Final General Section FY17 07.08.16.pdf

U.S. Department of Housing and Urban Development

Grant Management Office

General Section to HUD's Fiscal Year 2017 Notice[s] of Funding Availability for Discretionary Programs

(General Section)

FR-6100-N-01

General Section to HUD's Fiscal Year 2017 Notice[s] of Funding Availability for Discretionary Programs (General Section)

FR-6100-N-01

TABLE OF CONTENTS

Overview and Agency Contacts I.

Sample NOFA Table of Contents II.

NOFA Forecast III.

Definitions IV.

Rules and Regulations Applicable to NOFAs V.

NOFA Guidance for Applicants VI.

U.S. Department of Housing and Urban Development

Program Office: Grant Management Office Funding Opportunity Title: General Section to HUD's Fiscal Year 2017 Notice[s] of Funding

Availability for Discretionary Programs (General Section) Announcement Type: Initial Funding Opportunity Number: FR-6100-N-01 Primary CFDA Number: 14.506 Due Date for Applications: N/A

Summary of Changes to General Section: 2016 to 2017.

1. HUD has added a definition of Assessment of Fair Housing (AFH) to reflect the new regulations, and revised several Fair Housing (FH) related requirements throughout the document.

2. HUD has dropped priority points for NOFA Priorities (formerly Policy Priorities).

3. We have kept bonus points (renamed "preference points") for two place-based initiatives, Promise Zones (PZ) and Preferred Sustainability Status (PSS) Communities but narrowed the scope of the PSS preference to include applicants working with 2011 grantees only.

4. HUD worked to incorporate plain English more thoroughly.

5. HUD added additional guidance regarding agency review of past performance and certain recipients' responsibility to report violations in FAPIIS in accordance with 2 CFR part 200 Appendix XII.

I. Overview and Agency Contacts

The General Section HUD publishes each Fiscal Year contains requirements for all of HUD’s competitive grant programs. Applicants must meet all applicable requirements of the General Section and the Program NOFA requirements to be considered for funding. The General Section is published on Grants.gov and HUD's Funds Available webpage.

This FY 2017 General Section contains six (6) sections:

I. Overview and Agency Contacts II. Sample NOFA Table of Contents III. NOFA Forecast IV. Definitions V. Rules and Regulations Applicable to NOFAs

A. Rules that affect applicants’ ability to apply.

B. Rules that affect applicants’ eligibility to receive an award from HUD.

C. Rules that affect applicants selected for award.

D. Rules that affect how HUD evaluates applications.

VI. NOFA Guidance for Applicants

A. Obtaining an Application.

B. Submitting an Application.

C. Technical Assistance Resources.

D. Other Guidance and Notifications.

Questions regarding this notice should be directed to the Office of Strategic Planning and Management, Grants Management & Oversight Division (GMO), via email at AskGMO@hud.gov The most significant change in the FY 2017 General Section is the elimination of Policy Priority points.

II. Sample NOFA Table of Contents

All FY 2017 NOFAs, except the Continuum of Care (CoC) NOFA, will follow a standardized format and order of content. The format and structure will be the same, but each Program NOFA will have a unique title, funding opportunity number, text and instructions that are specific to the program.

Sample NOFA Table of Contents:

[Funding Opportunity Title]

[Funding Opportunity Number]

TABLE OF CONTENTS

Executive Summary

I. Funding Opportunity Description

A. Program Description

B. Authority

II. Award Information

A. Available Funds

B. Number of Awards

C. Minimum/Maximum Award Information

D. Period of Performance

E. Type of Funding Instrument

F. Supplementation

III. Eligibility Information

A. Eligible Applicants

B. Cost Sharing or Matching

C. Eligible Activities

D. Other

IV. Application and Submission Information

A. Obtaining an Application Package

B. Content and Form of Application Submission

C. DUNS Number and SAM Registration

D. Application Submission Dates and Times

E. Intergovernmental Review

F. Funding Restrictions

G. Other Submission Requirements

V. Application Review Information

A. Review Criteria

B. Reviews and Selection Process

C. Anticipated Announcement and Award Dates

VI. Award Administration Information

A. Award Notices

B. Administrative, National and Departmental Policy Requirements

C. Reporting

VII. Agency Contact(s)

VIII. Other Information

III. NOFA Forecast

HUD publishes a NOFA Forecast on the Grants.gov Search Grants webpage. The forecast is updated regularly. On the search page, select Department of Housing and Urban Development and Opportunity Status = Forecasted.

