such approval are made at the risk of
the organization, consortium, or affiliate, and reimbursement from SHOP
funds for such advances will depend on the result of the environmental
review.
d. Statutory and Program Requirements. SHOP is governed by Section
11 of the Housing Opportunity Program Extension Act of 1996 (42 U.S.C.
12805 note) (the Extension Act), and this NOFA. There are no program
regulations. You must comply with all statutory requirements applicable
to SHOP as cited in Section I, Funding Opportunity Description, and the
program requirements cited in this NOFA. Pursuant to these
requirements, you must:
(1) Develop, through significant amounts of sweat-equity by each
homebuyer and volunteer labor, at least 30 dwelling units at an average
cost of no more than $15,000 per unit of SHOP funds for land
acquisition and infrastructure improvements;
(2) Use your grant to leverage other sources of funding, including
private or other public funds, to complete construction or
rehabilitation of the housing units;
(3) Develop quality dwellings that comply with local building and
safety codes and standards that will be made available to homebuyers at
prices below the prevailing market price;
(4) Schedule SHOP activities to expend all grant funds awarded and
substantially fulfill your obligations under your grant agreement,
including timely development of the appropriate number of dwelling
units. Grant funds must be expended within 24 months of the date that
they are first made available for draw-down in a line of credit
established by HUD for the
[[Page 11966]]
grantee, except that grant funds provided to affiliates that develop
five or more units must be expended within 36 months; and
(5) Not require a homebuyer to make an up-front financial
contribution to a housing unit other than cash contributed for down
payment of closing cost at the time of acquisition.
IV. Application and Submission Information
A. Address To Request Application Package
This NOFA contains all the information necessary for national and
regional nonprofit organizations and consortia to submit an application
for SHOP funding. This section describes how you may obtain application
forms and additional information about the SHOP program NOFA. Copies of
the published SHOP NOFA and related application forms for this NOFA may
be downloaded from the grants.gov website at http://www.grants.gov/Apply.
If you have difficulty accessing the information, you may receive
customer support from Grants.gov by calling its help line at (800)
518-GRANTS or sending an email to support@grants.gov. If you do not have
Internet access and you need to obtain a copy of this NOFA, you may contact
HUD's NOFA Information Center toll-free at (800) HUD-2209, or hearing
and speech challenged persons may call (800) HUD-2209 (TTY).
1. Application Kit. There is no application kit for this program.
All the information you need to apply is contained in this NOFA and
available at http://www.grants.gov/Apply. The NOFA forms
are available to be downloaded from http://www.grants.gov/Apply.
Pay attention to the submission requirements and format for submission
specified for this NOFA to ensure that you have submitted all required
elements of your application.
The published Federal Register document is the official document
that HUD uses to solicit applications. Therefore, if there is a
discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy,
electronic copy, or at http://www.grants.gov, the Federal
Register publication prevails. Be sure to review your application
submission against the requirements in the Federal Register for this NOFA.
2. Guidebook and Further Information. See the General Section.
B. Content and Form of Application Submission
You must meet all application and submission requirements described
in the General Section. Your application should consist of the items
listed in the section below called Assembly Format and Content. HUD's
standard forms can be found in the application found on Grants.gov or
HUD's website at http://www.hud.gov/offices/adm/grants/nofa06/snofaforms.cfm.
1. Page Limits
There are page limits for responses to the five rating factors. A
national or regional organization is limited to 50 pages of narrative
to respond to the five rating factors. A consortium is permitted up to
10 additional pages to address the past experiences of its individual
consortium members. Required appendices, forms, certifications,
statements, and assurances are not subject to the page limitations. All
pages must be numbered sequentially 1 through 50 or 60, for factors 1
through 5. Your application may contain only the narrative statements
that address the five rating factors and the required forms,
certifications, assurances, and appendices listed in Assembly Format
and Content below. In responding to the five factors, information must
be included in your narrative response to each factor, unless this NOFA
states that it should be included as an appendix. If you are submitting
material using the fax method described in the General Section, the
narrative should refer to the documents being faxed as part of your
narrative response to the factor. Any supplemental information not
required in the narratives or appendices requested by HUD that further
explains information required in the five factors will not be reviewed
for consideration in the scoring of the application.
2. Assembly Format and Content
Your FY 2006 application will be comprised of an Application
Overview, Narrative Statements (rating factors), Forms, and Appendices.
In order to receive full consideration for funding, you should use the
following checklist to ensure that all requirements are addressed and
submitted with your electronic application.
a. Application Overview (Not subject to the page limitations)
---- SF-424, Application for Federal Assistance (signed by the
Authorized Organization Representative (AOR) who is legally authorized
to submit the application on behalf of the applicant and has been
approved by the eBusiness Point of Contact to submit the application
via Grants.gov. (See the General Section.)
---- SF-424 Supplement, Survey on Ensuring Equal Opportunity for
Applicants.
---- Self-Help Housing Organization Qualification--Narrative
describing qualification as an eligible applicant and Evidence of
Nonprofit Tax Exempt Status (in accordance with Section III.C. of this
NOFA).
---- Consortium Agreement, if applicable.
---- Program Summary (including definition of ``annual income'').
b. Narrative Statements Addressing: (Subject to the page
limitations described above.)
---- Factor 1--Capacity of the Applicant and Relevant
Organizational Staff. (including organizational chart).
---- Factor 2--Need/Extent of the Problem.
---- Factor 3--Soundness of Approach.
---- Factor 4--Leveraging Resources.
---- Factor 5--Achieving Results and Program Evaluation.
c. Forms, Certifications, and Assurances: (Not subject to the page
limitations.)
---- HUD-424CB, Grant Application Detailed Budget.
---- HUD-424-CBW, Grant Application Detailed Budget Worksheet.
---- SF-LLL, Disclosure of Lobbying Activities, as applicable.
---- HUD-2880, Applicant/Recipient Disclosure/Update Report.
---- HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Strategic Plan.
---- HUD-96011, Facsimile Transmittal (required for electronic
submissions of third party documents).
---- HUD-2994-A, You Are Our Client Grant Applicant Survey (optional)
---- HUD-96010, Program Outcome Logic Model.
d. Appendices: (Not subject to the page limitations.)
---- A copy of your code of conduct (see the General Section).
---- Leveraging documentation--firm commitment letters (see factor 4).
---- Survey of potential affiliates, if applicable (see factor 2).
---- Demonstration of past performance for new applicants (see factor 5).
---- HUD-27300, Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers (see factor 3).
---- Evaluative criteria for Removal of Regulatory Barriers to
Affordable Housing in affiliate selection process, if applicable (see
factor 3).
e. Certifications and Assurances. Applicants are placed on notice
that by signing the SF-424 cover page noted above in 2.a., Application
Overview, the applicant is certifying to all information
[[Page 11967]]
described in Section IV.B.2 (``Certifications and Assurances'') in the
General Section.
C. Submission Date and Time
The application deadline date is May 24, 2006. The electronic
application must be received and validated by Grants.gov by the
application deadline date. If an applicant is granted a waiver to the
electronic application submission requirement, the application must be
received at the appropriate HUD Office(s) by the application deadline
date (see General Section).
D. Intergovernmental Review
Executive Order 12372 review does not apply to SHOP.
E. Funding Restrictions
1. Administrative Costs
Administrative costs may not exceed 20 percent of any SHOP grant.
Indirect costs may only be charged to the SHOP grant under a cost
allocation plan prepared in accordance with OMB Circular A-122.
2. Pre-Agreement Costs
After the publication date of the NOFA, but before the effective
date of the SHOP Grant Agreement, an applicant and affiliates, if
permitted by the applicant, may incur costs that may be charged to its
SHOP grant provided the costs are eligible (see Section III.C.1.) and
in compliance with the requirements of this NOFA (including relocation
and environmental review requirements) and the application. Applicants
and affiliates incur costs at their own risk, because applicants that
do not receive a SHOP grant cannot be reimbursed or reimburse
affiliates.
3. Ineligible Costs
Costs associated with the rehabilitation, improvement, or
construction of dwellings and any other costs not identified in Section
III.C.1. are not eligible uses of program funds. Acquiring land for
land banking purposes (i.e., holding land for an indefinite period) is
an ineligible use of SHOP funds. Acquisition undertaken by the
applicant or its affiliate before the publication date of the NOFA is
not an eligible cost. SHOP funds may not be expended on a property
unless its acquisition by the grantee, subgrantee, or its affiliates
complies with the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970 (URA). These requirements also apply
to the reimbursement of pre-agreement costs (see Section IV.E.2).
F. Other Submission Requirements
You must meet all submission requirements described in the General
Section. Refer to the General Section for detailed submission
instructions, including methods and deadlines for submission.
3. No Facsimiles or Videos. HUD will not accept an entire
application sent by facsimile (fax). However, third-party documents or
other materials sent by facsimile in compliance with the submission
requirements and received by the application submission date will be
accepted. Facsimile corrections to technical deficiencies will not be
accepted. Videos submitted as part of an application will not be viewed.
4. Applications must be received and validated by Grants.gov by the
application deadline date.
V. Application Review Information
A. Criteria
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Staff (25 Points)
This factor examines the extent to which you, as a single applicant
or consortium (including individual consortium members), have the
experience and organizational resources necessary to carry out the
proposed activities effectively and in a timely manner. Any applicant
that does not receive at least 15 points under this factor will not be
eligible for funding.
In evaluating this factor, HUD will consider your recent and
relevant experience in carrying out the activities you propose
(including experience in developing accessible/visitable housing), and
your administrative and fiscal management capability to administer the
grant, including the ability to account for funds appropriately. All
applicants, including individual consortium members, must have capacity
and experience in administering or facilitating self-help housing. If
you are sponsoring affiliate organizations that do not have experience
in developing self-help housing, HUD will assess your organization's
experience in providing technical assistance and the ability to mentor
new affiliates.
Submission Requirements for Rating Factor 1
a. Past Experience (10 points). You must describe the past
experience of your organization and key staff in carrying out self-help
housing activities (specify the time frame during which these
activities occurred) that are the same as, or similar to, the
activities you propose for funding, and demonstrate that you have had
reasonable success in carrying out and completing those activities. You
must include the average number of sweat equity hours provided per
homebuyer family, and the average number of volunteer labor hours
provided per unit. You may demonstrate reasonable success by showing
that your previous activities were carried out as proposed, consistent
with the time frame you proposed for completion of all work.
b. Management Structure (12 points). You must provide a description
of your organization's or consortium's management structure, including
an organizational chart. You must also describe your key staff and
their specific roles and responsibilities for day-to-day management of
your proposed SHOP program. You must indicate if you will or will not
be working with organizations that are inexperienced in carrying out
self-help housing and describe how you will provide technical
assistance and mentor these organizations to develop capacity either
directly or indirectly.
c. Experience Developing Accessible Housing (3 points). You must
demonstrate your experience in and ability to construct and alter self-
help housing by describing the kinds of features that you have used to
design homes in accordance with universal design and visitability
standards, or otherwise make homes physically accessible. You must
provide data on the number of accessible units you have completed and
the time frame during which units were constructed and/or altered.
Rating Factor 2: Need/Extent of the Problem (10 Points)
This factor examines the extent to which you demonstrate an urgent
need for SHOP funds in your proposed target areas based on the need for
affordable housing, using quality data with source to substantiate that
need.
The purpose of this factor is to make sure that funding is provided
where a need for funding exists. Under this factor, you must identify
the community need or needs that your proposed SHOP activities are
designed to address. If you plan to select some or all affiliates after
application submission, you must demonstrate how the selection of
affiliates will help to address the needs identified in the proposed
target areas.
Submission Requirements for Rating Factor 2
Extent of Need for Affordable Housing (10 points). You must
establish the need for affordable housing and the specific
[[Page 11968]]
need for SHOP funds in the communities or areas in which your proposed
activities will be carried out. You must specifically address the need
for acquisition and/or infrastructure assistance for self-help housing
activities in these identified areas and how your proposed SHOP
activities meet these needs. Also, to the extent information is
available, you must address the need for accessible homes in the target
area(s); evidence of housing discrimination in the target area(s); and
any need for housing shown in the local Analysis of Impediments to Fair
Housing Choice, if appropriate. Applicants that select affiliates after
application submission must submit a list of affiliates they surveyed
and upon which they are basing their need for SHOP funding, as well as
the specific criteria to be used to select communities or projects
based on need.
In reviewing applications, HUD will consider the extent, quality,
and validity of the information and data submitted that addresses the
need for affordable housing in the target area. Such information must
include:
a. Housing market data in the proposed target areas including, but
not limited to: Low-income, minority, and disability populations;
number of home sales and median sales price; and homeownership, rental,
and vacancy rates. This information can be obtained from state or
regional housing plans, the American Housing Survey, the United States
Census, Home Mortgage Disclosure Act data or other local data sources,
such as Consolidated Plans, comprehensive plans, local tax assessor
databases, or relevant realtor information. Data included in your
application must be recent and specific to your proposed target areas;
and
b. Housing problems in the proposed target areas such as
overcrowding, cost burden, housing age or deterioration, low
homeownership rate (especially among minority families, families with
children, and families with members with disabilities), and lack of
adequate infrastructure or utilities.
Rating Factor 3: Soundness of Approach (45 Points)
This factor examines the quality and soundness of your plan to
carry out a self-help housing program. In evaluating this factor HUD
will consider the areas described below:
a. Your proposed use of SHOP funds, including the number of units
and the type(s) of housing to be constructed, and the use of sweat
equity and volunteer labor; your schedule for expending funds and
completing construction, including interim milestones; the proposed
budget and cost effectiveness of your program; your plan to reach all
potentially eligible homebuyers, including those with disabilities and
others least likely to apply; and your procedures for meeting section 3
requirements.
b. How your planned activities further the five HUD policy
priorities that apply specifically to SHOP in FY 2006 as described in
the General Section. The policy priorities for SHOP are:
(1) Providing increased homeownership opportunities for low- and
moderate-income persons, persons with disabilities, the elderly,
minorities, and families with limited English proficiency;
(2) Encouraging accessible design features: Visitability in new
construction and substantial rehabilitation and universal design;
(3) Providing full and equal access to grassroots, faith-based, and
other community-based organizations in HUD program implementation;
(4) Participation in Energy Star; and
(5) Removal of regulatory barriers to affordable housing.
c. How you plan to meet section 3 requirements for jobs and
training and contracting opportunities for SHOP-funded infrastructure
improvements.
Submission Requirements for Rating Factor 3
Activities. Describe the types of activities that you propose to
fund with SHOP and the proposed number of units to be assisted with
SHOP funding, the housing type(s) (single family or multifamily, or
both) to be assisted and the form of ownership (fee simple,
condominium, cooperative, etc.) you propose to use.
a. Sweat Equity and Volunteer Labor (7 points). Describe your
program's requirements for sweat equity and volunteer labor (i.e.,
types of tasks and numbers of hours required for both sweat equity and
volunteer labor) and how you will provide reasonable accommodations for
persons with disabilities by identifying sweat equity assignments that
can be performed by the homebuyer regardless of the disability, such as
doing administrative, clerical, organizational, or other office work or
minor tasks on site. Reasonable accommodation can include sweat equity
by the homebuyer that can be performed regardless of the disability or
substitution of a non-homebuyer designee(s) to perform the sweat equity
assignments on behalf of the homebuyer. Volunteers substituting for
disabled homebuyers must enter into an agreement to complete the work
on behalf of the homebuyers. Include the dollar value of both the sweat
equity and volunteer labor contributions and specify the amount by
which these contributions will reduce the sales price to the homebuyer.
Applicants showing a larger reduction of the sales price as a result of
the homebuyer's sweat equity and volunteer labor contributions will
receive a higher score.
b. Funds Expenditure, Construction, and Completion Schedules (7
points). Submit a construction and completion schedule that expends
SHOP funds and substantially fulfills your obligations if you are
funded. You must provide a definition of ``substantially fulfills'' by
specifically stating the percentage or number of properties that you
propose to be completed and conveyed to homebuyers at the time all
grant funds are expended. Your construction schedule must include the
number of dwelling units to be completed within 24 months or, in the
case of affiliates that develop five or more units, within 36 months,
and a time frame for completing any unfinished units.
Your schedule must also include (1) milestones or benchmarks
against which HUD can measure your progress in selecting local
affiliates if they are not specifically identified in the application,
(2) expending funds, and (3) completing acquisition, infrastructure,
and housing construction activities within these schedules. These
milestones or benchmarks should be established at reasonable intervals
(e.g., monthly, quarterly).
c. Budget (7 points). Provide a detailed budget including a
breakdown for each proposed task and each budget category (acquisition,
infrastructure improvements, and administration) funded by SHOP in the
HUD-424-CB and 424-CBW. If SHOP funds will be used for administration
of your grant, you must include the cost of monitoring consortium
members and affiliates at least once during the grant period. Your
detailed budget must also include leveraged funding to cover costs of
completing construction of the proposed number of units. Budget amounts
on the HUD-424-CB and 424-CBW must agree with amounts stated elsewhere
in the application.
d. Cost Effective (6 points). Demonstrate the extent to which the
investment of SHOP funds, the contribution of sweat equity and
volunteer labor, and any donations to your SHOP program (e.g. land,
building materials) reduce the average sales price below the appraised
value of the house or market value of comparable housing.
e. Policy Priorities (6 points). Describe how each of the five HUD
policy priorities identified specifically for
[[Page 11969]]
SHOP is furthered by your proposed activities. You will receive up to
one point for each of the first four policy priorities based on how
well your proposed work activities address the specific policy. You can
receive up to two points for how well you address policy priority (5),
removal of regulatory barriers to affordable housing, for which you
must submit form HUD-27300, Questionnaire for HUD's Initiative on
Removal of Regulatory Barriers. Applicants are encouraged to read HUD's
notices published in the Federal Register on March 22 (69 FR 13450) and
April 21 (69 FR 21663), 2004, to obtain an understanding of this policy
priority and how it can impact your score. There are exceptions as
provided below.
Applicants that identify affiliate organizations and jurisdictions
to be served in their application to HUD should address the questions
in Part A or Part B of form HUD-27300 for the jurisdiction in which the
majority or plurality of services will be performed.
Applicants that do not identify affiliates and communities to be
served in their application to HUD, but select affiliates competitively
or through another method after application submission to HUD, may
address this policy priority by including it as an evaluative criterion
in their affiliate selection process. Such applicants may receive up to
two points by requiring affiliate applicants for the awarded SHOP funds
to complete the questions in either Part A or B, as appropriate. In
order to receive points, applicants that identify affiliates after
application submission must include their evaluative criterion as an
appendix, and, if awarded SHOP funds in FY 2005, must demonstrate how
the evaluative criteria that were included in your FY 2005 application
were implemented. You must also describe how the evaluative criteria in
your FY 2005 SHOP program affected or will affect the selection and
funding of affiliates for FY 2006, to the extent this has been
completed. The narrative for your evaluative criteria does not count
against the page limits described in Section IV.B.1, Page Limits.
Applicants applying for funds for projects located in local
jurisdictions and counties/parishes are invited to answer the 20
questions under Part A. An applicant that scores at least five in
column 2 will receive 1 point in the NOFA evaluation. An applicant that
scores 10 or more in column 2 will receive 2 points in the NOFA
evaluation. The community(ies) must be identified on the form HUD-27300.
Applicants applying for funds for projects located in
unincorporated areas or areas otherwise not covered in Part A are
invited to answer the 15 questions in Part B. Under Part B, an
applicant that scores at least four points in Column 2 will receive one
point in the NOFA evaluation. An applicant that scores eight points or
greater will receive a total of two points in the evaluation. The
community(ies) must be identified on the form HUD-27300.
A limited number of questions on form HUD-27300 expressly request
the applicant to provide brief documentation with its response. Other
questions require that, for each affirmative statement made, the
applicant supply a reference, Web site address, or brief statement
indicating where the back-up information may be found, and a point of
contact, including a telephone number or e-mail address.
f. Program Outreach (5 points). Describe materials or services that
will be used to reach potential homebuyers, including persons least
likely to apply. For example, what alternative formats will be used to
reach persons with a variety of disabilities and what language
accommodations will be made for persons with limited English proficiency.
g. Performance and Monitoring (5 points). Describe your plan for
overseeing the performance of consortium members and affiliates,
including a plan for monitoring each consortium member and affiliate
for program compliance at least once during the term of the grant. Your
plan should address when and how you will shift funds among consortium
members and affiliates to ensure timely and effective use of SHOP funds
within the schedule submitted for item b. above.
h. Section 3 Procedures (2 points). Under section 3 of the Housing
and Urban Development Act of 1968, to the greatest extent feasible,
opportunities for job training and employment arising in connection
with housing rehabilitation, housing construction, or other public
construction projects must be given to low- and very low-income persons
in the metropolitan area (or non-metropolitan county) in which the
project is located. In addition, to the greatest extent feasible,
contracts for work to be performed in connection with housing
rehabilitation, housing construction, or other public construction
projects are given to business concerns that provide economic
opportunities for low- and very low-income persons in the metropolitan
area (or non-metropolitan county) in which the project is located. The
regulations implementing section 3 are found at 24 CFR Part 135.
Because SHOP funds may only be used for acquisition and infrastructure
improvements, section 3 requirements apply only to SHOP projects for
which the amount of SHOP funds for the infrastructure improvements
(together with any other covered section 3 housing and community
development assistance for infrastructure) meets the threshold amount
of $200,000. Based on the SHOP maximum average investment of $15,000
per unit, section 3 would generally only apply to a SHOP project with
at least 14 units where the entire SHOP amount (if no other covered
section 3 housing and community development assistance is provided to
the grantee or affiliate for infrastructure) is $200,000 or more.
Regardless of whether the section 3 threshold is met, all applicants
are required to describe procedures they have in place for section 3
compliance in the event that they meet the section 3 threshold in
carrying out their proposed SHOP activities. You must clearly explain
your procedures for complying with these requirements (1) for projects
you undertake directly, and (2) for projects undertaken by affiliates.
In the case of projects undertaken by affiliates, your procedures must
state how you will inform affiliates of their responsibilities under
section 3 and how you will monitor compliance. One point will be
awarded for addressing job training and employment opportunities. One
point will be awarded for addressing contracting opportunities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other resources that
can be combined with HUD's program resources to fully fund your
proposed program. When combined with the SHOP grant funds, homebuyer
sweat equity, and volunteer labor, your leveraged resources must be
sufficient to develop the number of units proposed in your application.
HUD will consider only those leveraging contributions for which current
firm commitments as described in this factor are submitted. A firm
commitment means a written agreement under which the applicant, a
partner, or an entity agrees to perform services or provide resources
for an activity specified in your application. Firm commitments in the
form of cash funding (e.g., grants or loans), in-kind contributions,
donated land and construction materials, and donated services will
count as leverage. Leveraging does not include the dollar value of
sweat equity and volunteer labor for your proposed activities.
Leveraging does not include financing provided to homebuyers. However,
[[Page 11970]]
financing provided through the U.S. Department of Agriculture's Section
502 direct loans to homebuyers for construction of their dwellings
counts as leveraging for mutual self-help housing programs. Firm
commitments must be substantiated by the documentation described below.
Submission Requirements for Rating Factor 4
Firm Commitments of Resources (10 points). Provide firm commitments
(letters, agreements, pledges, etc.) of leveraged resources or services
from the source of the commitment. In order to be considered, leveraged
resources or services must be committed in writing and include your
organization's name, the contributing organization's name (including
designation as a federal, state, local, or private source), the
proposed type of commitment, and dollar value of the commitment as it
relates to your proposed activities. Each letter of commitment must be
signed by an official of the organization legally able to make the
commitment on behalf of the organization. See Other Submission
Requirements, of the General Section regarding the procedures for
submitting third-party documentation. Each letter of commitment must
specifically support your FY 2006 SHOP application or specific projects
in your FY 2006 application. If your organization depends upon
fundraising and donations from unknown sources/providers, you must
submit a separate letter committing a specific amount of dollars in
fundraising to your proposed FY 2006 SHOP program. Likewise, if you
have received funds from organizations and agencies from previous years
that are not committed to another activity and you have the sole
discretion to commit these funds to your FY 2006 SHOP program, you must
submit a separate letter committing these dollars to your FY 2006 SHOP
program. In all instances, the dollar amount must be stated in the
letters. Letters of commitment may be contingent upon your receiving a
grant award. Letters of commitment must be included as an appendix to
your application, and do not count toward the page limitation noted in
Section IV.B.1. Unsigned, undated, or outdated letters, letters only
expressing support of your organization or its proposal, or those not
specifically stating the dollar amount or linking the resources to your
FY 2006 SHOP application or specific projects in your FY 2006
application do not count as firm commitments.
To receive full credit for leveraging, an applicant's leveraging
resources must be clearly identified for its FY 2006 SHOP application
and must total at least 50 percent of the amount shown on forms HUD-
424-CB needed to complete all properties, minus the proposed SHOP grant
amount, homebuyer sweat equity, and volunteer labor.
Rating Factor 5. Achieving Results and Program Evaluation (10 Points)
This factor assesses an applicant's past performance and emphasizes
HUD's determination to track whether applicants meet commitments made
in their applications.
a. Past Performance. For applicants that previously received SHOP
grants, HUD will assess your organization's past performance based upon
performance reports that demonstrate your organization's completion of
eligible SHOP activities, the number of families provided housing,
financial status information focusing on timely use of funds, and other
program outcomes. HUD will consider whether you had funds deobligated
for failure to meet your drawdown and construction schedules or funds
were returned because of monitoring findings or other program
deficiencies. HUD will also use monitoring reports, audit reports, and
other information available to HUD in making its determination under
this factor. For applicants that received SHOP grants in previous
years, HUD will assess your success in meeting benchmarks in the most
recent three years of participation in the program. If you are not a
current SHOP grantee, you must summarize your performance in
undertaking similar activities during the past three years. You must
supplement your narrative with internal or external performance reports
or other information that will assist HUD in making this determination,
and submit it as an appendix. Supplemental information and reports from
applicants that have not received SHOP grants do not count against the
page limitations.
b. Logic Model. HUD requires SHOP applicants to develop an
effective, quantifiable, outcome-oriented evaluation plan for measuring
performance and determining whether goals have been met using the
Master Logic Model for SHOP, which can be found in the download instructions
portion at http://www.grants.gov. In preparing your logic
model you must first open the form HUD-96010 and go to the instruction tab
and follow the directions in the tab. ``Outcomes'' are benefits
accruing to the families and/or communities during or after
participation in SHOP. The self-help housing units developed are
outputs as described under this factor, not outcomes. Applicants must
clearly identify the outcomes to be achieved and measured. Examples of
outcomes for SHOP include increasing the homeownership rate in a
neighborhood or among low-income families by a certain percentage,
increasing financial stability (e.g., increasing assets of the low-
income homebuyer households through home equity accumulation or
reducing total housing costs compared to rents that SHOP participants
previously paid) or increasing housing stability during and beyond the
grantee's period for reporting on property completions. See Reporting
in Section VI.C. Outcomes must be quantifiable.
In addition, applicants must establish interim benchmarks for which
outputs lead to the ultimate achievement of outcomes. ``Outputs'' are
the direct products of the applicant's program activities. Examples of
outputs for SHOP include the number of houses constructed, number of
sweat equity hours, or number of homes rehabilitated. Outputs should
produce outcomes for your program. Outputs must be quantifiable.
``Interim benchmarks'' are steps or stages in your activities that,
if reached or completed successfully, will result in outputs for your
program. Examples of interim benchmarks for SHOP include income-
qualifying homebuyers, obtaining building permits, or securing
construction materials and equipment.
Program evaluation requires that you identify program outcomes,
outputs, benchmarks, and performance indicators that will allow you to
measure your performance. Performance indicators must be objectively
quantifiable and measure actual achievements against anticipated
achievements. Your evaluation plan must identify what you are going to
measure, how you are going to measure it, and the steps you have in
place to make adjustments to your work plan if performance targets are
not met within established time frames. This factor reflects HUD's goal
to embrace high standards of ethics, management, and accountability.
Successful applicants will be required to periodically report on their
progress in achieving the proposed outcomes identified in the
application. Applicants should refer to the General Section for more
information on the Master Logic Model.
Submission Requirements for Rating Factor 5
a. Past Performance (7 Points). For applicants that received SHOP
grants in previous years, you must summarize your past performance,
including any
[[Page 11971]]
delays you encountered and the mitigating actions taken to overcome
them to successfully complete your program. HUD will measure your past
performance using monitoring reports, audit reports, quarterly and
annual reports, disbursement data, and other information currently in-
house against what you stated you would do in your previous
applications and your summary. New applicants must provide a summary of
your performance in carrying out self-help housing, including any
delays you encountered and the mitigating actions taken to overcome
them to successfully complete your program. Your narrative summary must
be supported by existing internal or external performance reports or
other information that will assist HUD in measuring your performance
for carrying out self-help housing. The supplemental reports and
information must be included as an appendix and will not count against
the page limitations.
b. Program Evaluation Plan (3 Points). For FY 2006, HUD has
developed an e LogicModelTM that allows the applicant to
select from drop down menus the elements of their program to be
captured in the Logic Model. Instructions for the eLogic ModelTM are found
in Tab 1 of the form HUD-96011 found in the instructions download to your
electronic application on http://www.Grants.gov/Apply.
The Master Logic Model listing also identifies the unit of measure that
HUD will collect for the output and outcome selected. Applicants must
identify a unit of measure and establish a goal for each output and
outcome. HUD expects applicants to identify more than one output and
outcome. You must summarize your program evaluation plan that measures
your own program performance. Your plan must measure the performance of
individual consortium members and affiliates, including the standards
and measurement methods, and the steps you have in place or how you plan
to make adjustments if you begin to fall short of established benchmarks
and time frames. For FY2006, HUD is considering a new concept for the
Logic Model. The new concept is a Return on Investment (ROI) statement.
HUD will be publishing a separate notice on the ROI concept.
Review and Selection Process
1. Factors for Award Used To Evaluate Applications
HUD will evaluate all SHOP applications that successfully complete
technical processing and meet threshold and submission requirements for
Factors 1 through 5. The maximum number of points awarded for the
rating factors is 100 plus the possibility of an additional 2 bonus
points for RC/EZ/EC-II.
2. RC/EZ/EC-II Bonus Points
Applicants may receive up to 2 bonus points for eligible activities
that the applicant proposes to locate in federally designated
Empowerment Zones (EZs), renewal communities (RCs), or enterprise
communities (ECs) designated by the United States Department of
Agriculture (USDA) in Round II (EC-IIs) that are intended to serve the
residents of these areas and that are certified to be consistent with
the area's strategic plan or RC Tax Incentive Utilization Plan for an
urban or rural renewal community designated by HUD (RC) on the
strategic plan for an enterprise community designed in round II by USDA
(EC-II) . For ease of reference in this notice, all of the federally
designated areas are collectively referred to as ``RC/EZ/EC-IIs'' and
the residents of these federally designated areas as ``RC/EZ/EC-II
residents.'' The RC/EZ/EC-II certification, a valid HUD-2990 form, must
be completed for an applicant to be considered for RC/EZ/EC-II bonus
points. A list of RC/EZ/EC-IIs can be obtained from HUD's grants Web
page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants can
determine if their program or project activities are located in one of
these designated areas by using the locator on HUD's Web site at
http://www.hud.gov/
crlocator. Copies of the certification can be found in the
electronic application and on HUD's Web site at http://www.hud.gov/offices/adm/
grants/nofa05/snofaforms.cfm. The certification must
be completed and signed by the appropriate official in the RC/EZ/EC-II for
an applicant to be considered for RC/EZ/EC-II bonus points. In addition
to the RC/EZ/EC-II certification, applicants must provide the location
of the EC/EZ/EC-II (name of town, city, state, or other locale) if not
otherwise identified on the certification, and the number of units to
be developed within the RC/EZ/EC-II in order to receive credit as noted
in V.B.4, Ranking and Selection Procedures.
RC/EZ/EC-II bonus points will be awarded as follows: 2 Points to an
applicant with over 25 percent of its proposed units in RC/EZ/EC-II; 1
point for 10 to 25 percent of units in RC/EZ/EC-IIs; and 0 points below
10 percent of units in RC/EZ/EC-II zones.
3. Rating
Applications that meet all threshold requirements listed in Section
III.C will be rated against the criteria in Factors 1 through 5 and
assigned a score. Applications that do not meet all threshold factors
will be rejected and not rated.
4. Ranking and Selection Procedures
Applications that receive a total of 75 points or more (without the
addition of RC/EZ/EC-II bonus points) will be eligible for selection.
After adding any bonus points for RC/EZ/EC-IIs HUD will place applications
in rank order. HUD will consider rank order, funds availability, and past
performance in the selection and funding of applications.
5. Technical Deficiencies
After the application submission date and consistent with
regulations in 24 CFR part 4, subpart B, HUD may not consider any
unsolicited information you may want to provide. However, HUD may
contact you to clarify an item in your application or to correct
technical deficiencies. In order not to unreasonably exclude
applications from being rated and ranked, HUD may contact applicants to
ensure proper completion of the application and will do so on a uniform
basis for all applicants. However, HUD may not seek clarification of
items or responses that improve the substantive quality of your
response to any rating factor.
Examples of curable (correctible) technical deficiencies include
inconsistencies in the funding request, a failure to submit
certifications. In each case, HUD will notify you in writing by
describing the clarification or technical deficiency. See the General
Section for additional information.
6. HUD's Strategic Goals to Implement HUD's Strategic Frameworks and
Demonstrate Results
See the General Section for HUD's Strategic Goals.
7. Policy Priorities
Refer to the General Section for information regarding application
criteria addressing HUD's policy priorities.
Note: From all applications that receive SHOP funds, HUD intends
to add relevant data obtained from the ``Removal of Regulatory
Barriers'' policy priority factor to the database on state and local
regulatory reform actions maintained at the Regulatory Barrier
Clearinghouse Web site at http://www.huduser.org.rbc/ used by states,
localities, and housing providers to identify regulatory barriers
and learn of exemplary local efforts at regulatory reform.
[[Page 11972]]
VI. Award Administration Information
A. Award Notices
1. HUD reserves the right to:
a. fund less than the amount requested by any applicant based on
the application's rank, the applicant's past performance, and the
amount of funds requested relative to the total amount of available
funds; and/or
b. fund less than the full amount requested by any applicant to
ensure a fair distribution of the funds and the development of housing
on a national, geographically diverse basis as required by the statute.
HUD will not fund any portion of an application that is ineligible
for funding under program threshold requirements in Section III.C. or
which does not meet other threshold and pre-award requirements in
Section III.C. The minimum grant award shall be the amount necessary to
complete at least 30 units at an average investment of not more than
$15,000 per unit or a lesser amount if lower costs are reflected in the
application. If any funds remain after all selections have been made,
these funds may be available for subsequent competitions.
2. Debriefing
For a period of at least 120 days, beginning 30 days after the
awards for assistance are publicly announced, HUD will provide to a
requesting applicant a debriefing related to its application. A
debriefing request must be made in writing or by email by its
authorized official whose signature appears on the SF-424 or his or her
successor in the office and submitted to Ms. Lou Thompson, Office of
Affordable Housing Programs, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 7164, Washington, DC 20410-
7000. Information provided during a debriefing will include, at a
minimum, the final score you received for each rating factor, final
evaluation comments for each rating factor, and the final assessment
indicating the basis upon which assistance was provided or denied.
B. Administrative and National Policy Requirements
1. Grantees are required to comply with the following
administrative and financial requirements: A-122 Cost Principles for
Non-Profit Organizations; A-133 (Audits of States, Local Governments,
and Non-Profit Organizations); and the regulations at 24 CFR part 84
(Grants and Agreements with Institutions of Higher Education,
Hospitals, and other Non-Profit Organizations).
2. Copies of the OMB Circulars may be obtained from EOP
Publications, Room 2200, New Executive Office Building, Washington, DC
20503, telephone (202) 395-3080 (this is not a toll-free number) or
(800) 877-8339 (toll-free TTY Federal Information Relay Service) or
from the Web site at
http://www.whitehouse.gov/omb/circulars/index.html.
3. Refer to all award administration information requirements
described in Section VI (``Award Administration Information'') of the
General Section.
C. Reporting
Grantees are required to submit quarterly and annual (consortium
members/affiliates) reports providing data on the construction status,
unit characteristics, and income and racial and ethnic composition of
homeowners in SHOP-funded properties. For each reporting period, as
part of the required quarterly report to HUD, grant recipients must
include a completed Logic Model (form HUD-96010), which updates the
output and outcome achievements identified in your application with
which HUD can evaluate the effectiveness of the SHOP funding.
Applicants are also required to report annually their response to the
management questions contained in the eLogic model TM for
the SHOP program.
VII. Agency Contact
Further Information and Technical Assistance
Before the application due date, HUD staff may provide general
guidance and technical assistance about this NOFA. However, staff is
not permitted to assist in preparing your application. Also, following
selection of applicants, but before awards are announced, staff may
assist in clarifying or confirming information that is a prerequisite
to the offer of an award. You may contact Ms. Lou Thompson, SHOP
Program Manager, Office of Affordable Housing Programs, U.S. Department
of Housing and Urban Development, 451 Seventh Street, SW., Room 7164,
Washington, DC 20410-7000, telephone (202) 708-2684 (this is not a
toll-free number). This number can be accessed via TTY by calling the
toll-free Federal Information Relay Service Operator at (800) 877-8339.
For technical support for downloading an application or electronically
submitting an application, please call Grants.gov Customer Support at
800-518-GRANTS (this is a toll-free number) or e-mail to
support@grants.gov.
VIII. Other Information
A. Review Section VIII.A., B., E., F., G., and H. (``Other
Information'') of the General Section, and note that these subsections
are incorporated by reference into this NOFA.
B. Paperwork Reduction Act
The information collection requirements contained in this document
were approved by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB
control number 2506-0157. In accordance with the Paperwork Reduction
Act, HUD may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless the collection displays
a currently valid OMB control number. Public reporting burden for the
collection of information is estimated to average 60 hours per annum
per respondent for the application and grant administration. This
includes the time for collecting, reviewing, and reporting the data for
the application, quarterly and annual reports, and final report. The
information will be used for grantee selection and monitoring the
administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.
BILLING CODE 4210-01-P
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TN08MR06.026
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Housing Opportunities for Persons With AIDS (HOPWA) Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development (CPD), Office
of HIV/AIDS Housing.
B. Funding Opportunity Title: Housing Opportunities for Persons
With AIDS (HOPWA).
C. Announcement Type: Initial Announcement
D. Funding Opportunity Number: The Federal Register number is: FR-
5030-N-05. The OMB approval number is 2506-0133.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.241
Housing Opportunities for Persons With AIDS Program.
F. Dates: The application submission date is June 13, 2006. Refer
to the General Section for application submission and timely receipt
requirements.
G. Additional Overview Information:
1. Purpose of the Program: To provide states and localities with
the resources and incentives to devise long-term comprehensive
strategies for meeting the housing needs of low-income persons with
Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome (HIV/
AIDS). Grant recipients will measure client outcomes to assess how
housing assistance results in creating or maintaining stable housing,
reduces risks of homelessness, and improves access to healthcare and
other needed support. States, units of general local government, and
nonprofit organizations interested in applying for funding under this
grant program should carefully review the General Section and detailed
information listed in this NOFA.
2. Available Funds. Approximately $10,000,000 in FY2006 funding is
made available under the Department of Housing and Urban Development
Appropriations Act, 2006 (Pub. L. 109-115; approved Nov. 30, 2005).
Funds for the renewal of expiring HOPWA competitive grants that have
successfully undertaken permanent supportive housing projects will be
distributed under a separate, simplified process, described in a
separate notice from this NOFA. Funds under this NOFA will be made
available after those awards with the remaining funds. This notice
makes available funding for two types of HOPWA competitive grants for
new projects: (1) Long-term project awards for housing activities to be
conducted by eligible states and units of general local government in
areas that are not eligible for formula allocations or in the balance
of the state areas outside of eligible metropolitan statistical areas
by a governmental agency that is not eligible to receive formula
grants; and (2) awards for Special Projects of National Significance
(SPNS) projects that will undertake housing service delivery models to
provide HOPWA clients with improved stable housing arrangements by a
governmental agency or an eligible non-profit organization.
Beginning this year, the Department will advise existing grantees
that provide permanent supportive housing, the procedure for qualifying
for additional funds as a renewal of an expiring HOPWA grant. These
projects will not be required to submit an application under this
competition for a renewal grant.
3. Eligible Applicants. States, units of general local government,
and nonprofit organizations are eligible to apply.
4. Match. None.
5. Authorities. HOPWA Program regulations at 24 CFR Part 574 and
the AIDS Housing Opportunity Act (42 U.S.C. 12901-12912), govern the
program.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description
1. Long-Term Projects in Non-Formula Areas
HUD will award funding for short-term, transitional and/or
permanent supportive housing activities. These projects should improve
stable housing arrangements for eligible persons who reside in areas
not eligible for HOPWA formula allocations or in the balance of state
areas outside of eligible metropolitan statistical areas to be
undertaken by a state or unit of general local government that is not
eligible for a formula allocation in federal fiscal year 2006.
2. Special Projects of National Significance (SPNS)
Special Projects of National Significance (SPNS) projects will
provide assistance that stabilizes housing for eligible persons through
model and/or innovative service delivery models. Consistent with the
selection considerations established at 42 U.S.C. 12903(c)(3)(C), SPNS
projects will demonstrate potential replicability in the larger HOPWA
program.
3. Definitions for All HOPWA Grants
a. Chronically Homeless Person. An unaccompanied homeless
individual with a disabling condition who has either been continuously
homeless for a year or more OR has had at least 4 episodes of
homelessness in the past 3 years. For this program a disabling
condition is defined as a diagnosable substance abuse disorder, serious
mental illness, developmental disability, or chronic physical illness
or disability, including the co-occurrence of two or more of these
conditions.
b. Lease or Occupancy Agreement. In establishing that an eligible
person has obtained permanent supportive housing and a legal right to
remain in that housing unit, the lease or occupancy agreement must be
for a term of at least one year. The lease or occupancy agreement must
also be automatically renewable upon expiration, except on reasonable
and timely prior notice by either the tenant or the landlord. A short-
term lease or lease in the name of the provider may be used to
undertake transitional housing activities.
c. Non-profit Organization. Non-profit organizations include those
that: (1) Are state or locally chartered; (2) Are organized under state
or local laws; (3) Have no part of earnings inuring to the benefit of
any member, founder, contributor or individual; (4) Have a functioning
accounting system that is operated in accordance with generally
accepted accounting principles, or has designated an entity that will
maintain such an accounting system; and (5) Have among its purposes
significant activities related to providing services or housing to
persons with acquired immunodeficiency syndrome or related diseases, as
clarified to include infection with the human immunodeficiency virus (HIV).
d. Permanent Supportive Housing. Housing in which the eligible
person has a continuous legal right to remain in the unit and which
provides the eligible person ongoing supportive services through
qualified providers.
e. Transitional Housing. Housing, that will help facilitate the
movement of eligible person(s) to permanent housing within 24 months.
B. Statutory and Regulatory Requirements
For more information on the HOPWA program, including eligible uses
of funds, see the HOPWA program regulations at 24 CFR Part 574 and the
AIDS Housing Opportunity Act (42 U.S.C. 12901-12912), which govern the
program.
C. Availability of Other HOPWA Resources.
1. Formula Allocations
Applicants are advised to also consider seeking funds from the formula
[[Page 11975]]
component of the HOPWA program and from other resources. Ninety percent
of the HOPWA program is allocated by formula to eligible states and
qualifying cities. In FY2006, HUD distributed $256 million in HOPWA
funds by formula to the qualifying cities for 83 eligible metropolitan
statistical areas (EMSAs) and to 39 eligible states for areas outside
of EMSAs.
2. National HOPWA Technical Assistance
To apply for funding to serve as a provider of HOPWA technical
assistance, you must submit an application for funds under the
Community Development Technical Assistance (CDTA) section of the
SuperNOFA. The CDTA notice makes HOPWA funds available to organizations
qualified to provide technical assistance support to HOPWA grantees and
project sponsors. Organizations seeking help in managing their current
HOPWA project, such as advice or other help needed in planning,
operating, reporting to HUD and evaluating HOPWA programs, can request
technical assistance by contacting their state or area CPD office.
II. Award Information
A. Total
The total available HOPWA competitive funding in FY2006 is
$28,175,000. After first awarding funds to renew existing HOPWA
permanent housing projects in FY2006, HUD estimates that approximately
$10,000,000 will be available for new projects.
B. Announcement of Awards
HUD anticipates that projects awarded under this Notice will be
announced by August 30, 2006. It is expected that selected projects
will undertake program activities under a grant agreement for a three-
year operating period.
C. Minimum and Maximum Grant Award
In order to fairly distribute available funding, the conditions on
grant size for award that you may receive is:
1. For program activities (e.g., activities that directly benefit
eligible persons): at least $500,000 and up to $1,300,000 (e.g.,
activities that directly benefit eligible persons);
2. For grant administrative costs of the grantee: 3 percent of the
awarded grant amount (e.g., an additional $39,000 if the maximum grant
is awarded);
3. For grant administrative costs for project sponsors: 7 percent
of the amounts received by the project sponsor under the grant (e.g.,
an additional $91,000 if the maximum grant is awarded). A grantee
cannot also receive project sponsor administrative costs even when the
grantee carries out the program activities directly;
4. Total maximum grant amount for all categories of grant awards
under this NOFA is $1,430,000.
D. Average Grant Award
Based on the results of the 2005 HOPWA competition, the average
grant award for the 35 grants selected was $1,071,459.
III. Eligibility Information
A. Eligible Applicants
1. Eligibility for Funding to Nonprofit Organizations
If you are a nonprofit organization, you must also satisfy the
nonprofit requirements established in the definition for eligible
nonprofit organization found in 24 CFR 574.3 and in the definitions
section of this Program NOFA.
2. General Eligibility for Expiring Grant Projects
To be eligible for a new grant for an existing HOPWA project--a
project that does not qualify for renewal as a permanent supportive
housing project--the project must meet all program requirements.
Projects that show poor performance or unresolved grants management
issues up to the date of the public announcement of awards under this
NOFA will not be funded. Unresolved problems may include: (1) HUD
knowledge that planned activities remain significantly delayed in their
implementation; (2) A significant number of planned housing units are
vacant; 3. Required annual progress reports are not timely filed with
HUD; 4: Unresolved actions pending under a HUD notice of default on
your current grant or significant citizen complaints are unresolved or
not responded to with justified reasons.
3. General Eligibility for Applicants and Sponsors
States, units of general local government, and nonprofit
organizations may apply under the SPNS grants category to propose new
projects or for additional funding to existing projects that do not
qualify as permanent supportive housing renewal grants.
States and units of general local government may apply under the
``Long-term'' category, if the project entails housing activities in
areas that did not receive or are not designated to receive HOPWA
formula allocations in FY2006 or the government agency is not eligible
to receive formula funds will serve a balance of state area outside of
any EMSA. Nonprofit organizations are not eligible to apply directly
for Long-term grants, but may serve as a project sponsor for an
eligible state or local government applicant.
B. Cost Sharing or Matching
There are no cost sharing or matching requirements for applications
under this program NOFA. However, leveraging is encouraged and
addressed in Rating Factor 4 Leveraging.
C. Other Eligibility Requirements
1. Threshold Requirements for All Applications
Applicants must meet the threshold requirement identified in the
General Section. HUD will also review your application to determine
that you are eligible for funding, as follows:
a. Eligible Applicant.
(1) Your application is consistent with the requirements of Section
III of this NOFA for eligibility based on applicant requirements,
project sponsor requirements and the lack of any unresolved management
issues for applicants who currently administer HOPWA grants; and
(2) Your application complies with the Dun and Bradstreet Data
Universal Numbering System (DUNS). More information on the requirement
of the DUNS can be found in the General Section.
b. Eligible Project Sponsors. Your application is consistent with
the requirements for eligibility of project sponsors, as follows:
If the project sponsor is a nonprofit organization, it must also
satisfy the nonprofit requirements established in the definition of an
eligible nonprofit organization found in 24 CFR 574.3 and in the
definition section of this NOFA.
2. Program Requirements
All grant recipients must also meet the following program
requirements, including performance goals and operational benchmarks,
and conduct project activities in a consistent and ongoing manner over
the approved grant operating period. If a selected project does not
meet the appropriate requirement, HUD reserves the right to cancel and/
or withdraw the grant funds.
a. General Provisions. The provisions outlined within the General
Section apply to the HOPWA program unless otherwise stated within this
NOFA. Specifically, you are encouraged to review Section III.C, Other
[[Page 11976]]
Requirements and Procedures Applicable to All Programs.
b. Environmental Requirements. All HOPWA assistance is subject to
the National Environmental Policy Act and applicable related federal
environmental authorities. While some eligible activities, such as
tenant-based rental assistance, supportive services, operating costs,
and administrative costs, are excluded from environmental review
because of the lack of environmental impact, other activities require
environmental review. All new facility-based projects must undergo an
environmental review. In accordance with Section 856(h) of the AIDS
Housing Opportunity Act and the HOPWA regulations at 24 CFR 574.510,
environmental reviews for HOPWA activities are to be completed by
responsible entities in accordance with 24 CFR Part 58. Applicants or
grantees that are not a responsible entity must request the unit of
general local government to perform the environmental review. HOPWA
grantees and project sponsors may not commit or expend any grant or
non-federal funds on project activities until HUD has approved a
``Request for Release of Funds and Certification'' (RROF), form HUD-
7015.15, on compliance with the National Environmental Policy Act and
implementing regulations at 24 CFR Part 58 (Environmental Review
Procedures for Entities Assuming HUD Environmental Responsibilities)
and the environmental certification from the responsible entity (other
than those listed in 24 CFR 58.22(f), 58.34 or 58.35(b) for which the
responsible entity documents its findings of exemption or exclusion for
the environmental review record (24 CFR 58.34(b) or 24 CFR 58.35(d)).
The recipient, its project sponsors and their contractors may not
acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or
construct property for a project, or commit or expend HUD or local
funds for such eligible activities, until the responsible entity (as
defined in 58.2) has completed the environmental review procedures
required by 24 CFR Part 58 and the environmental certification and RROF
have been approved. HUD will not release grant funds if the recipient
or any other party commits grant funds (i.e., incurs any costs or
expenditures to be paid or reimbursed with such funds) before the
recipient submits and HUD approves its RROF (where such submission is
required). The recipient shall supply all available, relevant
information necessary for the responsible entity to perform, for each
property, any environmental review required.
c. Required HOPWA Performance Goals. Grant recipients must conduct
activities consistent with their planned annual housing assistance
performance output goals, objectively measure actual achievements
against anticipated achievements, and report on their actual
performance housing outputs and client outcomes. Applicants are
required to use the HOPWA Budget Form (form HUD-40110-B) found in the
instructions to the published NOFA on Grants.gov/Apply in this NOFA for
recording the funding for housing assistance activities that are
associated with these performance outputs, including any funding
request for HOPWA funds and/or commitment to use other funds for this
purpose. This form is consistent with the new Annual Progress Report
that grantees will be required to complete. Applicants must establish a
reasonable client outcome goal on achieving housing stability to be
quantified after each year of operation to demonstrate client outcomes.
HUD expects that each HOPWA grantee will show that at least half of the
beneficiaries achieve stable housing in their program during the
operating year, as shown by stable housing arrangements for the
household at the end of each operating year. The grantee will assist in
establishing a baseline on annual performance to help measure how
future efforts lead to the achievement of higher levels of housing
stability. On a national basis, HUD has established the goal that over
80 percent of clients will be in stable housing situations by 2008. The
following performance measures must be used in your project plan and
your logic model under paragraph (e):
(1) Required Output refers to the number of units of housing/
households assisted during the year, as measured by the annual use of
HOPWA funds. For HOPWA, the application must specify one-year goals for
the number of households to be provided housing through the use of
HOPWA activities for: (a) short-term rent, mortgage, and utility
assistance payments to prevent homelessness of the individual or
family; (b) tenant-based rental assistance; and (c) units provided in
housing facilities that are being developed, leased, or operated with
HOPWA funds. You should also include the projected numbers of low-
income eligible households who are expected to benefit from the other
types of HOPWA assistance to be provided through your project during
each operating year, such as the number receiving permanent housing
placement support, or supportive services.