IV. Definitions

Analysis of Impediments to Fair Housing Choice (AI) is a review of impediments or barriers that affect the rights related to fair housing choice, and pertains to program participants in jurisdictions operating under a current Consolidated Plan and public housing agencies operating under a PHA Plan.

Assessment of Fair Housing (AFH) is the analysis undertaken pursuant to 24 CFR 5.154. AFH includes an analysis of fair housing data, an assessment of fair housing issues and contributing factors, the prioritization of contributing factors, and the identification of fair housing goals. It is conducted and submitted to HUD using the Assessment Tool. Entities obligated to prepare and submit an AFH are: (1) Jurisdictions and Insular Areas that are required to submit Consolidated Plans for the following programs: (i) The Community Development Block Grant (CDBG) program (see 24 CFR part 570, subparts D and I); (ii) The Emergency Solutions Grants (ESG) program (see 24 CFR part 576); (iii) The HOME Investment Partnerships (HOME) program (see 24 CFR part 92); and (iv) The Housing Opportunities for Persons With AIDS (HOPWA) program (see 24 CFR part 574); and (2) Public housing agencies (PHAs) receiving assistance under sections 8 or 9 of the United States Housing Act of 1937 (42 U.S.C. 1437f or 42 U.S.C.1437g).

Authorized Organization Representative (AOR) is the person authorized by the E-Biz point of contact in the System for Award Management to submit applications on behalf of the organization. The AOR is listed in item 21 on the SF-424.

Catalog of Federal Domestic Assistance (CFDA) is a directory of the various Federal programs, projects, services and activities that offer financial and non financial assistance and benefits to the American public. CFDA Number is the unique number assigned to each program, project, service or activity listed in the Catalog of Federal Domestic Assistance (CFDA).

Consolidated Plan is a document developed by states and local jurisdictions, which they complete by engaging in a participatory process to assess their affordable housing and community development needs and market conditions, and to make data-driven, place-based investment decisions with funding from formula grant programs. (See 24 CFR 91 for more information about the Consolidated Plan and related Annual Action Plan.)

Contract means a legal instrument by which a non-Federal entity purchases property or services needed to carry out the project or program under a Federal award. The term as used with respect to awards, subawards, and cooperative agreements subject to 2 CFR part 200 does not include a legal instrument, even if the non-Federal entity considers it a contract, when the substance of the transaction meets the definition of a http://www.grants.gov/web/grants/search-grants.html non-Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward. (See 2 CFR 200.22 and 200.92.)

Contractor means an entity that receives a contract.

DUNS Number is the nine-digit identification number assigned to a business or organization by Dun & Bradstreet and provides a means of identifying business entities on a location-specific basis. Requests for a DUNS number can be made by visiting the Online DUNS Request Portal.

Federal Awardee Performance and Integrity Information System (FAPIIS) is a database that has been established to track contractor misconduct and performance.

Grants.gov is the website that serves as the Federal government’s central portal for searching for and applying for grants throughout the Federal government.

Non-Federal Entity means a state, local government, Indian tribe, institution of higher education (IHE), or non-profit organization that carries out a Federal award as a recipient or subrecipient.

Pass-through Entity means a non-Federal entity that provides a subaward to a subrecipient to carry out part of a Federal program.

Point of Contact (POC) is the person who may be contacted with questions about the application submitted by the AOR. The point of contact is listed in item 8F on the SF-424.