(2) Required Outcomes refer to the number of eligible households
who have been provided housing assistance (as noted above for outputs)
and thereby maintain a stable living environment in housing that is
safe, decent, and sanitary. The program will measure these results in
annual assessments on the housing status of beneficiaries along with
other outcome measures on the reduced risks of homelessness and
improved access to HIV treatment and other health care and support. On
a nation-wide basis, the program is expected to demonstrate stable
housing results for beneficiaries through the use of annual resources
with a national goal that this stable housing status be achieved by 80
percent of all HOPWA beneficiaries by 2008.
d. Optional Program Performance Goals.
In addition to required performance measures described in the
paragraph above, you may include other measures or annual indicators in
your project plan and in your logic model under paragraph (e).
e. HUD Logic Model. You must use the Logic Model (Form HUD-96010)
in the General Section to illustrate the planning for the use of
resources, project activities, required outputs and outcomes, and other
grantee-identified goals, and for reporting on annual accomplishments.
Applicants must make use of the required elements in paragraph (a) in
this form. If you are awarded a grant under this notice, please note
that the logic model form will also be used as part of your Annual
Progress Report to document results obtained under your approved plans
during each operating year. For FY2006, HUD is considering a new
concept for the Logic Model. The new concept is a Return on Investment
(ROI) statement. HUD will be publishing a separate notice on the ROI
concept. Training on the logic model will be conducted via satellite
broadcast and archived on HUD's Web site. The satellite broadcast and
webcast date will be published on HUD's Web site. See Section VI, C
Logic Model reporting requirements.
f. HOPWA Facility Use Period Requirement. Any building or structure
assisted with amounts under this part will be maintained as a facility
to provide assistance for eligible persons: (1) for not less than 10
years in the case of assistance involving new construction, substantial
rehabilitation or acquisition of a building or structure; and (2) for
not less than three years in cases involving substantial
[[Page 11977]]
rehabilitation or repair of a building structure.
g. Execution of Grant Agreement and Obligation of Awards. HOPWA
grants are obligated upon execution of the grant agreement by both
parties (i.e., the recipient and HUD). Applicants selected to receive
FY2006 funding must execute grant agreements as soon as practicable,
but no later than six months after the notice of selection.
h. Disbursement of Funds. Grant recipients must fully expend their
grant funding no later than three years following the effective date or
the operation start date in the grant agreement, unless HUD has
approved a one-time extension for an additional 12 months or less. A
time limit on grant expenditures that is established in the National
Defense Authorization Act for Fiscal Year 1991 requires the expenditure
of all HOPWA funds awarded under the FY2006 Appropriations Act by
September 30, 2012. After September 30, 2012, any unexpended funds
shall be canceled and, thereafter, shall not be available for
obligation or expenditure for any purpose.
i. Site Control through Acquisition or Lease. If you acquire or
lease a site for housing activities, you are required to gain site
control within one year from the date of your notice of selection by HUD.
j. Rehabilitation or New Construction. If you propose to use HOPWA
funds for rehabilitation or new construction activities for housing
projects, you must agree to begin the rehabilitation or construction
within 18 months, and all rehabilitation or construction work must be
completed within the terms of your grant agreement with HUD. Such
activities will trigger certain accessibility requirements of Section
504 of the Rehabilitation Act of 1973 and/or the Design and
Construction requirements of the Fair Housing Act of 1988.
k. Project Operations. If funds are used for operating costs of
existing housing facilities, you must agree to begin to use these funds
within six months, consistent with the terms of your grant agreement
with HUD. If funds are to be used for operating costs, in connection
with the new construction or substantial rehabilitation of housing
facilities, the amount of funds designated for operating costs must be
limited to the amount to be used during the portion of the planned
three-year period for your grant agreement for which the facility will
be operational and assisting eligible. Delays in the project's
development activities, such as the planned completion of the
construction or rehabilitation activities, could result in the loss of
funds designated for operating costs, if such funds remain in excess
after the authorized use period for this award. For example, if you
expect to take two years to complete the rehabilitation of the
facility, any operating costs could only be requested for use in the
remaining one-year of the planned three-year operating period for this
award.
l. Section 3 of the Housing and Urban Development Act of 1968. The
applicant will comply with Section 3 of the Housing and Urban
Development Act of 1968, as amended (12 U.S.C. 1701 (u), and
regulations pursuant thereto (24 CFR Part 135), which require that to
the greatest extent feasible opportunities for training and employment
be given to lower-income residents of the project and contracts for
work in connection with the project be awarded in substantial part to
persons residing in the area of the project.
3. Eligible Activities
a. Proposed Project Activities. In your application, you must
specify the activities and budget amounts for which HOPWA funds are
being requested, consistent with the eligible activities found in the
HOPWA regulations at 24 CFR 574.300. Activities must address housing
needs of eligible members of the community and specify whether the
project will be undertaking permanent, transitional, short-term and/or
emergency housing assistance. A copy of the regulations may be
downloaded from http://www.hud.gov/offices/cpd/aidshousing/lawsregs/index.cfm.
You are encouraged to review the HOPWA regulations before seeking
funding. HUD will not approve proposals that depend on a prospective
determination as to how program funds will be used. For example, a
proposal to establish a local request-for-proposal process to select
either activities, or to select project sponsors, that have the effect
of delaying the obligation of funds due to the unplanned use of HOPWA
funds, will not be approved.
b. Additional Guidance on Use of Program Funds.
(1) Housing Assistance. HOPWA projects must demonstrate that
housing assistance is the main focus of program activities. Please
indicate if you propose to use HOPWA funds to provide permanent
supportive housing (as defined in Section I.A.). If you are proposing
emergency or transitional housing assistance, your plan must include
linkages to permanent supportive housing. See 24 CFR 574.300(b)(8) for
descriptions of appropriate operating costs for a housing project.
(2) Supportive Services. Many of the eligible persons who will be
served by HOPWA may need other support in addition to housing. It is
important that you design programs that enhance access to those
existing mainstream resources through community wide strategies to
coordinate assistance to eligible persons. These mainstream programs
include: the Ryan White CARE Act; Medicaid; Children's Health Insurance
Program; Temporary Assistance for Needy Families; Food Stamps; Mental
Health Block Grant; Substance Abuse Block Grant; Workforce Investment
Act; and the Welfare-to-Work grant program; as well as other state,
local and private sources. No more than 35 percent of the proposed
budget for program activities undertaken by project recipients can be
designated for supportive services costs. In addition, HUD will not
award funds for the acquisition, lease, rehabilitation, or new
construction of a supportive services-only facility. Additional
restrictions and limitations that apply to supportive services such as
limitations addressing only uncompensated healthcare costs can be found
at 24 CFR 574.300. HUD will not provide funds for medications or other
health-care costs reasonably available from other sources. Costs for
staff engaged in delivering the supportive service is part of the
supportive service activity cost, and should not be listed as operating
costs or ``other'' costs in the application's proposed HOPWA budget.
(3) Permanent Housing Placement Assistance. Permanent housing
placement at Sec. 574.300(b)(7) may also be used in connection with
the provision of housing support provided under these awards and is not
considered a supportive service under limitations stated in paragraph
(2). Permanent housing placement costs may involve costs associated
with helping eligible persons establish a new residence where ongoing
occupancy is expected to continue, including rental application fees,
related credit checks and reasonable security deposits necessary to
move persons to permanent housing, provided such deposits do not exceed
two months of rent. Leveraged resources may involve other forms of
move-in support, such as essential housing supplies, smoke alarms,
standard furnishings, minor repairs to the unit associated with move-
in, and other incidental costs for occupancy of the housing unit. While
these items are not eligible as permanent housing placement costs,
grantees may make use of other leveraged funds for these costs.
[[Page 11978]]
(4) Other HUD-Approved Activities. You may propose other activities
not already authorized at 24 CFR 574.300(b), subject to HUD's approval.
Your proposal should address the expected beneficial impact of this
alternative activity in addressing housing needs of eligible persons by
describing the project impact and the identified performance output and
client outcome measures for this activity.
IV. Application and Submission Information
A. Addresses To Request Application Package
Copies of the published NOFAs and application forms for HUD
programs announced through NOFA are available at the Grants.gov Web
site, http://www.grants.gov/Apply If you have difficulty accessing the
information, customer support is available from Grants.gov by calling
their Support Desk at (800) 518-4726 from 8 a.m.-9 p.m. eastern time or
sending an email to support@grants.gov. If you do not have Internet
access and need to obtain a copy of the NOFA, you can contact HUD's
NOFA Information Center toll-free at (800) HUD-8929. Persons with
hearing or speech impairments may also call toll-free at (800) HUD-2209.
B. Content and Form of Application Submission
By signing the SF-424, applicants are agreeing to the assurances
found in the General Section. If conditionally selected for funding,
the following certifications as noted must be provided prior to the
signing of a grant agreement. Standard certifications and forms are
found in the General Section and the HOPWA budget and certification
(form HUD-40110-B), is included in the appendices in this NOFA. Copies
of these forms are available from HUD's Web site at
http://www.hudclips.org/sub_nonhud/html/forms.htm.
1. Forms
Applicants are requested to submit the following information:
a. Application for Federal Assistance (SF-424) (Required)
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement) (Optional).
c. Program Outcome Logic Model (HUD-96010) (Required).
d. Certification of Consistency with the Consolidated Plan (HUD-
2991) (Required prior to the signing of a grant agreement).
e. Certification of Consistency with the RC/EZ/EC-II Plan (HUD-
2990)--if applicable to the service area of your project (Optional).
f. Applicant/Recipient Disclosure/Update Report (HUD-2880)
(required prior to the signing of a grant agreement) (Required).
g. Disclosure of Lobbying Activities (SF-LLL), if applicable
(required prior to the signing of a grant agreement).
h. HOPWA Application Budget Summary, including HOPWA Applicant
Certifications (form HUD-40110-B) (Required).
i. Acknowledgement of Application Receipt (HUD-2993), if applicable
due to an approved waiver of the electronic submission requirement
(Optional).
j. Client Comments and Suggestions (HUD-2994) (Optional).
k. Facsimile Transmittal (for electronic applications)--Form HUD-
96011, if applicable due to a facsimile transmission.
2. Additional HOPWA Guidance on Forms
HOPWA Application Budget Summary (form HUD-40110-B). Do not
complete the standard budget form contained in the General Section.
Applicants must use this program-specific budget form (HUD-40110-B,
HOPWA Budget Application Summary) that demonstrates how funds will be
used for eligible activities. The HOPWA HUD-40110-B will provide a
summary of the total budget for your project, the annual HOPWA amounts
to be used in each of the three years of operation and description
budget by project sponsor of the HOPWA funds to be used by each
sponsor. On this form, you must provide a short narrative which
outlines each of your requested budget line items and how the funds
will be used, including the amount of requested funding by line item
for you and your project sponsors.
b. Certification of Consistency with the Consolidated Plan (HUD-
2991). Except as stated below, you must obtain a Consolidated Plan
certification signed by the applicable state or local government
official for submitting the appropriate plan for the areas in which
activities are targeted. This form must be submitted to HUD prior to
the signing of a grant agreement. The authorizing official from the
state or local government must sign this certification. If your project
will be carried out on a national basis or will be located on an Indian
reservation or in one of the U.S. Territories of Guam, the Virgin
Islands, American Samoa, or the Northern Mariana Islands, you are not
required to include a Consolidated Plan certification from these areas
with your application.
3. Application Content for Long-term and Special Projects of National
Significance (SPNS) Project Applications
The review criteria for Long-term, and SPNS applications can be
found in Section V.A. of this NOFA. For your narrative responses,
number the pages and include a header or a footer that provides the
name of the applicant or the project.
a. Executive Summary. On no more than two double-spaced pages,
provide an Executive Summary of the proposed project. The summary
should provide an overview of the main components of your planned HOPWA
project, any special service delivery method or project purposes and
the projected annual housing output for the first year of operation. In
the Executive Summary, provide the name of the grantee and any project
sponsors, along with contact names, phone numbers, and e-mail addresses.
For projects involving sites, (e.g., a structure where HOPWA funds
will be used for construction, acquisition, rehabilitation, leasing,
operating costs, and/or project-based rental assistance) provide the
address of the site and describe any other resources that are needed to
complete the development of this housing facility. Please identify if
the site is a Confidential Site or a Public Site. (HUD will not release
the address of confidential sites).
Please indicate which of the following special populations your
project will serve by operating a project that intentionally targets
assistance. Further, indicate the number of special population
households likely to be assisted through the housing assistance planned
in your project:
? Homeless persons (and of those, identify how many are
chronically homeless)
? Veterans
Note: HUD will use your responses regarding special population to
respond to public inquires).
b. Proof of Nonprofit Status and AIDS Purpose. Excluding situations
where non-profit documentation was submitted to HUD under prior HOPWA
awards and there has been no change in project sponsor(s), all
conditionally selected applicants must provide a copy of the nonprofit
documentation for each sponsor that is a non-profit organization
consistent with the standards under paragraph (1) prior to the signing
of a grant agreement. Conditionally selected applicants must also
provide documentation consistent with paragraph (2) below prior to the
signing of a grant agreement to demonstrate that
[[Page 11979]]
each sponsor's organizational documents include a purpose of
significant activities related to providing housing or services to
persons with HIV/AIDS. For submission of the documentation in
paragraphs (1) and (2) on paper forms, you should follow the directions
in the General Section, with the exception of the budget forms.
(1) HUD will accept as evidence of your nonprofit status:
(a) A copy of the Internal Revenue Service (IRS) ruling providing
tax-exempt status under Section 501(c) (3), (4), (6), (7), (9) or (19)
of the IRS code;
(b) A ruling from the Treasury Department of the Commonwealth of
Puerto Rico granting income tax exemption under section 101 of the
Income Tax Act of 1954, as amended (13 LPRA 3101);
(c) Documentation that the applicant is a certified United Way
agency;
(d) Copy of your most recent completed tax statement, Form IRS-990
or Form 990-EZ;
(e) All of these:
(i) a certification by the appropriate official of the jurisdiction
where the nonprofit was organized that your organization was organized
as a non-profit organization and is in good standing;
(ii) a certification from a designated official of the organization
that no part of the net earnings of the organization inures to the
benefit of any member, founder, contributor, or individual; that the
organization has a voluntary board; and that the organization practices
nondiscrimination in the provision of assistance in accordance with
applicable program requirements; and
(iii) an opinion letter from an independent public accounting (IPA)
firm that the nonprofit has a functioning accounting system that
provides for each of the following:
(A) Accurate, current, and complete disclosure of the financial
results of each federally funded project;
(B) Records that identify adequately the source and application of
funds for federally funded activities;
(C) Effective control over and accountability for all funds,
property and other assets;
(D) Comparison of outlays with budget amounts;
(E) Written procedures to minimize the time elapsing between the
transfer of funds to the recipient from the U.S. Treasury and the use
of funds for program purposes;
(F) Written procedures for determining reasonableness, allocable,
and allowable costs; and
(G) Accounting records including cost accounting records that are
supported by source documentation.
(2) We will also accept as evidence of your organization's HIV/
AIDS-related purpose, a copy of the organization's articles of
incorporation and by-laws, mission statement, program management plan,
or other organizational policy document which evidences the
organization's activities or objectives related to providing services
or housing to persons with HIV/AIDS.
c. Capacity of Applicant and Project Sponsors and Relevant
Organizational Experience Narrative. On no more than five double-spaced
typed pages or similar chart or table for the Applicant, and no more
than two double-spaced pages or similar chart or table per additional
sponsor, demonstrate the extent to which you and any project sponsor(s)
have the organizational resources necessary to successfully implement
your proposed activities in a timely manner.
d. Need/Extent of the Problem Narrative. On no more than five
double-spaced typed pages or similar chart or table define your planned
service area and demonstrate the need for funding eligible activities
in the area to be served.
e. Soundness of Approach: Model Qualities and Responsiveness/
Coordination Narrative. On no more than ten double-spaced typed pages
or similar chart or table, address the method by which your plan meets
your identified needs. Demonstrate how your project will provide its
planned activities through HOPWA and other resources, and how it will
serve as a model with exemplary qualities to address the ongoing
housing and supportive service needs of eligible persons within a
replicable operational framework.
f. Documentation of Leveraged Resources. As described in paragraph
4 of this section, to receive a leverage score for your project,
provide a detailed chart of commitments that you have obtained and have
on file that provides evidence of your ability to secure community
resources for operating and sustaining your housing project.
g. Achieving Results and Program Evaluation Narrative. To
complement the use of the Logic Model form, in no more than three
double-spaced typed pages or similar chart or table, provide a
supplemental optional narrative that may detail or further demonstrate
your commitment to ensuring that the goals that you set forth and your
performance will be assessed in a clear and effective manner. Address
how you will implement the HOPWA Program goals and identify the
benefits or outcomes of your program including details on your
activities, benchmarks, and interim activities or performance
indicators shown in the Logic Model. Provide comments as may be needed
on details for an evaluation plan that will objectively measure actual
achievements against anticipated achievements.
4. Application Content on Leveraging for All Types of Applications
To receive consideration for leveraged resources, all types of
applications must include information on the commitments from other
state, local, federal, or private entities to provide additional
resources in operating and sustaining your planned activities to
support project beneficiaries. Other HOPWA funds, such as formula
allocations, may not be used for this purpose in determining
leveraging. To receive a score for leveraging, any project must provide
a list in a chart with information on the nature of the secured
leveraged commitments that you have in hand at the time of your
application submission to HUD. You may also describe a plan for how the
project will continue to operate in future years, with a decreased
reliance on these federal resources.
As a change from prior year competitions, you should not submit an
electronic copy or facsimile transmittal of these letters of commitment
with your HOPWA application, but should use these letters or documents
to report on the information requested below. The applicant must retain
in its files all of the leveraging letters or documents and a
conditionally-selected applicant may be required to provide HUD with a
copy or other evidence of these letters or documents as part of the
conditions for receiving HOPWA funds.
In the application, provide information only for contributions for
which you have a written commitment in hand at the time of application.
A written agreement could include signed letters, memoranda of
agreement, and other documented evidence of a firm commitment for
resources to be available during the operating period of your project,
if selected for award. Leveraging items may include any written
commitments that will be used towards your leveraging of the project,
as well as any written commitments for buildings, equipment, materials,
services and volunteer time. The value of commitments of land,
buildings and equipment are one-time only and cannot be claimed by more
than one selected project (e.g., the value of donated land, buildings
or equipment claimed in 2005 and prior years for a project that was
selected for funding cannot be claimed as leveraging by that project in
[[Page 11980]]
subsequent competitions). The written commitments must be documented on
letterhead stationery, signed by an authorized representative, dated
and in your possession prior to the deadline for submitting your
application.
The Department will periodically monitor the use of your
commitments by requiring the collection of information in annual
progress reports to establish that the leveraged resources are being
used, as committed, in undertaking the project. Failure to provide
evidence of these commitments or the related use of these additional
resources in operating your project could result in a notice of default
and affect the project's continued access to federal funds awarded
under this NOFA.
C. Submission Dates
Application Deadline Date. Your completed application must be
submitted, received and validated electronically by Grants.gov no later
than 11:59:59 p.m. eastern time on the submission date for HOPWA found
in the General Section. Failure to meet the appropriate submission and
receipt date requirements will result in the application being
ineligible for funding under this NOFA. Please follow the application
submission and timely receipt requirements that are established in the
General Section.
All parts of an electronic application must be submitted via the
Grants.gov portal with additional documentation as called for in this
NOFA provided via electronic facsimile transmittal in accordance with
the requirements stated in the General Section. For electronic
applications, HUD will not accept parts of an application submitted
through the mail or entire applications by facsimile. For applications
receiving a waiver of the electronic application submission
requirements, the entire application must be submitted in hard paper
copy format with the required number of copies.
D. Intergovernmental Review
The HOPWA program is not subject to Executive Order (EO) 12372,
Intergovernmental Review of Federal Programs.
E. Funding Restrictions
1. Limitations on Maximum Grant Amounts
Your request for funding must be consistent with the following
limitations on minimum and maximum grant amounts:
a. For program activities (e.g., activities that directly benefit
eligible persons): At least $500,000 and a maximum of $1,300,000,
subject to the limitations in this section;
b. For grant administrative costs of the grantee: A maximum of no
more than an additional $39,000, subject to the limit on administrative
costs of three percent of the amount requested for project activities
in your application for grantees.
c. For grant administrative costs for project sponsors: A maximum
of no more than an additional $91,000, subject to the limit on
administrative costs of seven percent of the amount requested for
project activities to be conducted by project sponsors in your
application. (Note an applicant that will serve as a grantee, but
carryout activities directly without a third-party project sponsor,
cannot add amounts from this paragraph to its eligible amount under
paragraph (b) above.)
d. Total for maximum grant amount: $1,430,000, as subject to
applicable limitations in this section and if funds are requested for a
term of less than three years, HUD reserves the right to reduce these
amounts in a proportionate manner.
2. Limitation on Supportive Services
Your request for the supportive services line item in program
activities must be consistent with the program limits of not more than
35 percent of the proposed budget for program activities undertaken by
project recipients. Consistent with the standards on Leveraging, of
this NOFA, requests for supportive services must be leveraged with
commitments to provide supportive services in order to qualify an
applicant for the maximum leveraging score.
3. Limitation on Prospective Determinations
HUD will not approve proposals that depend on a prospective
determination as to how program funds will be used. More specifically,
proposals to establish a local request-for-proposal process to select
either activities or project sponsors, and other similar proposals that
have the effect of delaying the obligation of funds due to the
unplanned use of HOPWA funds, will not be approved.
4. Limitation on Ineligible Activities
HUD will not provide funds under this notice for the purposes of
conducting resource identification activities to establish, coordinate
and develop housing assistance resources, and/or technical assistance
for community residence activities, since these types of activities are
funded through the national HOPWA technical assistance funds being made
available under the Community Development Technical Assistance (CDTA)
NOFA. HUD will not provide additional funds for data collection on
project outcomes; as such activities in collecting performance data and
reporting to HUD are required as a central grants management function,
which is already covered under administrative costs. Further, eligible
HOPWA costs do not involve costs for personal items, such as grooming,
clothing, pets, financial assistance, consumer credit payments,
entertainment activities, personal vehicle maintenance and repairs,
property taxes, condominium fees and other non-housing-related costs.
Eligible costs are also subject to additional HOPWA standards at 24 CFR
Part 574.
F. Other Submission Requirements.
1. Electronic Delivery
HUD requires applicants to submit applications electronically through
http://www.grants.gov. See Section IV.F. of the General
Section for instructions for submitting leveraging documentation,
certifications, and other required forms.
2. Waivers to the Electronic Submission Process
Applicants may request a waiver of the electronic submission
process (see the General Section for more information). Applicants who
are granted a waiver must submit their applications in accordance with
the requirements stated in the approval to the waiver request. Please
see the General Section for detailed mailing and delivery instructions.
V. Application Review Information
A. Criteria
1. Criteria for Project Applications
a. Departmental Policy Priorities. As outlined in the General
Section, HUD has identified policy priorities that project applicants
are encouraged to address through their proposed project plans. HUD has
identified five Departmental policy priorities as being applicable for
new HOPWA projects. Applications for HOPWA funding will receive rating
points for each applicable Department policy priority initiative
addressed through the proposed program activities and performance goals
and objectives. Applicants must demonstrate how these priorities will
be addressed through the Soundness of Approach of the application as
outlined under Rating Factor 3. Under the points available for Rating
Factor 3, one or two Rating Points, as specified below, will
[[Page 11981]]
be awarded for each of the following addressed priorities:
(1) In accordance with the General Section, for applicants seeking
HOPWA funds for capital development activities, including
rehabilitation or new construction, for one rating point under project
soundness of approach, you are encouraged to institute visitability and
universal design standards in these activities undertaken with HOPWA
funds. Visitability standards allow a person with mobility impairments
access into the home, but do not require that all features be made
accessible; and such standards incorporate universal design in the
construction or rehabilitation of housing undertaken with HOPWA funds.
Universal design provides housing that is usable by all without the
need for adaptation or specialized design.
(2) For one rating point under project soundness of approach, you
are encouraged to propose projects in which the grantee, or the project
sponsor(s), fulfills the policy priority for being a nonprofit
grassroots community-based organization, including faith-based
organizations, as defined in the General NOFA.
(3) For one rating point under project soundness of approach, you
are encouraged to propose applications in which the grantee, or project
sponsor(s), commits to follow the Energy Star standard in any new
construction, or rehabilitation activity, or maintaining housing or
community facilities to be undertaken in the proposed project with
HOPWA or other funds. You are encouraged to undertake program
activities that include developing energy star promotional and
information materials, providing outreach to low- and moderate-income
renters and buyers on the benefits and savings when using Energy Star
products. The Energy Star standard is as defined in the General Section.
(4) For up to two rating points under project soundness of
approach, you are encouraged to propose an application in which the
grantee, or project sponsor(s), if it is a state or local government
agency, as defined in the General Section, completes the regulatory
barriers policy questionnaire and provides the required documentation
or provides a website URL where the information can be readily found.
(5) For up to two rating points under project soundness of
approach, you are encouraged to propose an application in which the
grantee or project sponsor(s) demonstrate in their applications how
they were incorporating Section 3 principles into their projects with
goals for expanding opportunities for Section 3 residents and business
concerns. As defined in Section V of the General Section, the purpose
of Section 3 is to ensure that employment and other economic
opportunities generated by federal financial assistance for housing and
community development programs, shall, to the greatest extent feasible,
be directed toward low and very-low income persons.
b. Program Policies--Target Population. Prior to the award of other
projects, HUD reserves the right to select the two highest rated
applications (but not any that are rated at less than 75 points) that
demonstrate that the planned HOPWA activities and activities supported
by leveraged funds will serve the special population of HOPWA eligible
person who are chronically homeless persons with HIV/AIDS. Persons who
are infected with HIV are more likely to be able to follow complex
treatment regimens if they have a reliable address where they can be
reached by care providers, a safe place to keep medications,
refrigeration for drugs that require it, and other necessities that
many of us take for granted. HUD is encouraging applications that
strive to create additional models for permanent housing for eligible
persons living with HIV/AIDS that are experiencing chronic
homelessness. Applicants must work collaboratively with the local
Continuum of Care Plans to create these models for persons living with
HIV/AIDS and their families and demonstrate a plan for the integration
of HOPWA activities with those systems such as the use of HMIS. HMIS
participation is required for all recipients of award funding under
this NOFA whose projects intentionally target HOPWA eligible persons
who are homeless or chronically homeless. In a number of Continuum of
Care communities, HOPWA projects are directly involved in providing
outreach, assessment, housing and supportive services to HOPWA eligible
persons who are homeless at the time they enter into program support.