Preferred Sustainability Status Communities (PSS) for the purposes of HUD’s FY2017 funding competitions, are communities that have received PSS under HUD's FY2011 Sustainable Communities Regional Planning Grant Program and/or HUD's FY2011 Community Challenge Planning Grant Program.

Click here for list.

Promise Zones are federally-designated, high-poverty urban, rural and tribal communities where the Federal government will partner with and invest in communities to accomplish these goals: create jobs, leverage private investment, increase economic activity, expand educational opportunities, and reduce violent crime.

Promotores/Promotoras are Spanish-speaking Community Health Workers who work in their communities to reduce barriers to health services and make health care systems more responsive.

Recipient means a non-Federal entity that receives an award directly from HUD to carry out an activity under a HUD program.

Section 3 Business Concern means a business concern (1) that is 51 percent or more owned by Section 3 residents; or (2) of which at least 30 percent of permanent, full-time employees are currently Section 3 residents, or were Section 3 Residents within three years of the date of first employment with the business concern; or (3) that provides evidence of a commitment to subcontract over 25 percent of the dollar award of all subcontracts to be awarded to business concerns that meet the qualifications in this definition.

Section 3 Residents means: 1) Public housing residents; or 2) Low and very-low income persons, as defined in 24 CFR 135.5, who live in the metropolitan area or non-metropolitan county where a HUD-assisted project for housing or community development is located.

Standard Form 424 (SF-424) is the Application for Federal Assistance Programs required by discretionary grant programs.

Subaward means an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.

Subrecipient means a non-Federal entity that receives a subaward from a pass-through entity to carry out part of a HUD program; but does not include an individual that is a beneficiary of such program. A http://portal.hud.gov/hudportal/documents/huddoc?id=2017pss_poc.pdf subrecipient may also receive other Federal awards directly from a Federal awarding agency (including

HUD).

System for Award Management (SAM), located at the website sam.gov, is the official U.S. Government system that consolidated the capabilities of Central Contractor Registry (CCR), Excluded Parties List System (EPLS) and the Online Representations and Certifications Application (ORCA). Registration with Sam.gov is required for submission of applications via grants.gov.

V. Rules and Regulations Applicable to NOFAs

A. Rules that affect applicants’ ability to apply.

Applicants must comply with these rules to submit an application.

1. SAM Registration Requirement. Before your organization can apply for a Federal award, your organization must have a valid registration active at sam.gov. SAM registration includes maintaining current information and providing a valid DUNS number. Grants.gov will not accept applications from organizations without a valid, active SAM registration.

2. Requirement to Register with Grants.gov. Individuals who plan to submit grant applications on behalf of an organization must register at Grants.gov and be approved to submit applications on behalf of the organization by the EBiz Point of Contact in SAM in order to submit an application.

Registration at these two sites is a multi-step process and can take up to four (4) weeks or longer to complete if data issues must be resolved. Applicants without a valid registration cannot submit an application through Grants.gov. Complete registration instructions and guidance are provided on the Grants.gov website.

B. Rules that affect applicants’ eligibility to receive an award from HUD.

Evidence of the adverse circumstances described below or failure to meet requirements listed below may prevent an award from being granted to otherwise successful applicants.

1. Resolution of Civil Rights Matters. Outstanding civil rights matters must be resolved before the application deadline. Applicants who after review are confirmed to have civil rights matters unresolved at the application deadline will be deemed ineligible; the application will receive no further review, will not be rated and ranked, and will not receive funding.

a. Applicants having any of the charges, cause determinations, lawsuits, or letters of findings referenced in subparagraphs (1) – (5) that have not been resolved to HUD’s satisfaction before or on the application deadline date are ineligible for funding. Such matters include:

(1) Charges from HUD concerning a systemic violation of the Fair Housing Act or receipt of a cause determination from a substantially equivalent state or local fair housing agency concerning a systemic violation of a substantially equivalent state or local fair housing law proscribing discrimination because of race, color, religion, sex, national origin, disability or familial status;

(2) Status as a defendant in a Fair Housing Act lawsuit filed by the Department of Justice alleging a pattern or practice of discrimination or denial of rights to a group of persons raising an issue of general public importance under 42 U.S.C. 3614(a);

(3) Status as a defendant in any other lawsuit filed or joined by the Department of Justice, or in which the Department of Justice has intervened, or filed an amicus brief or statement of interest, alleging a pattern or practice or systemic violation of Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, Section 109 of the Housing and Community Development Act of 1974, the Americans with Disabilities Act or a claim under the False Claims Act related to fair housing, non-discrimination, or civil rights generally including an alleged failure to affirmatively further fair housing;

(4) Receipt of a letter of findings identifying systemic non-compliance with Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, Section 109 of the Housing and Community Development Act of 1974; or the Americans with Disabilities Act; or

Development Act of 1974; or the Americans with Disabilities Act; or

(5) Receipt of a cause determination from a substantially equivalent state or local fair housing agency concerning a systemic violation of provisions of a state or local law prohibiting discrimination in housing based on sexual orientation, gender identity, or lawful source of income.

b. HUD will determine if actions to resolve the charge, cause determination, lawsuit, or letter of findings taken before the application deadline date will resolve the matter. Examples of actions that may be sufficient to resolve the matter include, but are not limited to:

(1) Current compliance with a voluntary compliance agreement signed by all the parties;

(2) Current compliance with a HUD-approved conciliation agreement signed by all the parties;

(3) Current compliance with a conciliation agreement signed by all the parties and approved by the state governmental or local administrative agency with jurisdiction over the matter;

(4) Current compliance with a consent order or consent decree;

(5) Current compliance with a final judicial ruling or administrative ruling or decision; or

(6) Dismissal of charges.

2. Outstanding Delinquent Federal Debts. It is HUD policy, consistent with the purposes and intent of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), that applicants with outstanding delinquent Federal debt will not be eligible to receive an award of funds, unless:

a. A negotiated repayment schedule is established and the repayment schedule is not delinquent, or

b. Other arrangements satisfactory to HUD are made before the award of funds by HUD.

If satisfactory arrangements cannot be completed within 90 days of notification of selection, HUD will not make an award of funds to the applicant, and instead will offer the award to another eligible applicant, as outlined in the Program NOFA. HUD may act earlier than the 90 days to ensure, in HUD’s determination, that the funds can be obligated in a timely manner. Applicants selected for funding, or awarded funds, must report any changes in status of current agreements covering Federal debt. HUD may withhold funding, terminate an award, or seek other remedies from a recipient if a previously agreed-upon payment schedule has not been followed or a new agreement with the Federal agency to which the debt is owed has not been signed.

3. Debarments and/or Suspensions. Under 2 CFR part 2424, no award of Federal funds may be made to debarred or suspended applicants, or those proposed to be debarred or suspended from doing business with the Federal government.

4. Pre-selection Review of Performance. If your organization has delinquent federal debt or is excluded from doing business with the Federal Government, the organization may be ineligible for an award. In addition, before making a Federal award, HUD reviews information available through any OMB-designated repositories of government-wide eligibility qualification or financial integrity information, such as Federal Awardee Performance and Integrity Information System (FAPIIS), and the ‘‘Do Not Pay” website. HUD may consider other public sources such as newspapers, Inspector General or Government Accountability Office reports or findings, or other complaints that have been proven to have merit. Applicants may review and comment on any information in FAPIIS through SAM. HUD reserves the right to:

a. Deny funding, or with a renewal or continuing award, consider suspension or termination of an award immediately for cause,

b. Require the removal of any key individual from association with management or implementation of the award, and

c. Make provisions or revisions regarding the method of payment or financial reporting requirements.