HMIS activities or the use of related information technology systems
may already be operating to support the delivery of housing information
services to these HOPWA clients.
c. Application Selection Process for Projects
Rating Factor 1: Capacity of the Applicant and Project Sponsors and
Relevant Organizational Experience (20 Points) (Minimum for Funding
Eligibility--14 Points)
Address the following factor using not more than five (5) double-
spaced, typed pages or similar chart or table. For each project
sponsor, you may add two additional pages. This factor addresses the
extent to which you and any project sponsor have the organizational
resources necessary to successfully implement your proposed activities
in a timely manner. If you will be using project sponsor(s) in your
project, you must identify each project sponsor in your application.
HUD will award up to 20 points based on your and any project sponsor's
ability to develop and operate your proposed program in relation to
which entity is carrying out an activity.
1. With regard to both you and your project sponsor(s), you should
demonstrate:
(a) Past experience and knowledge in serving persons with HIV/AIDS
and their families;
(b) Past experience and knowledge in programs similar to those
proposed in your application including HOPWA formula funding;
(c) Experience and knowledge in monitoring and evaluating program
performance and disseminating information on project outcomes; and
(d) Past experience as measured by expenditures and measurable
progress in achieving the purpose for which funds were provided.
2. In reviewing the elements of the paragraph above, HUD will consider:
(a) The knowledge and experience of the proposed project director
and staff, including the day-to-day program manager, consultants, and
contractors in planning and managing the proposed activities. You and
any project sponsor will be judged in terms of recent, relevant, and
successful experience of staff in undertaking eligible program activities.
(b) Your and/or the project sponsor's experience in managing
complex interdisciplinary programs, especially those involving housing
and community development programs directly relevant to the work
activities proposed and carrying out grant management responsibilities.
(c) If you and/or the project sponsor received funding in previous
years in the program area for which you seek funding, those past
experiences will be evaluated in terms of the ability to attain
demonstrated measurable progress in the implementation of your grant
awards. Measurable progress is defined as:
(i) Meeting applicable performance benchmarks in program
development and operation;
(ii) Meeting project goals and objectives, such as the HOPWA output
for number of homeless assisted in
[[Page 11982]]
comparison to the number that was planned at the time of the application;
(iii) Submitting timely performance reports; and
(iv) Expending prior funding as outlined in the existing HOPWA
grant agreement with HUD with no outstanding audit or monitoring issues.
Applicants must receive a minimum of 14 points in Rating Factor 1
to be eligible for funding under this NOFA.
Rating Factor 2: Need/Extent of the Problem (15 Points)
Address the following factor using not more than five (5) double-
spaced, typed pages or similar chart or table. Up to 15 points will be
awarded for this factor.
a. AIDS Cases (5 Points). You must define your planned service
area. HUD will obtain AIDS surveillance information pertinent to that
area from the Director of the Centers for Disease Control and
Prevention. Up to five points will then be awarded based on the
relative numbers of AIDS cases and per capita AIDS incidence within
your service area, in metropolitan areas of over 500,000 population and
in areas of a state outside of these metropolitan areas, in the state
for proposals involving state-wide activities, and in the nation for
proposals involving nation-wide activities.
b. Description of Unmet Housing Need (10 Points). Up to ten points
will be awarded based on demonstration of need for funding eligible
housing activities in the area to be served. To receive the maximum
points, demonstrate that substantial housing and related service needs
of eligible persons and/or the target population, as outlined in
Section V.A., are not being met in the project area and that reliable
statistics and data sources (i.e. Census, health department statistics,
research, scientific studies, and Needs Analysis of Consolidated Plan
and/or Continuum of Care documentation) show this unmet need. To
receive the maximum points, show that your jurisdiction's Consolidated
Plan and Analysis of Impediments to Fair Housing Choice, Continuum of
Care Homeless Assistance plans (if homeless persons are to be served),
and comprehensive HIV/AIDS housing plans are applicable to your project
and identify the level of the problem and the urgency of the need.
(1) If you apply for a SPNS grant, you must describe a housing need
that is not currently addressed by other projects or programs in the
area including reference to the area's existing HOPWA programs. You
must further describe how the planned activity will complement these in
a manner that is consistent with the community's plan for a
comprehensive and coordinated approach to housing needs of persons
living with HIV/AIDS which establishes stable housing for clients and
helps foster greater self sufficiency and independence. Also, describe
any unresolved or emerging issues and the need to provide new or
alternative forms of assistance that, if provided, would enhance your
area's programs for housing and related care for persons living with
HIV/AIDS and their families. You must also describe how your project
will enhance the community's Consolidated Plan strategies for providing
affordable housing and access to related mainstream services to HOPWA
eligible persons; or
(2) If you apply as a Long-term project that will operate in a non-
formula area or balance of state area, you must describe the housing
need that is not currently addressed by other projects or programs in
the area including any HOPWA competitive grants or other HIV/AIDS
housing projects and how the planned activity will complement these in
a manner that is consistent with the community's plan for a
comprehensive and coordinated approach to housing needs of persons
living with HIV/AIDS. You must also describe any unresolved or emerging
issues and/or the need to provide forms of assistance that enhances the
community's strategy for providing housing and related services to
eligible persons.
HUD will evaluate your presentation of statistics and data sources
based on soundness, reliability, and the specificity of information to
the target population and the area to be served. If you propose to
serve a subpopulation of eligible persons on the basis that these
persons have been traditionally and are currently underserved (e.g.,
persons with multiple disabilities including AIDS or chronically
homeless eligible persons), your application must demonstrate the need
for this targeted effort through statistics and data sources that
support the need of this population in your service area. Programs may
serve a qualified subpopulation of persons with AIDS based on the
presence of another disability or group of disabilities, only if doing
so is necessary to provide this subpopulation with as effective
housing, benefits, aid, or services as that provided to others. See 24
CFR 8.4(b)(1)(iv).
Rating Factor 3: Soundness of Approach: Responsiveness, Coordination
and Public Policy Priorities, and Model Qualities (45 Points)
Address this factor on not more than ten (10) double-spaced, typed
pages or similar chart or table. Include the HOPWA Budget Forms found
in Appendix A. This factor addresses the method by which your plan
meets your identified needs. HUD will award up to 45 points (15 for
responsiveness, 5 for coordination, 7 for public policy priorities, and
18 for model qualities) based on the extent to which your plan
evidences a sound approach for conducting the HOPWA activities in a
manner that is responsive to the needs of eligible persons and that
your plan for project coordination will offer model qualities in
providing supportive housing opportunities for eligible persons with
access to mainstream health and human welfare services, when compared
to other applications and projects funded under previous HOPWA competitions.
a. Responsiveness, Coordination, and Public Policy Priorities (25
Points). HUD will award up to 25 points (Responsiveness--15 Points and
Coordination--5 Points and Public Policy Priorities--7 Points) based on
how well your project plans respond to the unmet needs in housing and
related supportive services for the eligible population, including
target populations outlined under Section V.A. You should demonstrate
the extent to which you have coordinated your activities and the
activities of your project sponsors with other organizations that are
not directly participating in your proposed work activities. This
involves organizations with which you share common goals and objectives
in assisting eligible persons. In order to ensure that resources are
used to their maximum effect within the community, it is important that
you demonstrate collaboration and leveraging of other resources from
state, local, and private funding resources.
(1) Responsiveness (15 Points). To receive the highest rating in
this element your application must address:
? The projected number of persons to be served through each
activity for each year of your program;
? The projected number of housing units, by type, to be
provided through your project, by year, over a 3-year period; and
? The specific organizations, either through an agreement
with your organization or through funding from your project, that will
provide housing, and agreements with organizations that will provide
mainstream supportive services, or other activities.
Include a description of the roles and responsibilities of your
project sponsors and/or other organizations within your project plan
and how these will be coordinated in conducting eligible
[[Page 11983]]
activities. To receive the maximum points for your project plan, you
must explain and describe the eligible housing activities you or your
project sponsor intend to conduct, where these activities will take
place (either on site or at another location), and how those activities
will benefit eligible persons. Please describe:
(a) Housing Activities. You must demonstrate how the emergency,
transitional, or permanent housing needs of eligible persons will be
addressed through one or more of the HOPWA eligible activities and
through any other resources and how such activities are coordinated
with other available housing assistance. Your plan for housing
assistance must include:
(i) Access to permanent supportive housing for applicants. In
proposing a housing project, you must describe how eligible persons
will access permanent housing and/or use emergency, short-term and
transitional housing support through your project and through any
specific commitments with other community housing providers. If your
project involves some initial emergency or transitional assistance for
clients, please describe your plans to facilitate the movement of
eligible persons receiving this emergency or transitional housing
support to permanent housing or independent living arrangements within
24 months.
(ii) Permanent housing placement. If you use funds to help
beneficiaries secure new housing units, please describe your plans to
use funds and the related housing outputs for these permanent housing
placement services (under that budget line item) such as costs for
first month's rent and security deposits;
(iii) Description of Housing Site. You must describe any
appropriate site features including use of universal design,
accessibility, visitability, and access to other community amenities
associated with your project.
(iv) Development and Operations Plan. You must describe a
development and/or operations plan for the emergency, transitional, or
permanent housing assistance you are proposing to provide. For rental
assistance programs, this will include your plan for providing rental
assistance, proposed housing sites if project-based, and length of stay
if less than ongoing permanent supportive housing. If you are proposing
to use HOPWA funds for the acquisition, rehabilitation, or new
construction of a housing facility, your plan must also document that
you have secured other funding sources, including plans for
coordinating the use of other resources that are committed to meeting
leveraging, have significant progress on an identified and secured
project site(s), and must provide rehabilitation/construction timelines
consistent with the three year use of grant funds. The project must be
cost effective, including costs not deviating substantially from the
norm in that locale for the type of structure or kind of activity.
HOPWA funds are not intended for use as the initial or sole funding
source for capital development housing projects.
(v) Operational Procedures. Describe your outreach, intake,
engagement and assessment procedures, as well as how eligible persons
will receive housing support with access to medical care and other
supportive services provided by other organizations. Describe the use
of housing being funded from other sources, and how your project
provides for ongoing assessments of the housing service benefits
received by eligible persons. Include a description of how a client
moves through the housing program from outreach, intake, client
assessment, the delivery of housing services, the use of emergency,
transitional, or permanent housing, and when appropriate, the
outplacement to more self-sufficient independent housing. If persons
who are homeless are to be assisted, including persons who are
chronically homeless, describe the housing activities and necessary
support to identify, prioritize and respond to their supportive housing
needs in coordination with other area assistance for persons who are
homeless. Also address the number of permanent housing beds for the
chronically homeless that would become available for occupancy during
each of your project operating years.
(b) Supportive Service Activities. You must describe how the
supportive service needs of eligible persons will be addressed with
HOPWA assistance (subject to applicable limitations) and the use of any
additional leveraged resources by describing the type of supportive
services that will be offered directly by the program and/or how
agreements and project plans will assure that services will be accessed
and coordinated from other mainstream health and human welfare sources.
Explain the connection of these services in helping eligible persons
obtain and/or maintain stable housing. Supportive service costs may
represent no more than 35 percent of your proposed budget for program
activities. In describing your supportive services delivery plan explain:
(i) How agreements provide that eligible persons will have access
to mainstream programs that offer healthcare and other supportive services;
(ii) How project plans ensure that eligible persons will participate
in decision making in the project operations and management; and
(iii) Your plan for delivering supportive services through a
comprehensive plan that shows how agreements provide that eligible
persons access medical care and other mainstream supportive services to
address their needs.
(c) Additional HOPWA Activities. You must describe your plan for
utilizing other requested HOPWA funds (described at 24 CFR 574.300(b)).
Explain how these activities will be integrated into your overall plan
in the provision of housing and related supportive services to eligible
persons.
(d) Other Approvable Activities. As authorized by statute, HUD may
approve other activities that are in addition to the activities at 24
CFR574.300(b). You may propose other activities in your application,
which can be undertaken only if approved by HUD due to their relevance
in addressing the housing needs of eligible persons. You must describe
the reason for the need to request authorization for ``other
activities'' and the benefits likely to occur if the activities are
authorized. Also address how the project would operate, or not, if such
request were not approved.
(2) Coordination (5 Points). You should demonstrate the extent to
which you have coordinated your activities and the activities of your
project sponsors with other organizations that are not directly
participating in your proposed work activities. This involves
organizations for which you share common goals and objectives. You may
provide information on your primary decision-making group in providing
leadership to your efforts as well as other organizations participating
in planning activities, such as committees, workgroups, public
meetings, forums etc. and the frequency of meetings. You will be rated
on the extent to which you demonstrate you have:
(a) Coordinated your proposed activities with those of other groups
or organizations within the community or region prior to submission, to
best complement, support, and coordinate all housing and supportive
service activities including specific reference to how the proposal is
coordinated with existing HOPWA programs in that area (formula and
competitive) and how the planned efforts complement the existing programs;
(b) Developed your project through consultation with other stakeholders,
[[Page 11984]]
such as organizations, groups, or consumers involved with area HIV/AIDS
housing and service planning, including planning under the Ryan White
CARE Act and other federal planning. The highest rated applicant will
demonstrate that the project is closely and fully integrated with HUD's
planning processes, such as the jurisdiction's Consolidated Planning
process or the community's Continuum of Care Homeless Assistance
planning process (if homeless persons are to be served by proposed
activities and related use of Homeless Management Information Systems
(HMIS) to coordinate benefits for clients);
(c) Coordinated with other HUD-funded programs outside of the
Consolidated Planning process, for example, accessing additional
housing resources through a local public housing authority; and
(d) Coordinated with mainstream resources including private, other
public, and mainstream services and housing programs. To achieve the
maximum points, applicants must evidence explicit agency strategies to
coordinate client assistance with mainstream health, social service and
employment programs for which eligible persons may benefit.
(3) Public Policy Priorities (7 points). Applications for HOPWA
funding will receive rating point(s) for each applicable Department
policy priority initiative addressed through the proposed program
activities and performance goals and objectives. Applicants must make a
specific statement on their commitment to address the priority or
otherwise demonstrate how these priorities will be addressed:
(a) In accordance with the General Section, for applicants seeking
HOPWA funds for capital development activities, including
rehabilitation or new construction, for one rating point under project
soundness of approach, your application describes the use of universal
design and visitability standards in development activities undertaken
with HOPWA funds and incorporate universal design in the construction
or rehabilitation of housing undertaken with HOPWA funds. Visitability
standards allow a person with mobility impairments access into the
home, but do not require that all features be made accessible.
Universal design provides housing that is usable by all without the
need for adaptation or specialized design.
(b) For one rating point under project soundness of approach, your
application involves participation as the grantee, or as a project
sponsor(s), by a non-profit grassroots community-based organization,
including faith-based organizations, as defined in the General Section.
(c) For one rating point under project soundness of approach, the
grantee, or project sponsor(s), commits to promote energy efficiency by
adopting or following the Energy Star standard in any new construction
or rehabilitation activity or in maintaining housing or community
facilities to be undertaken in the proposed project with HOPWA or other
funds. The Energy Star standard is as defined in the General Section.
(d) For two rating points under project soundness of approach, your
application involves an state or local government agency as the
grantee, or as a project sponsor(s), and that agency completes the
regulatory barriers policy questionnaire, including providing the
required documentation, as defined in the General Section.
(e) For up to two rating points under project soundness of
approach, your application demonstrates how you are incorporating
Section 3 principles into your project with goals for expanding
employment and other opportunities for Section 3 residents who are low
and very-low income persons, and related business concerns, as defined
in Section V of the General Section,
b. Model Qualities (18 Points). HUD will award up to 18 points
based on your service delivery plan and how well it will serve as a
model for a housing project during the operating period. HUD expects
the proposed project to show exemplary and/or innovative qualities that
address the ongoing housing needs of eligible persons by establishing
or maintaining stable housing arrangements by project activities that
will be undertaken within a replicable operational framework. To
receive the maximum points, you must offer a housing plan that
describes the following:
(1) Policy Priorities. If applicable to your application, describe
how you will meet the Departmental policy priorities for assisting the
special population of HOPWA eligible persons who are chronically
homeless persons with HIV/AIDS. HUD is encouraging applications that
strive to create additional models for permanent housing for persons
living with HIV/AIDS that are experiencing chronic homelessness.
Applicants addressing this population must work collaboratively with
the local Continuum of Care Plans to create this permanent housing for
persons living with HIV/AIDS and their families.
(2) Project Management and Oversight. Describe your method for
managing and overseeing activities, including those of your
organization, your project sponsor, and any other organization.
Identify staff members who are responsible for management and oversight
of the project and activity implementation and sustainability plans.
(3) Evaluation Plan. In addition to required HOPWA outputs and
outcomes your evaluation plan should identify what you are going to
measure, how you are going to measure it, the steps you have in place
to make adjustments to your work plan if performance targets are not
met within established timeframes, and how you plan to share successes
and lessons learned in undertaking your activities with other communities.
(4) Model Features. Describe how the planned efforts for the type
of proposed project, Long-term or SPNS, will represent model or
exemplary qualities in service delivery, management, or other features
in connection with other HOPWA funded projects in your community
including any local assessment of these features. For a Long-term
project, the features must involve housing activities to be undertaken
in a non-formula area. A SPNS project must involve a plan and
commitments to establish or maintain stable housing arrangements by
showing exemplary and/or innovative qualities. If you propose a new
program, or an alternative method of meeting the needs of your eligible
population, describe how the innovative qualities of your activities
will result in knowledge gained or lessons learned for achieving
greater housing opportunities and supportive services for persons
living with HIV/AIDS. HUD will rate your application higher if you
provide strong evidence that your methods will yield qualities that
will benefit or expand knowledge in serving eligible persons, when
compared to other applications and HOPWA projects. To learn about
qualities of previously funded and ongoing HOPWA projects, you may
review the HOPWA Executive Summaries for HOPWA grantees at
http://www.hud.gov/offices/cpd/aidshousing.
(5) Model Descriptive Budget. HUD will review your budget under the
HOPWA budget form (HUD-40110-B) in describing:
(a) How each amount of requested funding for you and your project
sponsors will be used and the related use of leveraged resources;
(b) How each line item will relate to your description of planned
eligible HOPWA activities; and
(c) The clarity and completeness of your summary statement of the
planned
[[Page 11985]]
activities for your project by budget line item and the use of any
leveraged funds or other resources by the grantee and sponsor(s).
You must complete the HOPWA Project Budget Form as described above.
Rating Factor 4: Leverage and Sustainability (10 Points) (Minimum for
Funding Eligibility 1 Point)
This factor addresses your ability to secure community resources
that can be combined with HUD's funds to achieve program purposes and
to ensure sustainability of the housing efforts. HUD will award up to
10 points based on the extent to which resources from other state,
local, federal, or private resources are listed with the required
elements to demonstrate that these funds are committed at the time of
application to support and sustain your project. To receive the highest
leveraging points based on the amount of commitments, up to 8 points,
you must provide information on the commitment of other resources that
at least equal the amount of the HOPWA request for program activities
(not including administrative costs) as part of your plan to operate
this project over the next three year period. Applications must receive
a minimum of 1 point in this Rating Factor to demonstrate the
commitment of other resources to be eligible for funding under this
NOFA with the standards described in Section IV(B)4 on Leveraging.
Applicants will be awarded points based on the content of a list or
chart for the commitments with the following information: the name and
address of the organization(s) providing the commitment(s) (note if the
organization will serve as a project sponsor); the type of commitment
(applicant or third party cash resources, non-cash resources, volunteer
time, contribution of a building, contribution of lease hold interest);
the dollar value of the commitment; the date of the commitment letter
or other document; the source of the funding, such as federal, state,
local, private or in-kind contributions; and the organization's
authorized representative's name, title, and contact information who
has made this commitment. For up to two additional points, the
application must address the project's sustainability as shown in a
plan for obtaining and coordinating identified resources to be more
financially self-sustaining. The highest rated plan will show how the
project will decrease dependency on federal funding at the end of the
operating period and rely more on state, local, and private funding to
continue support for beneficiaries.
Factor 5: Achieving Results and Program Evaluation (Maximum 10 Points)
Address this factor in your Logic Model (and optionally in a
supplemental related narrative) on not more than three additional (3)
double-spaced, typed pages or similar chart or table. Under this
factor, HUD will award 10 points based on how well your application
demonstrates a commitment to ensuring that the goals that you set forth
and your performance will be assessed in a clear and effective manner.
HUD will analyze how well you have clearly implemented the required
HOPWA program output and outcome goals and identified other stated
benefits or outcomes of your program including your activities,
benchmarks, and interim activities or performance indicators with
timelines. HUD will award the highest points to applications that
demonstrate an evaluation plan that will objectively measure actual
achievements against anticipated achievements.
The highest rated applications will have a clear plan to address
the HOPWA client outcome goals increase the amount of housing
assistance provided to eligible persons, to establish or maintain
housing stability, reduce the risks of homelessness for eligible
persons, and improve access to healthcare and other support. The
application may also optionally address other related indicators of
relevant outcomes.
The highest rated applications will also have a clear plan to use
the HOPWA housing output measures--the projected number of households
to be assisted in HOPWA supported housing units by type (tenant-based
rental assistance, STRMU payments and assistance in housing facilities)
to be provided to eligible households through your project during each
project-operating year. The application may also optionally address
other related outputs.
Your application must include the Logic Model form (HUD-96010) to
receive any points under this factor.
B. Reviews and Selection Process
1. HOPWA Project Applications
a. Threshold Reviews. HUD will review your HOPWA application to
ensure that it meets the threshold requirements found in the General
Section and Section III.C of this NOFA pertaining to a request for a
Long-term project or a SPNS project.
b. HUD Reviews. HUD staff will conduct this review, including staff
from Community Planning and Development at Headquarters and HUD's state
and area Field Offices.
c. Procedures for the Rating and Selection of Applications. HUD
will rate all HOPWA applications based on the factors listed above. The
points awarded for the factors total 100. In addition, HUD will award
two bonus points to each application that includes a valid form HUD-
2990 certifying that the proposed activities/projects in the
application are consistent with the strategic plan for an empowerment
zone (EZ) designated by HUD or the United States Department of
Agriculture (USDA), the tax incentive utilization plan for an urban or
rural renewal community designated by HUD (RC), or the strategic plan
for an enterprise community designated in Round II by USDA (EC-II) and
that the proposed activities/projects will be located within the RC/EZ/
EC-II identified above and are intended to serve the residents. A
listing of the RC/EZ/EC-IIs is available on the Internet at
222.hud.gov/cr. This notice contains the certification form HUD-2990
that must be completed for the applicant to be considered for RC/EZ/EC-
II bonus points. Whether your HOPWA application is conditionally
selected will depend on your overall ranking compared to other
applications within each of the two categories of assistance, Long-term
projects or SPNS projects, and the amount of funds that are available
to be awarded by this competition. Funds made available from federal
Fiscal Year 2006 must first be used to fund the priority selection of
expiring competitive projects that undertake permanent supportive
housing activities (as a change from prior years, renewal applicants
are not part of this NOFA process and will be conducted by HUD by a
separate action). If any such funds remain after renewal actions are
funded, then the funds will be used under this NOFA competition to fund
additional projects. HUD will select applications in rank order in each
category of assistance (Long-term and SPNS) to the extent that funds
are available, except as outlined in this Program NOFA, where HUD
reserves the right to select applications that target the priority
eligible populations to ensure selection of two projects addressing the
housing needs of persons who are chronically homeless. In allocating
amounts to the categories of assistance, HUD reserves the right to
ensure that sufficient funds are available for the selection of at
least one application with the highest ranking under each category of
assistance. HUD will not select an application that is rated below 75
points, nor will an
[[Page 11986]]
application be funded if it receives a Rating Factor 1--Capacity score
lower than 14 points or Rating Factor 4--Leveraging score lower than
one point.
In the event of a tie between applications in a category of
assistance, HUD reserves the right to break the tie by selecting the
proposal that was scored higher on a rating criterion in the following
order: Rating Factor 3; Rating Factor 5; Rating Factor 1; Rating Factor
2; and Rating Factor 4.
C. Anticipated Announcement and Award Dates
The anticipated announcement of the projects selected under this
notice is no later than August 30, 2006.
VI. Award Administration Information
A. Award Notices
1. Applicant Notification
HUD will notify the eligible applicants of their conditional
selection or rejection for awards by email or by a letter to be mailed
to the applicant's authorized official at the address or email address
provided in your application. For conditionally selected applicants,
the CPD Division of HUD's state or area office will provide a second
letter with a copy of a proposed grant agreement along with
instructions on any adjustments to the grant amount requested and other
conditions identified during the review for conducting planned
activities and on the close out of the current grant.
2. Award Modifications
After reviewing each application, HUD reserves the right to take
each of the following actions:
a. HUD reserves the right to make award adjustments as outlined in
Section IV.A.2, Adjustments to Funding, of the General Section.
b. In the event that a conditionally-selected applicant is unable
to meet any conditions for funding within the specified time, HUD
reserves the right not to make an award to that applicant. In the event
that a conditionally-selected applicant is continuing to operate under
the prior grant, and has sufficient funds to continue current
operations for at least six months following the date of notification
of selection, HUD may take any of the following actions: (i) Follow
procedures to terminate the prior grant and recapture remaining funds
after this date, consistent with the terms of the applicable grant
agreement and 24 CFR 574.500(c); or (ii) adjust the amount of the new
award by the amount of funds remaining after this date in the prior grant.
c. In making an award to the final selected project (by order of
ranking), HUD may offer less than the full amount requested by an
applicant that had received sufficient points to be selected, but for
which there are insufficient funds remaining to provide the full
funding request. HUD may also use funds from an award reduced under
item b, above, to restore amounts to a funding request that had been
reduced in this competition due to the application's lower rating status;
d. If an applicant turns down an award, an award is not made, or if
there are sufficient award adjustments to make additional awards
feasible, HUD reserves the right to: (a) Offer an award to the next
highest rated application(s) in this competition in their rank order;
(b) add remaining or recaptured amounts to the funds that become
available for a future competition; or (c) restore amounts to a funding
request that had been reduced in this competition.
3. Applicant Debriefing
Applicants requesting to be debriefed must send a written request
to: Department of Housing and Urban Development; Attention: Office of
HIV/AIDS Housing; 451 Seventh Street, SW., Room 7212; Washington, DC
20401-7000. Telephone number is (202) 708-1934. Persons with hearing or
speech challenges may access the above number via TTY (text telephone)
by calling the Federal Information Relay Service at 800-877-8339 (this
is a toll-free number). Additional information regarding debriefing can
be found in the General Section.