5. Sufficiency of Financial Management System. HUD will not award or disburse funds to applicants that

5. Sufficiency of Financial Management System. HUD will not award or disburse funds to applicants that do not have a financial management system that meets Federal standards as described at 2 CFR 200.302.

HUD may arrange for a survey of financial management systems for applicants selected for award who have not previously received Federal financial assistance, where HUD Program officials have reason to question whether a financial management system meets Federal standards, or for applicants considered high risk based on past performance or financial management findings.

6. Mandatory Disclosure Requirement. Recipients or applicants must disclose in writing to the awarding program office at HUD, all violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the Federal award within ten days after learning of the violation. Recipients that have received a Federal award including the term and condition outlined in Appendix XII to Part 200—Award Term and Condition for Recipient Integrity and Performance Matters are required to report certain civil, criminal, or administrative proceedings to SAM. Failure to make required disclosures can result in any of the remedies described in §200.338 Remedies for noncompliance, including suspension or debarment. (See also 2 CFR part 180, 31 U.S.C. 3321, and 41 U.S.C. 2313.)

7. False Statement. A false statement in an application is grounds for denial or termination of an award and possible punishment, as provided in 18 U.S.C. 1001.

8. English Language Requirement. Applications must be submitted in English and funding requests must be made in U.S. dollars. Applications using another currency will be converted to U.S. dollars as of the application receipt date.

C. Rules that affect applicants selected for award.

1. Compliance with Non-discrimination and Related Requirements. Unless otherwise specified, these non-discrimination and equal opportunity authorities and other requirements apply to all Program NOFAs.

Read the corresponding requirements in each Program NOFA carefully as there are variations in requirements among HUD’s programs.

a. Compliance with Fair Housing and Civil Rights Laws. Except for federally recognized Indian tribes and their instrumentalities, recipients and their prospective subrecipients must comply with all applicable fair housing and civil rights requirements in 24 CFR 5.105(a), including, but not limited to, the Fair Housing Act;

Title VI of the Civil Rights Act of 1964; Section 504 of the Rehabilitation Act; and Title II and Title III of the Americans with Disabilities Act of 1990(ADA).

(1) Recipients of HUD funds, and their prospective sub-recipients, who are conducting programs or activities in a state or local jurisdiction that has passed a law prohibiting discrimination in housing based upon sexual orientation or gender identity, or a law prohibiting discrimination in housing based on lawful source of income, must comply with the law(s) of the state or locality in which the program activities are conducted.

(2) Federally recognized Indian tribe or Tribally Designated Housing Entity (TDHE) applicants must comply with the non-discrimination provisions enumerated in the applicable program regulations. Each Program NOFA will specify the applicable civil rights requirements for Indian tribes or TDHEs when listed as eligible applicants under the Program NOFA.

b. Affirmatively Furthering Fair Housing. Section 808(e)(5) of the Fair Housing Act requires HUD to affirmatively further the purposes of the Fair Housing Act in its housing and urban development programs.

HUD requires recipients of funds, including those awarded and announced under HUD’s FY 2017 Program NOFAs not specifically exempted, to take meaningful actions that affirmatively further fair housing.

(1) Unless otherwise specified in the Program NOFA, an applicant must discuss how it will carry out the proposed activities in a manner that affirmatively furthers fair housing in compliance with Section 808(e)(5) of the Fair Housing Act. If the applicant operates in a jurisdiction with an accepted AFH, the proposed activities should be consistent with the AFH’s fair housing goals and with fair housing strategies specified in any applicable Consolidated Plan or Public Housing Agency Plan.