B. Administrative and National Policy Requirements
1. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Toward Government Contractors' Labor Relations on
Federal and Federally Funded Contract Projects. See the General Section
for the information on how to meet this requirement.
2. Procurement of Recovered Materials. See the General Section for
the information on how to meet this requirement.
C. Reporting
1. Six-Month Report
For any new project (i.e. a conditionally-selected applicant that
has not previously received a HOPWA competitive grant), you must
provide an initial report to the Field Office and HUD Headquarters on
the startup of the planned activities within six months of your
selection. Your report must outline your accomplishments and identify
any barriers or issues for which the Department may provide assistance
on the start-up on your new award.
2. Measuring Performance
You must report after each year of operation on the annual
accomplishments of your projects under the HOPWA Annual Progress Report
(form HUD-40110-B), comparing your results to proposed plans, including
reporting under the required HOPWA Performance Goals including
reporting on annual housing outputs and client outcomes in achieving
housing stability, reduced risks of homelessness, and improved access
to healthcare and other needed support. For each reporting period, you
must provide a completed Logic Model showing progress to date against
projected outputs and outcomes contained in your approved grant
agreement. In addition, on an annual basis, you must respond to the
management questions in the Program Logic Model found as an appendix to
this program Section. HUD will use these reports and information
obtained from HUD financial systems, along with any remote or on-site
monitoring, to measure your progress and achievements in evaluating
your performance on your HOPWA grant.
3. Beneficiary Information
HUD requires that funded recipients collect racial and ethnic
beneficiary data. It has adopted the Office of Management and Budget's
Standards for the collection of Racial and Ethnic Data. In view of
these requirements, you should use one of the following:
? HUD-27061, Racial and Ethnic Data Reporting Form
(instructions for its use) found on http://www.HUDclips.org;
? A comparable program form (HOPWA--Annual Performance
Report (APR) form HUD-40110-C); or
? A comparable electronic data system for this purpose.
VII. Agency Contacts
A. For Further Information and Technical Assistance (TA)
For technical assistance in downloading an application package from
Grants.gov/Apply, contact the Grant.gov help desk at 800-518-Grants or
by sending an e-mail to support@grants.gov. For programmatic
information, you may contact the HUD field office serving your area.
You can find the telephone number for the State or Area Office of
Community Planning and Development on HUD's Web site:
http://www.hud.gov/offices/adm/grants/
[[Page 11987]]
fundsavail.cfm. HUD staff may assist with program questions, but may
not assist in preparing your application. Persons with hearing or
speech challenges may access the above number via TTY (text telephone)
by calling the toll-free Federal Information Relay Service at 800-877-8339.
B. Seeking Technical Assistance (TA) in Developing a HOPWA Application
HOPWA TA providers may not provide technical assistance in the
drafting of responses to HUD's NOFA due to the unfair advantage such
assistance gives to one organization over another. If HUD determines
that HOPWA technical assistance has been used to draft a HOPWA
application, HUD reserves that right to reject the application for
funding. If, after your application has been selected for an award, HUD
determines that HOPWA technical assistance was used to draft your
application, the award will be withdrawn and you may be liable to
return to HUD any funds already spent.
C. Satellite Broadcast
HUD will hold information broadcasts via satellite for potential
applicants to learn more about the program and preparation of the
application. For more information about the date and time of the
broadcast, you should consult the HUD Web site at
http://www.hud.gov/grants.
VIII. Other Information
Paperwork Reduction Act
The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2506-0133. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 413 hours per annum per respondent for the application and
grant administration. This includes the time collecting, reviewing, and
reporting the data for the application, semi-annual reports and final
report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.
BILLING CODE 4210-01-P
[[Page 11988]]
[GRAPHIC]
[TIFF OMITTED]
TN08MR06.027
[[Page 11989]]
Assisted Living Conversion Program (ALCP) for Eligible Multifamily
Housing Projects
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Housing Assistance and Grant Administration.
B. Funding Opportunity Title: The Assisted Living Conversion
Program for Eligible Multifamily Projects.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The OMB Approval Number is: 2502-
0542. The Federal Register number for this NOFA is 5030-N-18.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The
Assisted Living Conversion Program for Eligible Multifamily Housing
Projects is 14.314.
F. Dates: Application Deadline Date: June 15, 2006.
G. Optional, Additional Overview Content Information: The purpose
of this program is to provide grants for the conversion of some or all
of the dwelling units in an eligible project into assisted living
facilities (ALFs) for frail elderly persons. Private nonprofit owners
of eligible developments interested in applying for funding under this
grant program should carefully review the General Section and the
detailed information listed in this NOFA. Funding will only be provided
for those items related to the conversion. There is no separate
Application Kit for this NOFA.
The ALCP will fund those applications that may impact federal
problem solving and policymaking and that are relevant to HUD's policy
priorities and annual goals and objectives. (Refer to the General
Section for discussion of these priorities and annual goals and objectives.)
Full Text of Announcement
I. Funding Opportunity Description
Program Description. Assisted living facilities (ALFs) are designed
to accommodate frail elderly persons and people with disabilities who
need certain support services (e.g., assistance with eating, bathing,
grooming, dressing, and home management activities). ALFs must provide
support services such as personal care, transportation, meals,
housekeeping, and laundry. Frail elderly person means an individual 62
years of age or older who is unable to perform at least three
activities of daily living (ADLs) as defined by the regulations for
HUD's Section 202 Program (Supportive Housing for the Elderly) at 24
CFR 891.205. Assisted living is defined in section 232(b)(6) of the
National Housing Act (12 U.S.C. 1715w).
The ALCP provides funding for the physical costs of converting some
or all of the units of an eligible multifamily development into an ALF,
including unit configuration and related common and services space and
any necessary remodeling, consistent with HUD or the state's statute/
regulations (whichever is more stringent). Typical funding will cover
basic physical conversion of existing project units, as well as related
common and services space. There must be sufficient community space to
accommodate a central kitchen or dining facility, lounges, recreation,
and other multiple-areas available to all residents of the project, or
office/staff spaces in the ALF. When food is prepared at an off-site
location, the preparation area of the facility must be of sufficient
size to allow for the installation of a full kitchen, if necessary. You
must provide supportive services for the residents either directly or
through a third party. Your application must include a firm commitment
for the supportive services to be offered within the ALF. You may
charge assisted living residents for meals and/or service fees.
Residents may contract with third party agencies directly for nursing,
therapy, or other services not offered by the ALF.
Authority. The Assisted Living Conversion Program is authorized
by Section 202(b) of the Housing Act of 1959 (12 U.S.C. 1701q-2) and
the Transportation, Treasury, Housing and Urban Development, the
Judiciary, the District of Columbia, and Independent Agencies
Appropriations Act, 2006, (Public Law 109-115, approved November 30,
2005) which provides $24,800,000 for the conversion of eligible
projects to assisted-living or related use and for emergency
repairs, and the government-wide rescissions pursuant to the
Department of Defense Appropriations Act (Public Law 109-148,
approved December 30, 2005). The Department has set-aside $15
million for emergency capital repairs. The eligibility requirements
for obtaining funding for emergency capital repairs are described in
a separate HUD Notice. Any unused funds from the emergency capital
repairs set-aside will be returned to the funds allocated for
eligible multifamily assisted projects.
II. Award Information
A. Available Funds
This NOFA makes available approximately $20 million including
carryover funds. The funds will be used for the physical conversion of
eligible multifamily assisted housing projects or portions of projects
to ALFs.
The allocation formula used to fair share the $20,000,000 for the
ALCP reflects demographic characteristics of age and incidence of
frailty that would be expected for program participants. The FY 2006
formula consists of one data element from the 2000 decennial census:
The number of non-institutional elderly population aged 75 years or
older with a disability. A fair share factor for each state was
developed by taking the sum of the persons aged 75 or older with a
disability within each state as a percentage of the sum of the same
number of persons for the total United States. The resulting percentage
for each state was then adjusted to reflect the relative difference in
the cost of providing housing among the states. The total of the grant
funds available was multiplied by the adjusted fair share percentage
for each state, and the resulting funds for each state were totaled for
each Hub.
The ALCP grant funds fair share allocations, based on the formula
above, to the 18 multifamily Hubs are as shown on the following chart:
B. FY 2006 Allocation
FY 2006 Allocation for the Assisted Living Conversion Program (ALCP) of
Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
Hub Grant authority
------------------------------------------------------------------------
Boston............................................... $1,059,150.63
Buffalo.............................................. 497,891.04
New York............................................. 1,070,750.58
Philadelphia......................................... 2,043,688.82
Baltimore............................................ 798,694.18
Greensboro........................................... 827,785.85
Atlanta.............................................. 1,573,719.90
Jacksonville......................................... 2,115,430.48
Chicago.............................................. 1,345,332.83
Columbus............................................. 867,687.46
Detroit.............................................. 690,950.94
Minneapolis.......................................... 656,946.67
Fort Worth........................................... 1,837,398.85
Kansas City.......................................... 1,331,095.76
Denver............................................... 431,846.42
Los Angeles.......................................... 1,099,430.56
San Francisco........................................ 1,146,692.71
Seattle.............................................. 605,506.31
------------------
Total............................................ $20,000,000.00
------------------------------------------------------------------------
The ALCP Grant Agreement, when fully executed, obligates the HUD
funds. This Agreement establishes the legal relationship between HUD
and the ALCP award recipient. The period of performance will be based
on the scope of work but shall not exceed 18 months.
III. Eligibility Information
A. Eligible Applicants
Only private nonprofit owners of eligible multifamily assisted
housing developments specified in section 683(2)(B), (C), (D), (E),
(F), and (G) of the
[[Page 11990]]
Housing and Community Development Act of 1992 (Pub. L. 102-550,
approved October 28, 1992) may apply for an ALCP grant.
Note: If your eligibility status changes during the course of
the grant term, making you ineligible to receive the grant (e.g.,
prepayment of mortgage, sale/TPA of property, opting out of a
Section 8 Housing Assistance Payment (HAP) contract, or the transfer
of the grant to a single asset entity), HUD retains the right to
terminate the grant and recover funds made available through this NOFA.
1. Ineligible Applicants
Ineligible applicants are:
a. Owners of developments designed specifically for people with
disabilities.
b. Owners of Section 232 developments.
c. Property management companies and agents of property management
companies.
d. Limited dividend partnerships.
e. Nonprofit Public Agencies.
f. Owners of hospitals or other health-related facility which are
considered to be eleemosynary institutions.
g. Owner of an existing insured or privately owned Assisted Living
Facility.
h. Owners of commercial structures.
2. Eligible Developments
Eligible projects must be owned by a private, nonprofit entity and
designated primarily for occupancy by elderly persons. Projects must
have been in occupancy for at least five years from the date the form
HUD-92485, Permission to Occupy Project Mortgage, was approved by HUD
and have completed final closing. Eligible projects may only receive
one grant award. Additionally, eligible projects must meet one of the
following criteria:
a. Section 202 direct loan projects with or without Section 8
rental assistance,
b. Section 202 capital advance projects receiving rental assistance
under their Project Rental Assistance Contract (PRAC),
c. Section 515 rural housing projects receiving Section 8 rental
assistance,
d. Other projects receiving Section 8 project-based rental assistance,
e. Projects subsidized with Section 221(d)(3) below-market interest
mortgage,
f. Projects assisted under Section 236 of the National Housing Act.
B. Cost Sharing or Matching
No matching required.
C. Other
1. Eligible conversion activities are:
a. Retrofitting to meet Section 504 accessibility requirements,
minimum property standards for accessibility and/or building codes and
health and safety standards for ALFs in that jurisdiction. Examples are
items such as addition of:
(1) Upgrading to accessible units for the ALF with moveable
cabinetry, accessible appliances, sinks, bathroom and kitchen fixtures,
closets, hardware and grab bars, widening of doors, etc.;
(2) An elevator or upgrades thereto;
(3) Lighting upgrades;
(4) Major physical or mechanical systems of projects necessary to
meet local code or assisted living requirements;
(5) Sprinkler systems;
(6) Upgrades to safety and emergency alert systems;
(7) Addition of hallway railings; and
(8) Medication storage and workstations;
b. Retrofitting to add, modify and/or outfit common space, office
or related space for ALF staff including a service coordinator and file
security, and/or a central kitchen/dining facility to support the ALF
function (e.g., outfit lounge/common space/dining furniture, kitchen
equipment for cooking/serving and dishware).
c. Retrofitting to upgrade a regular unit to an accessible unit for
a person/family with disabilities who is being displaced from an
accessible unit in the portion of the project that is being converted
to the ALF, where another accessible unit is not available.
d. Temporary relocation.
e. Consultant, architectural, and legal fees.
f. Vacancy payments limited to 30 days after conversion to an ALF.
g. Any excess Residual Receipts (over $500/unit) and Reserve for
Replacement funds (over $1000/unit) in Project Accounts that are not
approved for another use at the time of application to HUD under this
NOFA are considered available funds and must be applied toward the cost
of conversion activities. Before making this determination, however,
HUD staff will consider the extent of repair/replacement needs
indicated in the most recent Real Estate Assessment Center (REAC)
physical inspection and not yet approved and any ongoing commitments
such as non-grant-based service coordinator or other funding, where
existing, deduct the estimated costs of such items from the reserve for
replacement and residual receipts balances to determine the extent of
available residual receipts and reserve for replacement funds for the ALCP.
2. Threshold Requirements. In addition to the threshold criteria
outlined in the General Section, applicants must meet the following
requirements to receive funding for this program.
a. Be an eligible applicant.
b. DUNS Requirement. All ALCP applicants must have a DUN and
Bradstreet Universal Data Numbering Systems (DUNS) number. The DUNS
number must be included in the data entry field labeled
``organizational DUNS'' on the form SF-424. Instructions for obtaining
a DUNS number can be found at either http://www.hud.gov/offices/adm/
grants/duns.cfm or www.Grants.gov/GetStarted.
c. You cannot request more funds than allocated for your
jurisdiction. (See the allocation chart above in Section II.B.)
d. You must provide commitment and funding support letters from the
appropriate funding organizations and the appropriate licensing
agency(ies). HUD will reject your application if the commitment and
support letter(s) from the appropriate funding organizations and the
appropriate licensing agency(ies):
(1) Are not submitted by the application submission date as part of
your application for financial assistance;
(2) Indicate that the ALF units, facilities, meals and supportive
services to be provided are not designed to meet the special needs of
the residents who will reside in the ALF as defined in this NOFA,
(3) Do not show commitment for funding the meals and supportive
services proposed; or
(4) Indicate that the project as proposed will not meet the
licensing requirements of the appropriate state/local agency(ies).
e. You must comply with all applicable statutory requirements
specified in Section 202(b) and statutory requirements under Section
232(b)(6).
f. Minimum Size Limits for an ALF. An ALF must be economically
feasible. Consistent with HUD Handbook 4600.1, CHG-1, the minimum size
for an ALF is five units.
g. You must submit an original and four copies of your completed
ALCP application by the deadline date, if you requested and received a
waiver of the electronic submission requirement. The notification
granting your waiver request will specify requirements for paper
application submission.
3. Program Requirements
a. You must have a residual receipt account separate from the
Reserve for Replacement account, or agree to establish this account as
a condition for getting an award(s).
[[Page 11991]]
b. You must be in compliance with your Loan Agreement, Capital
Advance Agreement, Regulatory Agreement, Housing Assistance Payment
contract, Project Rental Assistance Contract, Rent Supplement or LMSA
contract, or any other HUD grant or contract document.
c. If selected, you must file a form HUD-2530 for all construction
contractors, architects, consultants, and service provider
organizations under direct contract with you that will be engaged under
this NOFA within 30 days of execution of the grant award.
d. Your project must meet HUD's Uniform Physical Conditions
Standards at 24 CFR part 5, subpart G. Meeting these standards, based
on the most recent REAC physical inspection report and responses
thereto, means that the project, must have a ``satisfactory'' rating as
evidenced by a score of 60 or better or a HUD-approved and on schedule
repair plan for developments scoring less than 60. Additionally, the
project must have no uncorrected and outstanding Exigent Health and
Safety violations. Finally, the project must not have a management
review with a rating of ``minimally satisfactory'' or
``unsatisfactory'' with open and unresolved findings.
e. You must submit, with your application, an agreement to pursue
appropriate ALF licensing in a timely manner.
f. Meals and Supportive Services. You must develop and submit a
Supportive Services Plan (SSP) for the services and coordination of the
supportive services, which will be offered in the ALF to the
appropriate state or local organization(s), which are expected to fund
those supportive services. (See Section IV.B. below for information,
which must be in the SSP.) You must submit one copy of your SSP to each
appropriate state or local service funding organizations well in
advance of the application deadline, for appropriate review. The state
or local funding organization(s) must return the SSP to you with
appropriate comments and an indication of the funding commitment, which
you will then include with the application you submit to HUD.
g. Licensing Requirements. You must also submit the SSP to the
appropriate organization(s), which license ALFs in your jurisdiction.
The licensing agency(ies) must approve your plan, and must also certify
that the ALF and the proposed supportive services identified in your
SSP, are consistent with local statute and regulations and well
designed to serve the needs of the frail elderly and people with
disabilities who will reside in the ALF portion of your project.
h. Your ALF must be licensed and regulated by the state (or if
there is no state law providing such licensing and regulation, by the
municipality or other subdivision in which the facility is located).
Each assisted living unit must include its own kitchen, bathroom,
bedroom, living/dining area (1 bedroom unit) or kitchen, bathroom,
bedroom/living/dining area (efficiency unit) and must meet the state
and/or local licensing, building, zoning, and other requirements for an
ALF.
i. Your ALF must be available to qualified elderly persons and
persons with disabilities, consistent with the rules and payment plans
of the state, who need and want the supportive services in order to
remain independent and avoid premature institutionalization.
j. Your ALF's residents must be tenants or residents of the
multifamily project and must comply with the requirements applicable to
the project. Thus, you cannot charge additional rent over what is
charged to residents in the non-ALF portion of the project. All
admissions to the ALF must be through the applicable project admissions
office. However, persons accepted into the ALF also must sign an ALF
admissions agreement, which shall be an addendum to the applicable
project lease.
k. At a minimum, your ALF must provide room, board, and continuous
protective oversight (CPO). CPO involves a range of activities and
services that may include such things as awareness by management and
staff of the occupant's condition and location as well as an ability to
intervene in a crisis for ALF occupants on a 24-hour basis. The two
occupant groups in an ALF are:
(1) Independent Occupants. Awareness by management and staff of the
occupant's condition and whereabouts as well as the availability of
assistance for the occupants as needed.
(2) Dependent occupants. Supervision of nutrition, assistance with
medication and continuous responsibility for the occupants' welfare.
l. Anyone moving into an ALF unit must agree to accept as a
condition of occupancy the board and services required for the purpose
of complying with state and local law and regulation. m. Your ALF must
provide three meals per day.
(1) Residents whose apartments have kitchens must take at least the
number of meals a day provided by the facility, per their mandatory
meals requirement, or as required by state or local rules, if more
stringent. If the facility does not have a mandatory meals plan, then
state and local rules govern.
(2) Residents in projects which were originally constructed without
kitchens in their units must take such meals as required by their
mandatory meals agreement, if applicable, or by the state's mandated
requirements if more stringent (e.g., two meals, two snacks daily).
In either case, ALF management must coordinate meal requirements
with the needs of residents who are out part of the day (e.g., in day
care). The meal program may not be operated at a profit by the project
owner.
n. Priority admissions for ALF units are as follows:
(1) Current residents desiring an ALF unit and meeting the program
requirements (no resident can be required to accept an ALF unit).
(2) Qualified individuals or families needing ALF services who are
already on the project's waiting list;
(3) Qualified individuals or families in the community needing ALF
services wanting to be added to the project's waiting list.
(4) Qualified disabled non-elderly persons needing assisted living
services are eligible to occupy these units on the same basis as
elderly persons, except for section 202 project rental assistance
contracts (PRAC) projects.
o. The management of the project must set up a separate waiting
list for ALF units. ALF units must be for eligible residents who meet
the admissions/discharge requirements as established for assisted
living by state and local licensing, or HUD frailty requirements under
24 CFR 891.205 if more stringent.
p. Upon receipt of a grant under this program, all project owners
participating in the ALCP must provide a Declaration of Restrictive
Covenants (DRC), which will be recorded with the land, to retain the
low income character of the housing, and to maintain the project
(including the ALF), as a moderate-, low-, or very low-income facility
(as appropriate) for at least 20 years beyond the current 40-to 50-year
term of the mortgage loan or capital advance.
q. The ALCP requires service coordination for linking the ALF to
available services in the community for low-income persons. All
projects funded under this NOFA must have sufficient service
coordination in place, or request additional funds, if appropriate, to
ensure that services meeting licensing requirements are available to
ALF residents on an ongoing basis. Service coordination must be
described in the application
[[Page 11992]]
(see Section IV.B. of this NOFA). If you need to enhance an existing
service coordination program or add one where it does not exist, you
may apply for funding through the Service Coordinator NOFA, published
elsewhere in the SuperNOFA. If a funds request for service coordination
for the ALF and/or the whole project is included as part of this
application, the Form SF-424 under Exhibit 11, must indicate the
dollars requested. Do NOT attach the whole service coordinator
application. You may also show evidence that funding for the enhanced
service coordination is provided by other sources by indicating such
funding on the form SF-424. If you are funded under this NOFA and
requested new or enhanced service coordination you will be funded first
under the service coordinator NOFA.
(1) The ALF must be staffed either directly or through coordination
with local agencies, depending on state regulations or local
requirements. These may also serve non-ALF residents of the project on
a time available and appropriate fee basis.
(2) If you are a Section 202 PRAC project owner, you are not
eligible to request funding under the service coordinator NOFA. Section
202 PRAC owners can pay for the service coordinator out of PRAC funds.
(3) The ALF may cater to the special needs of residents depending
on their condition or diagnosis, such as Alzheimer's disease. If it
does so, the design/environment of such facilities must accommodate
those needs, e.g., dementia special care unit. However, the ALF cannot
provide a service it is not licensed by the state or locality to provide.
(4) Owners of Section 202/PRAC projects are reminded that they may
include a PRAC payment of up to $15/unit/month not to exceed 15 percent
of the total program cost, consistent with 24 CFR 891.225(b)(2) to
cover part of the cost of meals and/or supportive services for frail
elderly residents, including residents of the ALF.
(5) Training for ALF staff is an eligible project cost under
existing operating procedures. For further information on ALFs, please
refer to Handbook 4600.1, CHG-1, ``Mortgage Insurance for Residential
Care Facilities,'' Chapter 13. This Handbook and recent ALF program
Notices are accessible through HUDCLIPS on HUD's Web site at http://
www.hudclips.org/cgi/index.cgi. These notices are in the Handbooks
and Notices--Housing Notices database. Enter only the number without the
letter prefix (e.g., 99-16) in the ``Document number'' to retrieve the
program notice.
For further guidance on service coordinators, please refer to
Handbook 4381.5 REV-2, CHANGE-2, Chapter 8, ``The Management Agent's
Handbook,'' which is also available through the HUDCLIPS database.
r. Your ALF's operation must be part of the project owner's
management organization. Some or all of its functions may be contracted
out. The ALF must predicate its budget on a two-tiered structure under
which board and supportive service income and expenses must be
maintained separately and independently from the regular income and
expenses of the applicable project.
The two components of ALF costs are:
(1) Charges/payment for board, (not including rent for the unit)
which may be on a sliding scale or any other equitable fee system; and
(2) Charges/payment for necessary supportive services, which may
include a combination of resident fees, Medicaid and/or other third
party payments.
s. Prohibition Against Lobbying Activities. The Byrd Amendment
prohibits ALCP recipients of federal contracts, grants, or loans from
using appropriated funds for lobbying activities. (Refer to Section
III.C. of the General Section for further instructions regarding this
requirement.)
t. Economic Opportunities for Low and Very Low-Income Persons
(Section 3). You must comply with Section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low-Income Persons), and implementing regulations at 24
CFR part 135. You must ensure that training, employment, and other
economic opportunities shall, to the greatest extent feasible, be
directed toward low- and very low-income persons, particularly those
who are recipients of government assistance for housing and to business
concerns which provide economic opportunities to low- and very low-
income persons and including people with disabilities.
4. Additional Non-discrimination and Other Requirements. Comply
with the requirements of the Fair Housing Act, Executive Order 11063,
Title VI of the Civil Rights Act, the Age Discrimination Act of 1975,
the affirmative fair housing marketing requirements of 24 CFR part 200,
subpart M, and the implementing regulations at 24 CFR part 108, which
requires that the project be marketed to those least likely to apply,
including those who are not generally served by the agency
administering the program, and other applicable federal, state, and
local laws prohibiting discrimination and promoting equal opportunity,
including affirmatively furthering fair housing, and other
certifications listed in the application. (Refer to Section III.C. of
the General Section for additional requirements and information.)
a. Comply with section 232 of the National Housing Act, as
applicable; the Uniform Federal Accessibility Standards (24 CFR 40.7);
section 504 of the Rehabilitation Act of 1973 and HUD's implementing
regulations at 24 CFR part 8; and the Americans with Disabilities Act
of 1990 for all portions of the development physically affected by this
proposal.
b. Comply with the Davis-Bacon requirements and the Contract Work
Hours and Safety Standards Act as applied to this program. While it has
been determined that Davis-Bacon does not apply statutorily to the
ALCP, the Department has administratively determined that Davis-Bacon
standards and overtime rates in accordance with the Contract Work Hours
and Safety Standards Act will be adhered to in any ALCP conversion
grant in which the total cost of the physical conversion to an ALF (and
including any additional renovation work undertaken at the same time)
is $500,000 or more (this includes ALCP grant funds, owner funds, or
any third party funds loaned or granted in support of the conversion or
other renovation for the project associated with this grant), and in
which the ALF portion of the project is 12 units or more.
c. Ensuring the Participation of Small Business, Small
Disadvantaged Businesses, and Woman-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantage businesses, and
woman-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD's financial
assistance. (Refer to the General Section for further instructions
regarding this requirement.)
d. Executive Order 13166, Improving Access to Persons with Limited
English Proficiency (LEP). ALCP applicants must seek to improve access
to persons with limited English proficiency by providing materials and
information in languages other than English. Make applications and
other materials available in languages other than English that are
common in the community, if speakers of these languages are found in
significant numbers and come into frequent contact with the program.
For further guidance on serving persons with Limited English
Proficiency (LEP) in HUD assisted programs, see the recently published
HUD LEP guidance, 'Notice of Guidance to Federal Assistance Recipients
Regarding Title VI Prohibition Against
[[Page 11993]]
National Origin Discrimination Affecting Limited English Proficient
Persons,'' 68 FR 70968 (December 19, 2003) or Section III of the
General Section.
e. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD has undertaken a review of all
policies and regulations that have implications for faith-based and
community organizations, and has established a policy priority to
provide full and equal access to grassroots faith-based and other
community-based organizations. (Refer to the General Section for
specific instructions regarding this requirement.)
f. Accessible Technology. The Rehabilitation Act Amendments of 1998
apply to all electronic information technology (EIT) used by an ALCP
recipient for transmitting, receiving, using, or storing information to
carry out the responsibilities of the ALCP awards. (Refer to Section
III.C. of the General Section for specific instructions regarding this
requirement.)
g. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of ALCP funds, successful applicants are
required to cooperate with all HUD staff or contractors performing HUD-
funded research and evaluation studies.
h. Comply with Executive Order 13202, Preservation of Open
Competition and Government Neutrality toward Government Contractors'
Labor Relations on Federal and Federally Funded Construction Projects.
(Refer to the General Section for additional information on this
requirement).
i. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance. ALCP applicants are subject to the Administrative
Requirements of OMB Circular A-133, Audits of States, Local Governments
and Non-Profit Organizations; OMB Circular A-122, Cost Principles for
Non-Profit Institutions; the administrative requirements of 24 CFR Part
84; and the procurement requirements of 24 CFR 84.44. (Refer to the
General Section for additional information on this requirement).
j. Environmental Requirements. Your ALCP application is subject to
the National Environmental Policy Act of 1969 and applicable related
federal environmental authorities. (See 24 CFR part 50, as applicable.)
An environmental review will be completed by HUD before awarding any
grant under this program. ALCP projects are `critical actions' for
purposes of 24 CFR part 55 and must comply with requirements applicable
to `critical actions,' including floodplain management review
requirements, if proposed to be carried out in the 500-year floodplain.
IV. Application and Submission Information
A. Addresses to Request Application Package
All information for requesting an application is included in this
NOFA and Section IV. A. of the General Section. The application for the
ALCP is available on the Internet from the grants.gov Web site at
http://www.grants.gov/FIND. If you have difficulty accessing the
information, you can receive customer support from Grants.gov by
calling the help line at (800) 518-Grants or by sending an e-mail to
support@grants.gov. If you do not have access, you may obtain an ALCP
application by calling the NOFA Information Center at (voice) 800-HUD-
8929 (800-483-8929). Persons with a hearing or speech impairment may
call the Center's TTY number at 800-HUD-2209. Please be sure to provide
your name, address (including zip code), and telephone number
(including area code).
1. Multiple Applications. Owners may not submit multiple
applications for the same elderly housing development. HUD will only
accept one ALCP application per project.
2. For Technical Assistance. Before the ALCP application due date,
HUD staff will be available to provide you with general guidance and
technical assistance. However, HUD staff is not permitted to assist in
preparing your application. For technical support for downloading the
ALCP application or submitting the application, call the toll free
Grants.gov Customer Support line at 1-800-518-Grants or send an e-mail
message to support@grants.gov.
3. Satellite Broadcast. HUD will provide a satellite broadcast for
potential applicants. For more information about the date and time of
the broadcast, you should contact your local HUD Office or go to HUD's
Web site at: http://www.hud.gov/webcasts/index.cfm.
B. Content and Form of Application Submission
There are eleven required exhibits under the ALCP, including
prescribed forms and certifications. In cases where your articles of
incorporation and by-laws have NOT changed since the project was
originally approved by HUD, your signature on the SF-424 signifies that
you are self-certifying to that effect--that the documents on file with
HUD are current--is sufficient. Exhibits for which self-certification
of currency is possible are Exhibits 2(a) and (b).
In addition to the relief of paperwork burden, you will not have to
submit certain information and exhibits you have previously prepared.
See individual item descriptions, below to identify such items. An
example of such an item may be the FY 2006 Annual Financial Statement.
Your application must include all of the information, materials, forms,
and exhibits listed below (Please see the General Section for
instructions on how to submit third party and other documents such as
Articles of Incorporation; by-laws; copies of original plans; evidence
of financial commitment; letter(s) from zoning officials; etc.):
1. Application Summary for the Assisted Living Conversion Program,
Form HUD-92045.
2. Evidence that you are a private nonprofit organization or
nonprofit consumer cooperative and have the legal ability to operate an
ALF program, per the following:
a. Articles of Incorporation, constitution, or other organizational
documents, or self-certification of these documents if there has been
no change in the Articles since they were originally filed with HUD;
and
b. By-laws, or self-certification of by-laws, if there has been no
change in the by-laws since they were originally filed with HUD
3. A description of your community support:
a. A description of your links to the community at large and to the
minority and elderly communities in particular; and
b. A description of your efforts to involve elderly persons,
including minority elderly persons and persons with disabilities in:
(1) The development of the application;
(2) The development of the ALF operating philosophy;
(3) Review of the application prior to submission to HUD; and
(4) Your intent whether or not to involve eligible ALF residents in
the operation of the project.
c. A description of your involvement in your community's
Consolidated Planning and Analysis of Impediments to Fair Housing (AI)
processes including:
(1) An identification of the lead/facilitating agency(ies) that
organizes and/or administers the process;
(2) A listing of the Consolidated Plan/AI issue areas in which you
participate; and
(3) The level of your participation in the process, including active
[[Page 11994]]
involvement with any neighborhood-based organizations, associations, or
any committees that support programs and activities that enhance
projects or the lives of residents of the projects, such as the one
proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning and AI
processes. (Consult the local HUD office for the identification of the
Consolidated Plan community process for the appropriate area.)
d. A description of how the assisted living facility will implement
practical solutions that will result in assisting residents in
achieving independent living and improved living environment.
e. A description of how you have supported state and local efforts
to streamline processes and procedures in the removal of regulatory
barriers to affordable housing. To obtain up to 2 points for this
policy priority you must complete the Form HUD-27300, Questionnaire for
HUD's Initiative on Removal of Regulatory Barriers and provide the
required documentation. See Rating Factor 3 in Section V.A. of this
NOFA for more details.
4. Evidence of your project being occupied for at least five years
prior to the date of application to HUD.
5. A market analysis of the need for the proposed ALF units,
including information from both the project and the housing market,
containing:
a. Evidence of need for the ALF by current project residents:
(1) A description of the demographic characteristics of the elderly
residents currently living in the project, including the current number
of residents, distribution of residents by age, race, and sex, an
estimate of the number of residents with frailties/limitations in
activities of daily living, and an estimate of the number of residents
in need of assisted living services.
(2) A description of the services currently available to the
residents and/or provided on or off-site and what services are lacking;
b. Evidence of the need for ALF units by very low-income elderly
and disabled households in the market area; a description of the trend
in elderly and disabled population and household change; data on the
demographic characteristics of the very low-income elderly in need of
assisted living services (age, race, sex, household size, and tenure)
and extent of residents with frailty/limitations in existing federally
assisted housing for the elderly (HUD and Rural Housing Service); and
an estimate of the very low-income elderly and disabled in need of
assisted living taking into consideration any available state or local
data.
c. A description of the extent, types, and availability and cost of
alternate care and services locally, such as home health care; adult
day care; housekeeping services; meals programs; visiting nurses; on-
call transportation services; health care; and providers of supportive
services who address the needs of the local low income population.
d. A description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the ALF (covering items in c. above).
6. A description of the physical construction aspects of the ALF
conversion, including the following:
a. How you propose to carry out the physical conversion (including
a timetable and relocation planning). Completion of the Logic Model
will assist in completing your response to this Exhibit.
b. A short narrative stating the number of units, special design
features, community and office space/storage, dining and kitchen
facility and staff space, and the physical relationship to the rest of
the project. Also, you must describe how this design will facilitate
the delivery of services in an economical fashion in the most
integrated setting appropriate to the needs of the participating
residents with disabilities and accommodate the changing needs of the
residents over at least the next 10 years.
c. A description on how the project will promote energy efficiency,
including any plans to incorporate energy efficiency features in the
design and operation of the ALF through the use of Energy Star labeled
products and appliances. Applicants that meet this policy priority will
receive two points under Rating Factor 3 in Section V.A. of this NOFA.
Refer to the General Section for further information on this
requirement or for further information about Energy Star see
http://www.energystar.gov.
d. A copy of the original plans for all units and other areas of
the development, which will be included in the conversion.
e. A description of the conversion must clearly address how the
units will conform to the accessibility requirements described in the
Uniform Federal Accessibility Standards (UFAS). (For example, all door
openings must have a minimum clear opening of 32 inches; and, all
bathrooms and kitchens must be accessible to and functional for persons
in wheelchairs.)
f. Architectural sketches of the conversion to a scale of 1/4 inch
to one foot that indicate the following:
(1) All doors being widened;
(2) Typical kitchen and bathroom reconfiguration: show all
wheelchair clearances, wall reinforcing, grab bars, and elevations of
counters and work surfaces;
(3) Bedroom/living/dining area modification, if needed;
(4) Any reconfigured common space;
(5) Added/reconfigured office and storage space;
(6) Monitoring stations, and
(7) The kitchen and dining facility.
All architectural modifications must meet section 504 and ADA
requirements as appropriate.
g. A budget showing estimated costs for materials, supplies,
fixtures, and labor for each of the items listed in Section IV.B.6.f,
items (1) through (7), above.
h. Include firm financial commitment letters with specific dollar
amounts from appropriate organization(s) for conversion needs (within
the scope of the ALF conversion NOFA) which will be supported by non-
HUD funding.
i. A description of any relocation of current tenants including a
statement that:
(1) Indicates the estimated cost of temporary relocation payments
and other related services;
(2) Identifies the staff organization that will carry out the
relocation activities; and
(3) Identifies all tenants that will have to be temporarily moved
to another unit within the development OR from the development during
the period that the physical conversion of the project is under way.
Note: If any of the relocation costs will be funded from sources
other than the ALCP grant, you must provide evidence of a firm
financial commitment of these funds. When evaluating applications,
HUD will consider the total cost of proposals (i.e., cost of
conversion, temporary relocation, service coordinator, and other
project costs).
j. Address how training, employment, and economic opportunities
will be directed to low- and very low-income persons that receive
government assistance for housing and to business concerns which
provide economic opportunities to low- and very-low-income persons and
people with disabilities.
7. A description of any retrofit or renovation that will be done at
the project (with third party funds) that is separate and distinct from
the ALF conversion. With such description, include as part of your
application
[[Page 11995]]
submission firm commitment letters from third party organizations in
specific dollar amounts that will cover the cost of any work outside
the scope of this NOFA.
8. A letter from the local zoning official indicating evidence of
permissive zoning. Also, showing that the modifications to include the
ALF into the project as proposed are permissible under applicable
zoning ordinances or regulations.
9. A supportive services plan (SSP), a copy of which must be
submitted to the appropriate state and/or local agency as instructed in
Section III.C. above. For those applicants needing to contact state
Medicaid offices, a list is provided on the Internet at
http://www.cms.hhs.gov/medicaid. The SSP must
include: a. A description of the supportive services needed for the frail
elderly the ALF is expected to serve. This must include at least (1)
meals and such other supportive services required locally or by the
state, and (2) such optional services or care to be offered on an ``as
needed'' basis.
Examples of both mandatory and optional services (which will vary
from state to state) are: Two meals and two snacks or three meals
daily; 24-hour protective oversight; personal care; housekeeping
services; personal counseling, and transportation.
b. A description of how you will provide the supportive services to
those who are frail and have disabilities (i.e., on or off-site or
combination of on or off-site), including an explanation of how the
service coordination role will facilitate the adequate provision of
such services to ALF residents, and how the services will meet the
identified needs of the residents. Also indicate how you intend to fund
the service coordinator role.
c. A description of how the operation of your ALF will work.
Address: (1) General operating procedures; (2) ALF philosophy and how
it will promote the autonomy and independence of the frail elderly and
persons with disabilities; (3) what will the service coordination
function do and the extent to which this function already exists, or
will be augmented or new; (4) ALF staff training plans; and (5) the
degree to which and how the ALF will relate to the day-to-day
operations of the rest of the project.
d. The monthly individual rate for board and supportive services
for the ALF listing the total fee and components of the total fee for
the items required by state or local licensing, and list the
appropriate rate for any optional services you plan to offer to the ALF
residents. Provide an estimate of the total annual costs of the
required board and supportive services you expect to provide and an
estimate of the amount of optional services you expect to provide.
e. List who will pay for the board and supportive services and the
amount. For example, include such items as:
(1) Meals by sponsors--$20
(2) Housekeeping services by the City government--$30
(3) Personal care by State Department of Health--$60
(4) Service paid for by state program--$40
(5) Fees paid by tenants--$83
The amounts and commitments from both tenants and/or providers must
equal the estimated amounts necessary to cover the monthly rates for
the number of people expected to be served. If you include tenant fees
in the proposal, list and show any proposed scaling mechanism. All
amounts committed/collected must equal the annualized cost of the
monthly rates calculated by the expected percentage of units filled.
f. A support/commitment letter from EACH listed proposed funding
source per paragraph e. above, for the planned meals and supportive
services listed in the application. The letter must cover the total
planned annual commitment (and multiyear amount total, if different),
length of time for the commitment, and the amounts payable for each
service covered by the provider/paying organization. There must be a
letter from EACH participating organization listed in paragraph e,
above.
g. A support letter from EACH governmental agency that provides
licensing for ALFs in that jurisdiction.
h. A description of your relevant experience in arranging for and/
or delivering supportive services to frail residents. The description
should include any supportive services facilities owned/operated; your
past or current involvement in any project-based programs that
demonstrates your management capabilities. The description should
include data on the facilities and specific meals and/or supportive
services provided on a regular basis, the racial/ethnic composition of
the populations served, if available, and information and testimonials
from residents or community leaders on the quality of the services.
10. A description of your project's resources:
a. A copy of the most recent project Reserve and Replacement
account statement, and a Reserve for Replacement analysis showing plans
for its use over the next five years, and any approvals received from
the HUD field office to date.
b. A copy of the most recent Residual Receipts Account statement.
Indicate any approvals for the use of such receipts from the field
office for over $500/unit.
c. Annual Financial Statement (AFS). If your FY2006 AFS was due to
REAC more than 120 days BEFORE the due date for this application, in
the interest of reducing work burden, only include the date that it was
sent to REAC. If the AFS was due to REAC 120 days or less from the due
date of this application, you MUST include a paper copy of your AFS.
11. Forms and Certifications. The electronic version of the NOFA
contains all forms required for submitting the ALCP application. The
following exhibits, forms, certifications, and assurances are required.
Copies of forms denoted by (*) may be downloaded from HUD's Web site at
http://www.hud.gov/offices/adm/grants/nofa06/snofaforms.cfm.
a. Form HUD-92045, Multifamily Housing Assisted Living Conversion
Program Application Summary Sheet.
b. Form SF-424, Application for Federal Assistance*, and compliance
with Executive Order 12372 (a certification that you have submitted a
copy of your application, if required, to the state agency (Single
Point of Contact) for state review in accordance with Executive Order
12372 (refer to the General Section for instructions in submitting this
form).
c. SF-424 Supplement, Survey for Ensuring Equal Opportunity for
Applicants*.
d. Form HUD-424-CB, Grant Applications Detailed Budget*.
e. Form HUD-424-CBW, Grant Application Detailed Budget worksheet*.
f. Form HUD-2880, Applicant/Recipient Disclosure/Update Report*,
including Social Security and Employment Identification numbers. A
disclosure of assistance from other government sources received in
connection with the project.
g. Form HUD-2991, Certification of Consistency with the
Consolidated Plan* for the jurisdiction in which the proposed ALF will
be located. The certification must be made by the unit of general local
government if it is required to have, or has, a complete Plan.
Otherwise, the certification may be made by the state, or by the unit
of general local government if the project will be located within the
jurisdiction of the unit of general local government authorized to use
an abbreviated
[[Page 11996]]
strategy, and if it is willing to prepare such a Plan.
All certifications must be made by the public official responsible
for submitting the plan to HUD. The certifications must be submitted by
the application submission deadline date set forth herein. The Plan
regulations are published in 24 CFR part 91.
h. Form HUD 2994-A, You Are Our Client Survey, optional.
i. Standard Form-LLL, Disclosure of Lobbying Activities, if
applicable*.
j. Form HUD-96010, Program Outcome Logic Model*. (This is going to
be in the application instructions. A version of the form for those
that do not have excel will be available on the Web site.)
k. Form HUD-27300, America's Affordable Communities Initiative/
Removal of Regulatory Barriers* (and supporting documentation).
l. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable. Pm. Form HUD-96011, Facsimile Transmittal
Cover Page. This form must be used as the cover page to transmit third
party documents and other information as described in the General
Section as part of your electronic application submittal (if applicable).
C. Submission Date and Time
1. Application Submission Date. Unless you received a waiver to the
electronic application submission requirements, your completed ALCP
application must be submitted through the http://www.grants.gov/Apply
and must be received and validated by Grants.gov no later than 11:59:59
Eastern Time on the application deadline date (June 15, 2006). (Refer to
Section IV. of the General Section for further instructions on the
delivery and receipt of applications.
D. Intergovernmental Review
1. Executive Order 12372. ALCP applicants are subject to the
Executive Order 12372 process. Refer to Section IV.D. of the General
Section for instructions on the intergovernmental review process.)
2. You must submit a Supportive Services Plan (SSP) for the
services and coordination of the supportive services that will be
offered in the assisted living facility (ALF) to the appropriate state
or local organization(s), which are expected to fund those supportive
services. You must submit one copy of your SSP to each appropriate
state or local service funding organizations well in advance of the
application deadline, for appropriate review. The state or local
funding organization(s) must return the SSP to you with appropriate
comments and an indication of the funding commitment, which you will
then include with the application you submit to HUD.
You must ALSO submit the SSP to the appropriate organization(s)
that license ALFs in your jurisdiction. The licensing agency(ies) must
approve your plan, and must also certify that the ALF and the proposed
supportive services identified in your SSP, are consistent with local
statute and regulations and well designed to serve the needs of the
frail elderly and people with disabilities who will reside in the ALF
portion of your project.
E. Funding Restrictions
1. This program does NOT cover the cost of meals and supportive
services. These items must be paid for through other sources (e.g., a
mix of resident fees and/or third party providers). Evidence of third
party commitment(s) must be included as part of the application. The
assisted living supportive services program must promote independence
and provide personal care assistance based on individual needs in a
home-like environment. In accordance with Section 504 of the
Rehabilitation Act of 1973 and HUD's regulations at 24 CFR 8.4(d), the
project must deliver services in the most integrated setting
appropriate to the needs of qualified individuals with disabilities.
2. This program does not allow permanent displacement of any
resident living in the project at the time the application was
submitted to HUD. (HUD will only provide temporary relocation costs for
current tenants if they must vacate their unit while conversion work is
underway (normal temporary relocation costs include increases in rent,
reconnection of telephones, moving costs, and appropriate out-of-pocket
expenses).
3. Applicants will not be awarded multiple grant funds for the same
elderly housing development. One project will not receive multiple awards.
4. Ineligible Activities. You may not use funds available through
this NOFA to:
a. Add additional dwelling units to the existing project;
b. Pay the costs of any of the necessary direct supportive services
needed to operate the ALF;
c. Purchase or lease additional land;
d. Rehabilitate (see definition at 24 CFR 891.105) the project for
needs unrelated directly to the conversion of units and common space
for assisted living.
e. Use the ALCP to reduce the number of accessible units in the
project that are not part of the ALF.
f. Permanently displace any resident out of the project (permanent
relocation is prohibited under this program)
g. Increase the management fee.
h. Cover the cost of activities not directly related to the
conversion of the units and common space. (i.e., if an applicant is
applying to convert 24 units on 2 floors of a 5-story elderly housing
development and the inspection by the Fire Marshal reveals that
sprinklers must be installed in the entire building), ALCP funds will
be used only to install sprinklers for the 24 units on the 2 floors
requested in the application. The cost to install sprinklers in the
remaining units must be paid for out of other resources.
F. Other Submission Requirements
Application Submission and Receipt Procedures. Refer to Section
IV.F. of the General Section for specific procedures for additional
information on application submission requirements.
1. Electronic Delivery. ALCP applicants must submit their
applications electronically through http://www.grants.gov/Apply,
unless a waiver is granted.
a. The http://www.grants.gov/Apply offer a simple,
unified application process. There are several steps to complete at the
http://www.grants.gov Web site. ALCP applicants should read HUD's
Federal Register Notice on Early Registration published in the Federal
Register on December 9, 2005 (70 FR 73332).
b. Electronic signature. ALCP applications submitted through
Grants.gov constitute submission as an electronically signed application.
2. Instructions on how to submit an electronic application to HUD
via grants.gov/Apply: Grants.gov has a full set of instructions on how
to apply for funds on its Web site at
http://www.grants.gov/CompleteApplication.
3. Waiver of Electronic Submission Requirement. HUD will only
accept electronic applications submitted through http://www.grants.gov
unless the ALCP applicant has received a waiver.
4. Proof of Timely Submission. ALCP applicants must submit their
applications to http://www.grants.gov in time for receipt
and validation at Grants.gov by 11:59:59 p.m. eastern time on the
application deadline date of June 15, 2006. Validation can take 24-48
hours so applicants should submit with ample time for the process to be
completed. Applicants are also advised to submit with sufficient time to
correct any deficiencies that would prevent the acceptance of your
application by
[[Page 11997]]
Grants.gov. (Refer to the General Section for specific procedures
regarding proof of timely submission of applications.)
5. Hubs and Field Offices addresses. If you are granted a waiver to
the electronic application submission requirement, you must submit an
original and four copies of the ALCP application to the director of the
appropriate HUD Multifamily Hub Office with jurisdiction over the
housing development identified in your application. For your use in
determining the appropriate HUD Multifamily Hub Office to which you
must submit your application, see HUD's Web site at http://www.HUD.gov/
offices/adm/grants/nofa06/grpalcp.cfm. The HUD Program Centers are
under each Hub. If you send your application to the wrong Hub Office,
it will be rejected. Therefore, if you are uncertain as to which Hub
Office to submit your application, you are encouraged to contact the
local HUD Office that is closest to your project's location to
ascertain the Office's jurisdiction and to ensure that you submit your
application to the correct local HUD Multifamily Hub Office. Paper
applications must be received in the appropriate Hub Office by the
application deadline date. The Department will no longer allow a 15-day
grace period for receipt of applications post-marked on or before the
application deadline date.
V. Application Review Information
A. Criteria
HUD will rate ALCP applications that successfully complete
technical processing using the Rating Factors set forth below and in
accordance with the application submission requirements identified in
Section IV.B. above. The maximum number of points an application may
receive under this program is 102. This includes two RC/EZ/EC-II bonus
points, as described in the General Section and Section V.A. below.
1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (20 Points)
This factor addresses your capacity to carry out the conversion in
a timely, cost-conscious and effective manner. It also addresses your
experience at providing the proposed supportive services you intend to
make available at the ALF for elderly residents, especially in such
areas as meals, 24-hour staffing, and on-site health care. Submit
information responding to this factor in accordance with Application
Submission Requirements in Sections IV. B. 6. a. and b. and 9. a.
through c and h. of this NOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to carry out a successful
conversion of the project and to implement the plan to deliver the
supportive services on a long-term basis, considering the following:
a. (9 points). The time frame planned for carrying out the physical
conversion of the development to the ALF.
b. (10 points). Your past experience in providing or arranging for
supportive services either on or off site for those who are frail.
Examples are: Meals delivered to apartment of resident or in a
congregate setting (2 points), arranging for or providing personal care
(3 points), providing 24-hour staffing (1 point), providing or making
available on-site preventive health care (2 points) and other support
services (2 points).
c. (1 point). The Department will provide 1 point to those
applicants who currently or propose to partner, fund, or subcontract
with grassroots organizations. HUD will consider an organization a
``grassroots organization'' if the organization is headquartered in the
local community and has a social services budget of $300,000 or less;
or has six or fewer full-time equivalent employees. (Refer to the
General Section for further information on policy priority points for
activities related to grassroots organizations.)
2. Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which the conversion is needed
by the categories of elderly persons and persons with disabilities that
the ALF is intended to serve (very low-income elderly persons and
persons with disabilities who have limitations in three or more
activities of daily living). The application must include evidence of
current needs among project residents and needs of potential residents
in the housing market area for such persons including economic and
demographic information on very low-income, frail, elderly, and persons
with disabilities and information on current assisted living resources
in the market area.
The factor also addresses your inability to fund the repairs or
conversion activities from existing financial resources. In making this
determination, HUD will consider the project's financial information.
Submit information responding to this factor in accordance with
Application Submission Requirements in Sections IV.B.3.c., 5. a.
through d., and 10. a. through c. of this NOFA. In evaluating this
factor, HUD will consider:
a. (7 points). The need for assisted living among the elderly and
disabled residents of the project taking into consideration those
currently in need and the depth of future needs given aging in place.
b. (3 points). The need for assisted living among very low-income
elderly persons and persons with disabilities in the housing market area.
c. (9 points). Insufficient funding for any needed conversion work,
as evidenced by the project's financial statements and specifically the
lack of excess Reserve for Replacement dollars and residual receipts.
If the available Reserve for Replacement and residual receipts are less
than 10 percent of the total funds needed = 9 points; if the available
Reserve for Replacement and residual receipts are 10-50 percent of need
= 5 points; and, if the available Reserve for Replacement and residual
receipts are 51 percent or more of the total funds needed = 0 points).
d. (1 point). The Department will provide one point to those
applications which establish a connection between the proposed ALF and
the community's Analysis of Impediments to Fair Housing Choice (AI) or
other planning document that analyzes fair housing issues and is
prepared by a local planning or similar organization.
3. Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposal in addressing the proposed conversion, effectiveness of
service coordination and management planning and the meals and
supportive services which the ALF intends to provide, whether the
jurisdiction in which the ALF is located has taken successful efforts
to remove regulatory barriers to affordable housing, whether you will
incorporate energy efficiency in the design and operation of the
assisted living facility, provide training, employment, and economic
opportunities to low- and very low-income persons, and the extent to
which you have evidenced general support for conversion by
participating in your community's Consolidated Planning Process,
involving the residents in the planning process. There must also be a
relationship between the proposed activities, the project's and the
community's needs and purposes of the program funding for your
application to receive points for this factor. Submit information
responding to this factor in accordance with Application Submission
Requirements in Sections IV.B.3.a. through c. and e., IV. B.5.e.,
[[Page 11998]]
IV.B.6.b. through e., IV. B9.a. through e., g., and h. of this NOFA. In
evaluating this factor, HUD will consider the following:
a. (10 points). The extent to which the proposed ALF design will
meet the special physical needs of frail elderly persons or persons
with disabilities expected to be served at reasonable cost (consider
the ALF design: Meets needs = 10 points; ALF design partially meets
needs = 5 points; and ALF design does not meet needs = 0 points).
b. (10 points). The extent to which the ALF's proposed management
and operational plan ensures that the provision of both meals and
supportive services planned will be accomplished over time. (Consider
ALF design/management plan: Meets needs of management operations = 10
points; ALF design/management plan partially meets needs of management
operations = 5 points; and ALF design/management plan does not meet
needs of management operations = 0 points.)
c. (7 points). The extent to which the proposed supportive services
meet the anticipated needs of the frail elderly and disabled residents
(does meet = 7 points; partially meets needs = 4 points; and, does not
meet needs = 0 points); and
d. (7 points). The extent to which the service coordination
function is addressed and explained as onsite and sufficient, onsite
and augmented or new, and addresses the ongoing procurement of needed
services for the residents of the ALF (does meet = 7 points, partially
meets = 4 points, does not meet = 0 points).
e. (2 points). The steps you have taken which support State and
local efforts in streamlining processes and procedures that eliminate
redundant requirements, statutes, regulations and codes which impede
the availability of affordable housing. To receive points for removal
of regulatory barriers, applicants must include in their response the
completed Questionnaire HUD Form 27300. (Refer to the General Section
for further information.)
f. (2 points). Describe how you plan to incorporate energy
efficiency activities in the design or the operation of the assisted
living facility through the use of Energy Star labeled products and
appliances.
g. (2 points). To the greatest extent feasible, describe how you
propose to provide opportunities to train and employ low- and very low-
income persons in the project area; and how you plan to award contracts
to business concerns which provide economic opportunities to low- and
very low-income persons and people with disabilities in the project area.
4. Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources that can be combined with HUD's grant funds to achieve
program purposes. For the ALCP to succeed, you must generate local
funding for the necessary supportive services to operate the ALF. HUD
also encourages local funding for some of the necessary conversion
work, or other work needed in the project (e.g., general modernization)
which is not specifically linked to the ALF).
Submit information responding to this factor in accordance with
Application Submission Requirements in Section IV.B.6.h. and i., B.7.,
and B.9.e. through g. of this NOFA.
a. (5 points). The extent to which there are commitments for the
funding needed for the meals and the supportive services planned for
the ALF and that the total cost of the estimated budget of the ALF is
covered. Consider 90 percent or more commitment of the total budget
with no more than 10 percent for meals and services = 5 points; 80-89.9
percent with no more than 20 percent for meals and services = 4 points;
65-79.9 percent with no more than 35 percent for meals and services = 3
points; 40-64.9 percent with no more than 60 percent for meals and
services = 2 points; less than 40 percent commitment of the total
budget with no more than 60 percent support for meals and services = 0
points.
b. (3 points). The extent of local organizations' support, which is
firmly committed to providing at least 50 percent of the total cost of
ALF conversion (consider 50% or more = 3 points, 20-49.9 percent = 2
points, and under 20 percent = 0 points).
c. (2 points). The extent of local organizational support which is
firmly committed to providing funds for additional repair or retrofit
necessary for the project NOT specifically directed to activities
eligible under this NOFA (funds firmly committed = 2 points, funds not
committed = 0 points).
5. Rating Factor 5: Achieving Results and Program Evaluation (10 Points)
This factor reflects HUD's goal to embrace high standards of
ethics, management and accountability. This factor emphasizes HUD's
commitment to ensure that promises you make in the application are
kept; and to ensure performance goals with outcomes are established and
are met (refer to Section V.B. of the General Section for more detail).
Outcomes may include the extent to which your project will implement
practical solutions that will result in assisting residents in
achieving independent living and an improved living environment, as
well as the extent to which the project will be viable absent HUD funds
but rely more on state, local, and private funds. Submit information
responding to this factor in accordance with Application Submission
Requirements in Section IV.B.3.d., 6.a. through g., and 9.a. through e.
of this NOFA. Applicants must complete Form HUD-96010, Program Outcome
Logic Model in responding to this Rating Factor.
a. (4 points). Describe the extent to which your conversion time
frame reflects the length of time it will take to convert the units
describing how residents will benefit from the conversion of the units;
and how the converted units will result in ALF residents being able to
age in place;
b. (2 points). Describe the extent to which your assisted living
facility will implement practical solutions that will result in
assisting residents in achieving independent living and improved living
environment.
c. (2 points). Demonstrate how the project will be viable absent
HUD funds while relying more on state, local, and private funds.
d. (2 points). Describe the extent to which the ALFs operating
philosophy promotes the autonomy and independence of the frail elderly
persons it is intended to serve (is fully addressed = 2 points, ``no''
or not addressed = 0 points).
6. Bonus Points (2 bonus points)
The project to be converted is located in an RC/EZ/EC-II area, as
described in the General Section.
B. Reviews and Selection Process
1. The ALCP will fund those applications that may impact federal
problem solving and policymaking and that are relevant to HUD's policy
priorities and annual goals and objectives. (Refer to the General
Section for discussion of these priorities and annual goals and
objectives). For the Assisted Living Conversion Program, applicants who
include work activities that specifically address the policy priorities
of removing barriers to affordable housing and promoting energy
efficiency in the design and operation of the ALF will receive
additional points. For information pertaining to the removal of
barriers to affordable housing see http://www.hud.gov/grants/index.cfm
and for information about Energy Star see
http://www.energystar.gov.
[[Page 11999]]
2. Review for Curable Deficiencies. You should ensure that your
application is complete before submitting it to HUD electronically
through the http://www.grants.gov/Apply Website. If you
received a waiver of the electronic submission requirement, you must submit
an original and four copies to the appropriate HUD Hub Office. Submitting
fewer than the original and four copies of the application is not a
curable deficiency and will cause your application to be considered
non-responsive to the NOFA and returned to you.
HUD will screen all applications received by the deadline for
curable deficiencies. With respect to correction of deficient
applications, HUD may not, after the application due date and
consistent with HUD's regulations in 24 CFR part 4, subpart B, consider
any unsolicited information an applicant may want to provide. HUD may
contact an applicant to clarify an item in the application or to
correct curable deficiencies. Please note, however, that HUD may not
seek clarification of items or responses that improve the substantive
quality of a response to any rating factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may
contact applicants to ensure proper completion of the application and
will do so on a uniform basis for all applicants. A curable deficiency
is a missing Exhibit or portion of an Exhibit that will not affect the
rating of the application. In each case, under this NOFA, the
appropriate HUD Multifamily Hub office will notify you in writing by
describing the clarification or curable deficiency. You must submit
clarifications or responses to curable deficiencies in accordance with
the information provided by the Hub office within 14 calendar days of
the date of HUD notification. (If the due date falls on a Saturday,
Sunday, or federal holiday, your correction must be received by HUD on
the next day that is not a Saturday, Sunday, or federal holiday.) If
the deficiency is not corrected within this time period, HUD will
reject the application as incomplete, and it will not be considered for
funding. The following is a list of the deficiencies that will be
considered curable in ALCP applications:
Exhibits/Forms
? *Application Summary.
? *Articles of Incorporation, or certification of Articles
of Incorporation.
? *By-laws, or certification of by-laws.
? Evidence of occupancy for at least five years.
? Original project plans.
? Relocation Plan.
? Evidence of Permissive Zoning.
? Form SF-424, Application for Federal Assistance.
? Form SF-424 Supplement, Survey for Ensuring Equal
Opportunity for Applicants.
? Form HUD-424-CB, Grant Applications Detailed Budget.
? Form HUD-424-CBW, Grant Application Detailed Budget worksheet.
? Form HUD-2880, Applicant/Recipient Disclosure/Update Report.
? Form HUD-2991, Certification of Consistency with the
Consolidated Plan.
? Form HUD-2994-A, You Are Our Client Survey, optional.
? Standard Form-LLL, Disclosure of Lobbying Activities, if applicable.
The appropriate Hub office will notify you in writing if your
application is missing any of the exhibits listed above and you will be
given 14 days from the date of the HUD notification to submit the
information required to cure the noted deficiencies. The exhibits
identified by an asterisk (*) must be dated on or before the application
deadline date. If not so dated the application will be rejected.
After the completeness review, HUD staff will review your
application to determine whether the application meets the threshold
requirements.
3. Threshold Review. Only those ALCP applications that meet all
threshold requirements will be eligible to receive an award.
Applications that do not pass threshold will be rejected. (See Section
III.C 2. above for threshold requirements).
4. Appeal Process. Upon rejection of an ALCP application, HUD must
send a letter to the Owner outlining all reasons for rejection. The
Owner has 14 calendar days from the date of the letter to appeal the
rejection. If the Owner submits an appeal, which causes the rejection
to be overturned, the application is then rated, ranked, and submitted
to the selection panel for consideration. If the Owner does not appeal
or does appeal but the rejection is not overturned, the application
remains a reject.
5. Review Panels. The Office of Housing's Multifamily Hubs will
establish panels to review all eligible applications that have passed
threshold.
6. Rating of Applications. HUD staff teams will review and rate
ALCP applications in accordance with the Ranking and Selection
procedures outlined below. All applications will be either rated or
technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, it will be rated according to the rating selection
factors in Section V.A. above of this NOFA. HUD reserves the right to
reduce the amount requested in the application if any proposed
components are ineligible or if the cost of items is not deemed
reasonable. HUD will not reject an ALCP application based on technical
review without notifying you of that rejection with all the reasons for
the rejection, and providing you an opportunity to appeal. You will
have 14 calendar days from the date of HUD's written notice to appeal a
technical rejection to the Multifamily Hub where the applications were
sent originally. HUD staff will make a determination on an appeal
before finalizing selection recommendations.
7. Ranking and Selection Procedures. Applications submitted in
response to this NOFA that are eligible, pass threshold and have a
total score of 75 points (or more) are eligible for ranking and selection.
a. Hub staff teams will be established for ALCP review in each Hub
to do the application ratings.
b. From within rank order, Hub staff teams in each of the 18 Hubs
will select the highest ranked applications from within that Hub in
rank order, which can be funded from within the dollars available. Each
Hub will select applications based on rank order up to and including
the last application that can be funded out of each Hub's allocation.
Hubs must not skip over any applications in order to select one based
on the funds remaining.
c. After making the initial selections, however, Hubs may use any
residual funds to select the next rank-ordered application by reducing
the dollars requested by no more than 10 percent and reducing the
number of units proposed, but in no case reducing the number of units
below the financial threshold feasibility of five ALF units.
d. Funds remaining after these processes are completed will be
returned to HUD Headquarters. HUD Headquarters will use these funds to
restore units to any project reduced as a result of using the residual
grant funds in a Hub. Finally, HUD will use these funds for selecting
one or more additional applications based on the Hubs rating and
rankings, beginning with the highest rated application within the 18
Hubs. Only one application will be selected per Hub from the national
residual amount. If there are no approvable applications in other Hubs,
the process will begin again with the selection of the next highest
[[Page 12000]]
rated application within the remaining Hubs. This process will continue
until all approvable applications are selected using the available
remaining funds. If there is a tie score between two or more
applications, and there are insufficient residual funds to cover all
tied applications, HUD Headquarters staff will choose the winning
application(s) by lottery and/or reduction of grant requests consistent
with the instructions above.
VI. Award Administration Information
A. Award Notices
1. The Grant Agreement, and the Form HUD-1044, signed by both the
Recipient and Grant Officer, shall serve as the authorizing award
documents. Unsuccessful applicants will be notified, by mail, within 30
days of the announcement of the awards.
2. Adjustments to Funding. HUD will not fund any portion of your
application that is not eligible for funding under specific program
statutory or regulatory requirements; does not meet the requirements of
this notice; or may be duplicative of other funded programs or
activities. Only the eligible portion of your application will be funded.
3. Applicant Debriefing. All requests for debriefing must be made
in writing and submitted to the local Hub in which you applied for
assistance. Materials provided to you during your debriefing will
include the final scores you received for each rating factor, final
evaluator comments for each rating factor, and the final assessment
indicating the basis upon which assistance was provided or denied.
Information regarding this procedure may be found in the General Section.
B. Administrative and National Policy Requirements
See Section III.C. of this NOFA and the General Section.
C. Reporting
Recipients of funding under this program NOFA shall submit a
progress report every six months after the effective date of the Grant
Agreement. Every six months owners must report their progress in
attaining the goals and objectives they proposed in their ALCP Logic
Model that was included in their application. For FY2006, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment (ROI) statement. HUD will be publishing a separate
notice on the ROI concept.
VII. Agency Contacts
A. For Further Information and Technical Assistance
You should contact the HUD Multifamily Hub where you will be
mailing your ALCP Application. For a list of HUD Multifamily Hub
Offices, see HUD's Web site at
http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
You also may contact Faye Norman, Housing Project Manager at (202)
708-3000, extension 2482 or Aretha Williams, Director, Grant Policy and
Management Division, Room 6138 at (202) 708-3000, extension 2480 for
questions regarding the ALF grant award process. These are not toll-
free numbers. Ms. Norman can be reached by e-mail at
Faye_L._Norman@hud.gov and Ms. Williams at Aretha_M._Williams@hud.gov. If you
have a hearing or speech impairment, you may access the telephone
number via TTY by calling the Federal Information Relay Service at 800-
877-8339.
VIII. Other Information
A. Paperwork Reduction Act
The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (4 U.S.C. 3501-3520) and assigned
OMB control number 2502-0542. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 2,550 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting data for the application, semi-annual reports, and final
report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.
B. Appendix
Appendix 1 provides a list of HUD Multifamily Hub Offices. Appendix
1 may be found at HUD's Web site at
http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
BILLING CODE 4210-01-P
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[GRAPHIC]
[TIFF OMITTED]
TN08MR06.028
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Service Coordinators in Multifamily Housing
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of the Assistant Secretary for Housing-Federal
Housing Commissioner.
B. Funding Opportunity Title: Service Coordinators In Multifamily
Housing
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
5030-N-26. The OMB approval number is 2502-0447.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.191,
Multifamily Housing Service Coordinators.
F. Dates: The application submission date is June 16, 2006. (All
applications must be submitted and received by http://www.grants.gov
no later than 11:59:59 p.m. Eastern Time on the application submission
date. See submission details in the General Section.)
G. Optional, Additional Overview Information:
1. Available Funds. Approximately $51.6 million in fiscal year 2006
funds are available for the Service Coordinator program. Of these
funds, approximately $10 million are available in this NOFA for funding
new Service Coordinator programs.
2. Purpose of the program: The Service Coordinator program allows
multifamily housing owners to assist elderly individuals and nonelderly
people with disabilities living in HUD-assisted housing and in the
surrounding area to obtain needed supportive services from the
community, to enable them to continue living as independently as
possible in their homes.
3. Eligible Applicants: Only owners of eligible multifamily
assisted developments may apply.
Full Text of Announcement
I. Funding Opportunity Description
A. The Service Coordinator Program
The Service Coordinator Program provides funding for the employment
and support of Service Coordinators in insured and assisted housing
developments that were designed for the elderly or nonelderly persons
with disabilities and continue to operate as such. Service Coordinators
help residents obtain supportive services from the community that are
needed to enable independent living and aging in place.
A Service Coordinator is a social service staff person hired or
contracted by the development's owner or management company. The
Service Coordinator is responsible for assuring that elderly residents,
especially those who are frail or at risk, and those non-elderly
residents with disabilities are linked to the supportive services they
need to continue living independently in their current homes. All
services should meet the specific desires and needs of the residents
themselves. The Service Coordinator may not require any elderly
individual or person with a disability to accept any specific
supportive service(s).
You may want to review the Management Agent Handbook 4381.5
REVISION-2, CHANGE-2, Chapter 8 for further guidance on service
coordinators. This Handbook is accessible through HUDCLIPS on HUD's Web
site at http://www.hudclips.org. The Handbook is in the Handbooks and
Notices--Housing Notices database. Enter the Handbook number in the
``Document Number'' field to retrieve the Handbook.
B. Authority
Section 808 of the Cranston-Gonzalez National Affordable Housing
Act (Pub. L. 101-625, approved November 28, 1990), as amended by
sections 671, 674, 676, and 677 of the Housing and Community
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992),
and section 851 of the American Homeownership and Economic Opportunity
Act of 2000 (Pub. L. 106-569, approved December 27, 2000).
C. Definition of Terms Used in this Program NOFA
1. ``Activities of daily living (ADLs)'' means eating, dressing,
bathing, grooming, and household management activities, as further
described below:
a. Eating--May need assistance with cooking, preparing, or serving
food, but must be able to feed self;
b. Bathing--May need assistance in getting in and out of the shower
or tub, but must be able to wash self;
c. Grooming--May need assistance in washing hair, but must be able
to take care of personal appearance;
d. Dressing--Must be able to dress self, but may need occasional
assistance; and
e. Home management activities--May need assistance in doing
housework, grocery shopping, laundry, or getting to and from activities
such as going to the doctor and shopping, but must be mobile. The
mobility requirement does not exclude persons in wheelchairs or those
requiring mobility devices.
2. ``At-risk elderly person'' is an individual 62 years of age or
older who is unable to perform one or two ADLs, as defined in the above
paragraph.
3. ``Frail elderly person'' means an individual 62 years of age or
older who is unable to perform at least three ADLs as defined in the
above paragraph.
4. ``People with disabilities'' means those individuals who:
a. Have a disability as defined in Section 223 of the Social
Security Act;
b. Have a physical, mental, or emotional impairment expected to be
of long, continued, and indefinite duration that substantially impedes
the individual's ability to live independently; or
c. Have a developmental disability as defined in Section 102 of the
Developmental Disabilities Assistance and Bill of Rights Act of 2000,
(42 U.S.C. Section 15002).
5. ``Reasonable costs'' mean that costs are consistent with
salaries and administrative costs of similar programs in your Field
office's jurisdiction.
D. Basic Qualifications of Service Coordinators and Aides
1. Service Coordinator qualifications include the following:
a. A Bachelor of Social Work or degree in Gerontology, Psychology
or Counseling is preferable; a college degree is fully acceptable. You
may also consider individuals who do not have a college degree, but who
have appropriate work experience.
b. Knowledge of the aging process, elder services, disability
services, eligibility for and procedures of federal and applicable
state entitlement programs, legal liability issues relating to
providing Service Coordination, drug and alcohol use and abuse by the
elderly, and mental health issues.
c. Two to three years experience in social service delivery with
senior citizens and/or people with disabilities. Some supervisory or
management experience may be desirable if the Service Coordinator will
work with aides.
d. Demonstrated working knowledge of supportive services and other
resources for senior citizens and/or non-elderly people with
disabilities available in the local area.
e. Demonstrated ability to advocate, organize, problem-solve, and
provide results for the elderly and people with disabilities.
2. Aides working with a Service Coordinator should have appropriate
education or experience in working with the elderly and/or people with
disabilities. An example of an aide position could be an internship or
work-
[[Page 12003]]
study program with local colleges and universities to assist in
carrying out some of the Service Coordinator's functions.
II. Award Information
A. Available Funding. The Consolidated Appropriations Act, 2006
(Pub. L. 109-115, approved November 30, 2005) provides approximately
$51.6 million to fund Service Coordinators and the continuation of
existing Congregate Housing Services Program (CHSP) grants. (The $51.6
million appropriation is subject to a 1 percent across-the-board
rescission pursuant to Public Law 109-148.) Approximately $10 million
of the available $51.6 million will be used to fund new Service
Coordinator programs. The remaining amount of $51,084,000 will be used
to fund one-year extensions to expiring Service Coordinator and CHSP grants.
B. Maximum Grant Award. There is no maximum grant amount. The grant
amount you request will be based on the Service Coordinator's salary
and the number of hours worked each week by that Service Coordinator
(and/or aide). You should base your determination of the appropriate
number of weekly work hours on the number of people in the development
who are frail or at-risk elderly or non-elderly people with
disabilities. Under normal circumstances, a full-time Service
Coordinator should be able to serve about 50-60 frail or at-risk
elderly or non-elderly people with disabilities on a continuing basis.
Your proposed salary must also be supported by evidence of comparable
salaries in your area. Gather data from programs near you to compare
your estimates with the salaries and administrative costs of currently
operating programs. HUD Field staff can provide you with contacts at
local program sites.
C. HUD provides funding in the form of three-year grants. HUD may
renew grants subject to the availability of funds and the grantee's
acceptable performance and compliance with program requirements. HUD
will determine performance based on the information given in the
grantee's semi-annual performance reports, financial status reports,
and Logic Model forms.
III. Eligibility Information
A. Eligible Applicants
1. You must meet all of the applicable threshold requirements of
Section III.C of the General Section.
2. You must be an owner of a development assisted under one of the
following programs:
a. Section 202 Direct Loan;
b. Project-based Section 8 (including Section 8 Moderate
Rehabilitation), or
c. Section 221(d)(3) below-market interest rate, and 236
developments that are insured or assisted.
3. Additionally, developments listed in paragraph III.A.2, above,
are eligible only if they meet the following criteria:
a. Have frail or at-risk elderly residents and/or non-elderly
residents with disabilities who together total at least 25 percent of
the building's residents. (For example, in a 52-unit development, at
least 13 residents must be frail, at-risk, or non-elderly people with
disabilities.)
b. Were designed for the elderly or persons with disabilities and
continue to operate as such. This includes any building within a mixed-
use development that was designed for occupancy by elderly persons or
persons with disabilities at its inception and continues to operate as
such, or consistent with title VI, subtitle D of the Housing and
Community Development Act of 1992 (Pub. L. 102-550). If not so
designed, a development in which the owner gives preferences in tenant
selection (with HUD approval) to eligible elderly persons or nonelderly
persons with disabilities, for all units in that development.
c. If FHA insured or financed with a Section 202 Direct Loan, are
current in mortgage payments or are current under a workout agreement.
d. Meet HUD's Uniform Physical Conditions Standards (codified in 24
CFR part 5, subpart G), based on the most recent physical inspection
report and responses thereto, as evidenced by a score of 60 or better
on the last physical inspection or by an approved plan for developments
scoring less than 60.
e. Are in compliance with their regulatory agreement, Housing
Assistance Payment (HAP) Contract, and any other outstanding HUD grant
or contract document.
f. Have no available project funds (i.e., Section 8 operating
funds, residual receipts, or excess income) that could pay for a
Service Coordinator program. (``Available funds'' are those that
require HUD approval for their use and are not needed to meet critical
project needs.) Field office staff will make this determination based
on financial records maintained by the Department and information
provided by the applicant in the grant application.
g. You may use funds to continue a Service Coordinator program that
has previously been funded through other sources. To be deemed
eligible, you must provide evidence that these resources have already
ended or will discontinue within six months following the application
deadline date and that no other funding mechanism is available to
continue the program. (This applies only to funding sources other than
the subsidy awards and grants provided by the Department through
program Notices beginning in FY 1992. HUD currently provides one-year
extensions to these subsidy awards and grants through a separate
funding action.)
4. If your eligibility status changes during the course of the
grant term, making you ineligible to receive a grant (e.g., due to
prepayment of mortgage, sale of property, or opting out of a Section 8
HAP contract), HUD has the right to terminate your grant.
5. Ineligible Applicants and Developments.
a. Property management companies, area agencies on aging, and other
like organizations are not eligible applicants for Service Coordinator
funds.
b. Developments not designed for the elderly, nonelderly people
with disabilities, or those no longer operating as such;
c. Section 221(d)(4) and Section 515 developments without project-
based Section 8 assistance;
d. Section 202 and 811 developments with a Project Rental
Assistance Contract (PRAC). Owners of Section 202 PRAC developments may
obtain funding by requesting an increase in their PRAC payment
consistent with Handbook 4381.5 REVISION-2, CHANGE-2, Chapter 8;
e. Conventional public housing, as such term is defined in section
3(b) of the United States Housing Act of 1937), and units assisted by
project-based Housing Choice Vouchers, as set forth in 24 CFR Part 983.
f. Renewals of existing Section 8 Service Coordinator subsidy
awards or grants. HUD currently provides one-year extensions to these
subsidy awards and grants through a separate funding action.
B. Cost Sharing or Matching Requirement
None required.
C. Other
1. Eligible Activities. The functions of a Service Coordinator
position are considered the program's eligible activities. The major
functions of the Service Coordinator include the following:
a. Refer and link the residents of the development to supportive
services provided by the general community. Such services may include case
[[Page 12004]]
management, personal assistance, homemaker, meals-on-wheels,
transportation, counseling, occasional visiting nurse, preventive
health screening/wellness, and legal advocacy.
b. Educate residents on service availability, application
procedures, client rights, etc.
c. Establish linkages with agencies and service providers in the
community. Shop around to determine/develop the best ``deals'' in
service pricing, to assure individualized, flexible, and creative
services for the involved resident. Provide advocacy as appropriate.
d. Provide case management when such service is not available
through the general community. This might include evaluation of health,
psychological and social needs, development of an individually tailored
case plan for services, and periodic reassessment of the resident's
situation and needs. Service Coordinators can also set up a
Professional Assessment Committee (PAC) to assist in performing initial
resident assessments. (See the guidance in the Congregate Housing
Services Program (CHSP) regulations at 24 CFR 700.135 (or 1944.258 for
Rural Housing developments).)
e. Monitor the ongoing provision of services from community
agencies and keep the case management and provider agency current with
the progress of the individual. Manage the provision of supportive
services where appropriate.
f. Help the residents build informal support networks with other
residents, family and friends.
g. Work and consult with tenant organizations and resident
management corporations. Provide training to the development's
residents in the obligations of tenancy or coordinate such training.
h. Create a directory of providers for use by both development
staff and residents.
i. Educate other staff of the management team on issues related to
aging in place and Service Coordination, to help them to better work
with and assist the residents.
j. Provide service coordination to low-income elderly individuals
or nonelderly people with disabilities living in the vicinity of an
eligible development. Community residents should come to your housing
development to meet with and receive service from the Service
Coordinator, but you must make reasonable accommodations for those
individuals unable to travel to the housing site.
2. Eligible Program Costs. a. Service Coordinator Program grant
funds may be used to pay for the salary, fringe benefits, and related
support costs of employing a service coordinator. Support costs may
include quality assurance, training, travel, creation of office space,
purchase of office furniture, equipment, and supplies, computer
hardware, software, and Internet service, and indirect administrative
costs.
b. You may use grant funds to pay for Quality Assurance (QA) in an
amount that does not exceed ten percent of the Service Coordinator's
salary. Eligible QA activities are those that evaluate your program to
assure that the position and program are effectively implemented. A
qualified, objective third party must perform the program evaluation
work and must have work experience and education in social or health
care services. Your QA activities must identify short and long term
program outcomes and performance indicators that will help you measure
your performance. On-site housing management staff cannot perform QA
and you may not augment current salaries of in-house staff for this
purpose.
c. You may propose reasonable costs associated with setting up a
confidential office space for the Service Coordinator. Such expenses
must be one-time only start-up costs. Such costs may involve
acquisition, leasing, rehabilitation, or conversion of space. The
office space must be accessible to people with disabilities and meet
the Uniform Federal Accessibility Standards (UFAS) requirements of
accessibility. HUD field office staff must approve both the proposed
costs and activity and must perform an environmental assessment on such
proposed work prior to grant award.
d. Only ALCP applicants may use funds to augment a current Service
Coordinator program, by increasing the hours of a currently employed
Service Coordinator, or hiring an additional Service Coordinator or
aide on a part- or full-time basis. The additional hours and/or staff
must work only with ALCP residents.
2. Threshold Requirements. a. At the time of submission, grant
applications must contain the materials in Section IV.B.2.a and c of
this NOFA in order to be considered for funding. If any of these items
are missing, HUD will immediately reject your application.
b. In cases where field office staff request information in
response to technical deficiencies in applications, applicants must
submit the response by the designated deadline date. If requested
responses are not received by this date, HUD will reject the application.
c. DUN and Bradstreet Universal Numbering System (DUNS) Number
Requirement. Refer to the General Section for information regarding the
DUNS requirement. You will need to obtain a DUNS number to receive an
award from HUD.
3. Program Requirements. In managing your Service Coordinator
grant, you must meet the requirements of this Section. These
requirements apply to all activities, programs, and functions used to
plan, budget, and evaluate the work funded under your program.
a. You must make sufficient separate and private office space
available for the Service Coordinator and/or aides to meet with
residents, without adversely affecting normal activities.
b. The Service Coordinator must maintain resident files in a
secured location. Files must be accessible ONLY to the Service
Coordinator, unless residents provide signed consent otherwise. These
policies must be consistent with maintaining confidentiality of
information related to any individual per the Privacy Act of 1974.
c. Grantees must ensure that the Service Coordinator receives
appropriate supervision, training, and ongoing continuing education,
consistent with statutory and HUD administrative requirements. This
includes 36 hours of training in age-related and disability issues
during the first year of employment, if the Service Coordinator has not
received recent training in these areas, and 12 hours of continuing
education each year thereafter.
d. Grantees are responsible for any budget shortfalls during the
three-year grant term.
e. As a condition of receiving a grant, Section 202 developments
without a dedicated residual receipts account must amend their
regulatory agreement and open such an account, separate from their
Reserve for Replacement account.
f. Subgrants and Subcontracts. You may directly hire a Service
Coordinator or you may contract with a qualified third party to provide
this service.
g. Environmental Requirements. It is anticipated that most
activities under this program are categorically excluded from the
National Environmental Policy Act (NEPA) and related environmental
authorities under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant
funds will be used to cover the cost of any activities which are not
exempt from environmental review requirements--such as acquisition,
leasing, construction, or building rehabilitation,
[[Page 12005]]
HUD must perform an environmental review to the extent required by 24
CFR part 50, prior to grant award. HUD Field office staff will
determine the need for an environmental assessment, based on the
proposed program activities.
IV. Application and Submission Information
A. Obtaining Grant Application Packages. Applicants may download
the Instructions to the application found on the grants.gov Web site at
http://www.Grants.gov/Apply. The instructions contain the General
Section and Program Section of the published NOFA as well as forms that
you must complete and attach as a zip file to your application
submission. If you have difficulty accessing the information, you may
call the Grants.gov Support desk toll free at 800-518-GRANTS or e-mail
your questions to Support@Grants.gov. The Support Desk staff will
assist you in accessing the information.
B. Content and Form of Application Submission. Your application
must contain the items listed in paragraphs 1 and 2, below. These items
include the standard forms listed in Section IV.B of the General
Section that are applicable to this funding Notice (collectively
referred to as the ``standard forms''). The standard forms and other
required forms are part of the electronic application found at
http://www.grants.gov/Apply. The items are as follows:
1. Standard Forms. a. Application for Federal Assistance (SF-424)
b. SF-424 Supplement--Survey on Ensuring Equal Opportunity for
Applicants.
c. If engaged in lobbying, the Disclosure Form Regarding Lobbying
(SF-LLL).
d. Applicant/Recipient Disclosure/Update Report Form (HUD-2880).
e. Logic Model, (HUD-96010). This year HUD is providing on its Web
site, at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, a Master
Logic model from which applicants may select the items in each column
that reflect their anticipated activity outputs and outcomes and copy
and paste them into the appropriate column in the Logic Model form. You
must select the outputs from the master output listing that reflect
your proposed program and enter the information into the output column
of the form. Likewise, you must enter the appropriate outcomes in the
outcome column from the output list provided. The Master Logic Model
listing also identifies the unit of measure that HUD is interested in
collecting for the outputs and outcomes selected. In making the
selections, you must identify the appropriate predicted number of units
of measure to be accomplished for each out put and outcome. Use the
space next to the output and outcome to identify the anticipated units
of measure. You may select multiple outputs and outcomes. See HUD's Web
site for the Master Logic Model for the Service Coordinator program.
f. Acknowledgment of Application Receipt (HUD-2993), for applicants
submitting paper applications only.
g. You Are Our Client Grant Applicant Survey (HUD 2994-A), optional.
h. Facsimile Transmittal Cover Page (HUD-96011), (if applicable).
This form must be used as part of the electronic application to
transmit third party documents and other information as described in
the General Section.
2. Other Application Items. All applications for funding under the
Service Coordinator Program must include the following documents and
information:
a. Service Coordinator First-Time Funding Request, form HUD-91186.
b. Evidence of comparable salaries in your local area.
c. Narrative Statements Describing Your Program.
(1) Explain your method of estimating how many residents of your
development are frail or at-risk elderly or non-elderly people with
disabilities. Please document that individuals meeting these criteria
make up at least 25 percent of your resident population. (Do not
include elderly individuals or people with disabilities who do not live
in the eligible developments included in your application.)
(2) Explain how you will provide on-site private office space for
the Service Coordinator, to allow for confidential meetings with
residents. If construction is planned, also include a plan and a cost-
estimate.
(3) Your quality assurance program evaluation activities and
itemized list of estimated expenses for this activity if included in
your request for funding. Indicate the type of professional or entity
that will perform the work if known at this time or the criteria you
will use to select the provider.
(4) A description of your plan to address community resident needs,
if applicable to your program.
(5) If you are applying for an ALCP grant in conjunction with your
Service Coordinator application, describe how the new or additional
Service Coordinator hours will support your proposed assisted living program.
Indicate if you want your Service Coordinator application entered
into the lottery if your ALCP application is not selected to receive an
award. In this instance, your SC application will be eligible only if
the concerned housing development currently has no SC program.
d. Evidence that no project funds are available to fund a Service
Coordinator program. You must include a copy of your development's most
recent bank statement (or the equivalent thereof), showing the
project's current residual receipts or excess income balance (if any).
It is incumbent upon the applicant to demonstrate that no such project
funds are available.
e. If applicable, provide evidence that prior funding sources for
your development's Service Coordinator program are no longer available
or will expire within six months following the application deadline date.
f. Agents may prepare applications and sign application documents
if they provide authorization from the owner corporation as part of the
application. In such cases, the owner corporation must be indicated on
all forms and documents as the funding recipient.
(1) If an agent is preparing an electronic application for an
owner, the owner must authorize the agent as the Authorized
Organization Representative (AOR) in the Grants.gov Registration
process. HUD will recognize this authority if the DUNS number included
in the application belongs to the owner corporation and the name of the
agent is listed as the AOR. Refer to Section IV.F. of the General
Section for more detailed registration information.
(2) If you are applying in paper copy format, you must provide a
letter from the owner authorizing the submission by the agent on their
behalf.
3. Single and Joint Applications. a. Single Applications.
(1) You may submit one application that contains one or more
developments that your corporation owns. Submitting one application for
each project you own will increase your chances of selection in the
lottery. You may also submit one application that contains multiple
projects you own, to reduce preparation time and resources.
Each application must propose a stand-alone program at separate
developments. The developments must all be located in the same field
office jurisdiction.
(2) If you wish to apply on behalf of developments located in
different field office jurisdictions, you must submit a separate
application to each field office.
b. Joint Applications. You may join with one or more other eligible
owners to share a Service Coordinator and submit a joint application.
Small developments often join together to hire
[[Page 12006]]
and share a part or full-time Service Coordinator and submit a joint
application. If more than one owner is proposing to share a Service
Coordinator, one agency must designate itself the ``lead''. When the
legal signatory for the owner corporation signs the application, the
owner indicates agreement to administer grant funds for all the housing
developments listed in the application.
4. Application Submission Requirements for ALCP Applicants. (1) If
you are an ALCP applicant and you request new or additional Service
Coordinator funds specifically for your proposed Assisted Living
Program, you must submit an application containing all required
documents listed in Section IV.B of this NOFA. You may include a copy
of all standard forms submitted as part of your ALCP application.
(2) If you currently do not have a Service Coordinator working at
the development proposed in your ALCP application and your ALCP
application is selected to receive an award, HUD will fund a Service
Coordinator to serve either ALCP residents only or all residents of the
development dependent upon your request. If your development currently
has a Service Coordinator, you may request additional hours for the
Service Coordinator to serve the Assisted Living residents only. If you
request additional hours, you must specify the number of additional
hours per week and provide an explanation based on the anticipated
needs of the Assisted Living residents. If you request Service
Coordinator funding to serve all residents of your development,
indicate whether or not your request should be entered into the
national lottery if your ALCP application is not selected to receive an
award. Provide this information in your related narrative, pursuant to
paragraph IV.B.2.c(6) of this NOFA.
C. Submission Dates and Times. The application submission date is
June 16, 2006. (All applications must be submitted and received by
http://www.grants.gov no later than 11:59:59 p.m. Eastern Time on the
application submission date. See submission details in the General Section.)
D. Intergovernmental Review: Not applicable to this program.
E. Funding Restrictions. 1. Alternative Funding for Service
Coordinators. If your development has available Section 8 operating
funds, residual receipts, or excess income (i.e. ``project funds''),
not needed for critical project expenses, you must use these project
funds prior to receiving grant monies. Owners may submit requests to
use Section 8 operating funds, residual receipts, or excess income
pursuant to instructions in Housing's Management Agent Handbook 4381.5,
REVISION-2, CHANGE-2, Chapter 8 and Housing Notice H 02-14. HUD field
staff may approve use of these project funds at any time, consistent
with current policy. You should discuss the use of project funds with
your field office staff prior to submitting a grant application.
2. Ineligible Activities and Program Costs.
a. You may not use funds available through this NOFA to replace
currently available funding from other sources for a Service
Coordinator or for some other staff person who performs service
coordinator functions.
b. Owners with existing service coordinator subsidy awards or
grants may not apply for renewal or extension of those programs under
this NOFA. HUD will provide extension funds through a separate funding
process.
c. Non-ALCP applicants may not use funds to augment a current
Service Coordinator program, by increasing the hours of a currently
employed Service Coordinator, or hiring an additional Service
Coordinator or aide on a part- or full-time basis. HUD will award
grants only to eligible projects that do not currently have (or are
served by) an SC program, regardless of the funding source used to
operate the program.
d. Grant recipients may not use grant funds to pay for supervision
performed by property management staff. (Management fees already pay
for such supervision.)
e. Cost overruns associated with creating private office space and
usual audit and legal fees are not eligible uses of grant funds.
f. The cost of application preparation is not eligible for reimbursement.
g. Grant funds cannot be used to increase a project's management fee.
h. Grant funds may not cover the cost of Service Coordinator-
related training courses for members of a development's management
staff who do not directly provide Service Coordination. Owners must use
their management fees to pay this expense.
i. Owners/managers cannot use Reserve for Replacement funds to pay
costs associated with a Service Coordinator program.
j. Congregate Housing Services Program grantees may not use these
funds to meet statutory program match requirements and may not use
these funds to replace current CHSP program funds to continue the
employment of a service coordinator.
k. Grantees cannot use grant funds to pay PAC members for their
services.
l. The grant amount allowed for QA may not exceed ten percent of
the Service Coordinator's salary.
3. Prohibited Service Coordinator Functions. Service Coordinators
may not perform the following activities:
a. Act as a recreational or activities director;
b. Provide supportive services directly;
c. Act as a Neighborhood Networks program director or coordinator,
and
d. Perform property management work, regardless of the funding
source used to pay for these activities.
F. Other Submission Requirements: 1. Application Submission and
Receipt Procedures. Carefully review the procedures presented in
Section IV.F of the General Section. All applicants submitting Service
Coordinator applications must submit applications electronically.
2. Waiver of Electronic Submission Requirement. Please see the
General Section for detailed instructions and timelines for requesting
a waiver of the mandatory electronic submission requirement.
3. Application Copies. Applicants submitting electronic
applications must submit just one application to http://www.grants.gov.
Applicants who receive a waiver for electronic submission must submit
an original and two copies to the field office with jurisdiction over
the housing developments included in your application. If you send your
application to the wrong local HUD Office, it will be rejected.
Therefore, if you are uncertain as to which local HUD Office to submit
your application, you are encouraged to contact the local HUD Office
that is closest to your development's location to ensure that you
submit your application to the correct local HUD Office.
4. Field Office Addresses. For a list of field office addresses,
see HUD's Web site at http://www.hud.gov/local/index.cfm.
V. Application Review Information
A. Criteria
1. HUD will not award Service Coordinator Program grant funds
through a rating and ranking process. Instead, the Department will hold
one national lottery for all applications determined to be eligible by
Multifamily Hub and Multifamily Program Centers.
2. Threshold Eligibility Review. HUD Multifamily field office staff
will review applications for completeness and compliance with the
eligibility criteria set forth in Section III of this NOFA. Field
office staff will deem an
[[Page 12007]]
application eligible if the electronic application was submitted and
received by http://www.Grants.gov no later than 11:59:59 PM on June 16,
2006. Paper applications will be considered eligible if they are
received by the field office on or before the deadline date and meet
the application timely receipt requirements for paper copy submission
in the General Section. To be eligible for the lottery, in addition to
meeting the timely submission requirement, an applicant must meet all
eligibility criteria; propose reasonable costs for eligible activities,
and, if technical corrections are requested during the review process,
provide the technical correction(s) by the timeframe stated in the request.
B. Review and Selection Process
1. Funding Priorities
a. Prior to the lottery, HUD will fund Service Coordinator
applications submitted by FY2006 ALCP applicants, whose ALCP
applications are selected for funding under that program's NOFA. HUD
estimates that approximately $1 million will be used to fund ALCP
Service Coordinator applications. Any funds not used by the ALCP
program to fund service coordinators will be added to the funds
available for the National Lottery.
b. After setting aside funds for ALCP applicants, and prior to the
lottery, HUD will next fund all applications submitted by owners who
are applying for grant funds to continue a currently operating program
previously funded through project funds. As stated in paragraph
III.A.4.f of this NOFA, such applications are eligible only if project
funds are no longer available to continue the program.
2. Selection Process
a. HUD will use remaining funds to make grant awards through the
use of a national lottery. A computer program performs the lottery by
randomly selecting eligible applications.
b. HUD will fully fund as many applications as possible with the
given amount of funds available. After all fully fundable applications
have been selected by lottery, HUD may make an offer to partially fund
the next application on the lottery's list, in order to use the entire
amount of funds allocated. If the applicant selected for partial
funding turns down the offer, HUD will make an offer to partially fund
the next application on the lottery list. HUD will continue this
process until an applicant accepts the partial funding offer.
3. Reduction in Requested Grant Amount. HUD may make an award in an
amount less than requested, if:
a. HUD determines that some elements of your proposed program are
ineligible for funding;
b. There are insufficient funds available to make an offer to fully
fund the application;
c. HUD determines that reduced grant amount would prevent
duplicative federal funding.
4. Corrections to Deficient Applications. Section V.B. of the
General Section provides the procedures for corrections to deficient
applications.
VI. Award Administration Information
A. Award Notices. HUD field staff will send, by postal or overnight
mail, selection letters and grant agreements to the award recipient
organization. The grant agreement is the obligating document and funds
are obligated once the HUD grant officer signs the agreement. Field
staff will send non-selection letters during this same period of time.
If your application is rejected, field staff may notify you by letter
any time during the application review process.
B. Administrative and National Policy Requirements. None.
C. Reporting. All award recipients must submit the following
reports on a yearly basis:
1. Two Semi-Annual Financial Status Reports (SF-269-A), for each
half-year period of the federal fiscal year;
2. Two Semi-Annual Service Coordinator Performance Reports, (HUD-
92456), for each half-year period of the federal fiscal year;
3. Two completed Logic Model forms, HUD-96010, submitted as an
attachment to each Semi-Annual Performance Report. The Logic Model must
present performance information on a short term basis, corresponding to
each six-month reporting period; on an intermediate basis, i.e.
annually, and in the long-term, reporting results for the entire grant
term showing progress related to program outputs and outcomes as
specified in your approved Logic Model incorporated into your grant
agreement. The objectives of the Service Coordinator program are to
enhance a resident's quality of life and ability to live independently
and to age in place. The data that HUD collects on the performance
report and Logic Model measures, in a quantitative form, the grantee's
success in meeting these intended program outcomes.
4. Periodic reimbursement requests (i.e., Payment Voucher, form
HUD-50080-SCMF), providing program expenses for the associated time
period, and submitted in accordance with the due dates stated in the
grant agreement. Grantees must request grant payments directly
following the end of each agreed-upon time period and the funds must
reimburse those program costs already incurred.
5. If your grant includes Quality Assurance activities, you must
provide a copy of at least one annual report that your QA provider
submits to you each year. You must submit this copy along with the
semi-annual reports that are due on October 30 of each year. The QA
provider's report that you submit to HUD must include the following
information: Who performed the QA work, when the review(s) was
conducted, and the results of the evaluation. The results should
include such information as how many residents were served, the types
of services they receive, the training sessions attended by the Service
Coordinator, and the extent of resident satisfaction with the program.
HUD will use this report, in tandem with other reports and performance
data, to determine a grantee's acceptable program performance.
VII. Agency Contacts
You may contact your local HUD field office staff for questions you
have regarding this NOFA and your application. Please contact the
Multifamily Housing Service Coordinator contact person in your local
office. If you are an owner of a Section 515 development, contact the
HUD field office that monitors your Section 8 contract. If you have a
question that the field staff is unable to answer, please call Carissa
Janis, Housing Project Manager; Office of Housing Assistance and Grants
Administration; Department of Housing and Urban Development; 451
Seventh Street, SW., Room 6146; Washington, DC 20410-8000; (202) 708-
3000, extension 2487 (this is not a toll-free number). If you are
hearing- or speech-impaired, you may access this number via TTY by
calling the Federal Information Relay Service at 800-877-8339.
VIII. Other Information
A. Satellite Broadcast. HUD will hold an information program for
potential applicants via satellite broadcast to learn more about the
program and preparation of the application. For more information about
the date and time of the broadcast, you should contact your local field
office staff or consult the HUD Web site at http://www.hud.gov.
B. Paperwork Reduction Act. The information collection requirements
contained in this document have been
[[Page 12008]]
approved by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB
control number 2502-0477. In accordance with the Paperwork Reduction
Act, HUD may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless the collection displays
a currently valid OMB control number. Public reporting burden for the
collection of information is estimated to average 50.25 hours per annum
per respondent for the application and grant administration. This
includes the time for collecting, reviewing, and reporting the data for
the application, semi-annual reports and final report. The information
will be used for grantee selection and monitoring the administration of
funds. Response to this request for information is required in order to
receive the benefits to be derived.
BILLING CODE 4210-01-P
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[GRAPHIC]
[TIFF OMITTED]
TN08MR06.029
[[Page 12010]]
Section 202 Supportive Housing for the Elderly Program (Section 202 Program)
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Housing
B. Funding Opportunity Title: Section 202 Supportive Housing for
the Elderly
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
5030-N-22. The OMB Approval Number is 2502-0267.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.157,
Section 202 Supportive Housing for the Elderly.
F. Dates: The application deadline date is on or before June 2,
2006. Refer to Section IV of this NOFA and to the General Section for
information on electronic application submission and receipt requirements.
G. Optional, Additional Overview Content Information:
1. Purpose of the Program. This program provides funding for the
development and operation of supportive housing for very low-income
persons 62 years of age or older.
2. Available Funds. Approximately $443.2 mllion in capital advance
funds, plus associated project rental assistance contract (PRAC) funds
and any carryover funds available.
3. Types of Funds. Capital advance funds will cover the cost of
developing the housing. PRAC funds will cover the difference between
the HUD-approved operating costs of the project and the tenants'
contributions toward rent (30 percent of their adjusted monthly income).
4. Eligible Applicants. Private nonprofit organizations and
nonprofit consumer cooperatives. (See Section III.C.3.k of this NOFA
for further details and information regarding the formation of the
Owner corporation).
5. Eligible Activities. New construction, rehabilitation, or
acquisition (with or without rehabilitation) of housing. (See Section
III.C.1. below of this NOFA for further information.
6. Match Requirements. None required.
7. Local HUD Offices. The local HUD office structure, for the
purpose of implementing the Section 202 program, consists of 18
Multifamily Hub Offices. Within the Multifamily Hubs, there are
Multifamily Program Centers with the exception of the New York Hub, the
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future
references shall use the term ``local HUD office'' unless a more
detailed description is necessary as in Limitations on Applications and
Ranking and Selection Procedures, below.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. HUD provides capital advances and contracts
for project rental assistance in accordance with 24 CFR part 891.
Capital advances may be used for the construction or rehabilitation of
a structure, or acquisition of a structure with or without
rehabilitation (including structures from the Federal Deposit Insurance
Corporation (FDIC)). Capital advance funds bear no interest and are
based on development cost limits in Section IV.E.3. Repayment of the
capital advance is not required as long as the housing remains
available for occupancy by very low-income elderly persons for at least
40 years.
PRAC funds are used to cover the difference between the tenants'
contributions toward rent (30 percent of adjusted income) and the HUD-
approved cost to operate the project. PRAC funds may also be used to
provide supportive services and to hire a service coordinator in those
projects serving frail elderly residents. The supportive services must
be appropriate to the category or categories of frail elderly residents
to be served.
B. Authority. The Section 202 Supportive Housing for the Elderly
Program is authorized by section 202 of the Housing Act of 1959 (12
U.S.C. 1701q), as amended by section 801 of the Cranston-Gonzalez
National Affordable Housing Act (Pub. L. 101-625; approved November 28,
1990); the Housing and Community Development Act of 1992 (Pub. L. 102-
550; approved October 28, 1992); the Rescissions Act (Pub. L. 104-19;
enacted on July 27, 1995); the American Homeownership and Economic
Opportunity Act of 2000 (Pub. L. 106-569; approved December 27, 2000);
the Department of Housing and Urban Development Appropriations Act,
2006 (Pub. L. 109-115; approved November 30, 2005); and the government-
wide rescissions pursuant to the Department of Defense Appropriations
Act, 2006 (Pub. L. 109-148; approved December 30, 2005).
C. Calculation of Fund Reservation. If selected, you will receive a
fund reservation that will consist of both a reservation of capital
advance funds and a reservation of three years for project rental
assistance.
1. Capital Advance Funds. The reservation of capital advance funds
is based on a formula which takes the development cost limit for the
appropriate building type (elevator, non-elevator) and unit size(s) and
multiplies it by the number of units of each size (including a unit for
a resident manager, if applicable) and then multiplies the result by
the high cost factor for the area. The development cost limits can be
found in Section IV.E.3. of this NOFA.
2. PRAC Funds. The initial PRAC award covers three years. The
amount awarded is determined by multiplying the number of revenue units
for elderly persons by the appropriate operating cost standard times 3.
The operating cost standards will be published by Notice.
II. Award Information
A. Available Funds. For FY2006, approximately $443,167,647 is
available for capital advances for the Section 202 Supportive Housing
for the Elderly Program. The Department of Housing and Urban
Development Appropriations Act, 2006 (Pub. L. 109-115, approved
November 30, 2005) provides $742,000,000 for capital advances,
including amendments to capital advance contracts, for supportive
housing for the elderly as authorized by section 202 of the Housing Act
of 1959 (12 U.S.C. 1701q), as amended by section 801 of the Cranston-
Gonzalez National Affordable Housing Act (Pub. L. 101-625, approved
November 28, 1990), for project rental assistance, amendments to
contracts for project rental assistance, and the renewal of expiring
contracts for such assistance for up to a one-year term, for supportive
housing for the elderly under section 202(c)(2) of the Housing Act of
1959 as well as the amount of $400,000 to be transferred to the Working
Capital Fund, all of which is subject to a 1 percent across-the-board
rescission pursuant to Public Law 109-148. Additionally, of the amount
appropriated, approximately $51,600,000 is provided for Service
Coordinators and the continuation of Congregate Services grants, up to
$24,800,000 is provided for Assisted Living Conversion grants and
Emergency Capital Repairs, $20,000,000 is provided for a Section 202
Demonstration Planning Grant program, and approximately $4,000,000 is
provided for a Section 202 Demonstration Program for Elderly Housing
for Intergenerational Families pursuant to section 203 of Public Law
108-186.
The announcement of the availability of the funds for the Service
Coordinators and the continuation of Congregate Services as well as the
Assisted Living
[[Continued on page 12011]]