(2) Federally recognized Indian tribes are not subject to the requirement to affirmatively further fair

(2) Federally recognized Indian tribes are not subject to the requirement to affirmatively further fair housing in their use of certain HUD funds. Other tribal entities may also be exempt. Refer to the Program NOFAs for more information on exemptions.

c. Economic Opportunities for Low- and Very Low-income Persons (Section 3). Certain programs require recipients of assistance to comply with Section 3 of the Housing and Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic Opportunities for Low- and Very Low-Income Persons in Connection with Assisted Projects), and the HUD regulations at 24 CFR part 135. The regulations at 24 CFR part 135 implementing Section 3 ensure, to the greatest extent feasible, that training, employment, contracting and other economic opportunities be directed to low- and very low-income persons, especially recipients of government assistance for housing, and to businesses that provide economic opportunities to low-and very low-income persons where a proposed project is located.

To implement 24 CFR 135.9(a) of the Department’s Section 3 rules, program NOFAs where Section 3 applies include information regarding how Section 3 activities will be considered in rating the application, the evaluation criteria utilized, and the rating points assigned. (See 24 CFR 135.9(a).) Applicants subject to this requirement must describe their plans to train and employ Section 3 residents and contract with Section 3 businesses that prioritize Section 3. By submission of an application for programs covered by Section 3, applicants certify compliance with Section 3 requirements.

Section 3 fund recipients must comply with 24 CFR part 135. HUD encourages recipients to search the national Section 3 Business Registry to find local businesses that prioritize hiring Section 3 residents.

d. Improving Access to Services for Persons with Limited English Proficiency (LEP). Executive Order (E.O.) 13166 seeks to improve access to federally assisted programs and activities for individuals who, because of national origin, have LEP. Recipients of HUD funds shall take reasonable steps to ensure meaningful access to their programs and activities to LEP individuals. As an aid to recipients, HUD published Final Guidance to Federal Financial Assistance Recipients: Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons (LEP Guidance) in the Federal Register on January 22, 2007 (72 FR 2732). LEP guidance and LEP information is available on HUD’s website.

e. Accessible Technology. Section 508 of the Rehabilitation Act (Section 508) requires HUD to ensure, when developing, procuring, maintaining, or using electronic and information technology (EIT), that the EIT allows persons with disabilities to access and use information and data comparably to those without disabilities unless an undue burden would result to the Federal agency. HUD encourages its recipients to adopt the goals and objectives of Section 508 by ensuring comparable access whenever EIT is used.

Recipients must also comply with Section 504 of the Rehabilitation Act and, where applicable, the ADA.

These statutes also require effective communication with individuals with disabilities and prohibit EIT-imposed barriers to access information, programs, and activities by persons with disabilities. ( See Infor mation on accessible technology.)

f. Equal Access Housing in HUD Programs Regardless of Sexual Orientation or Gender Identity. The Equal Access Rule requires that a determination of eligibility for housing that is assisted by HUD or subject to a mortgage insured by the Federal Housing Administration (FHA) shall be made in accordance with the eligibility requirements provided for such program by HUD, and such housing shall be made available without regard to actual or perceived sexual orientation, gender identity or marital status. In addition, the rule prohibits owners or administrators of HUD-assisted or FHA insured housing, approved lenders in an FHA mortgage insurance program, or any other recipient or subrecipient of HUD funds from inquiring about the sexual orientation or gender identity of an applicant for or occupant of HUD-Assisted or insured housing.

Thus, HUD recipients and subrecipients must comply with 24 CFR 5.105(a)(2) when determining eligibility for housing assisted by HUD or insured by FHA and may not inquire about sexual orientation or gender identity to make such determinations. HUD’s definitions of sexual orientation and gender identity are at 24 CFR 5.100. HUD’s definition of family is at 24 CFR 5.403. (See other regulatory changes made through HUD’s Equal Access Rule at 77 FR 5662 Feb. 3, 2012.) HUD’s Equal Access Rule does not apply to the Department’s Native American housing programs.

http://www.section508.gov/ http://www.section508.gov/

Department’s Native American housing programs.

2. Equal Participation of Faith-Based Organizations in HUD Programs and Activities. Consistent with Executive Order (E.O.) 13279, “Equal Protection of the Laws for Faith-Based and Community Organizations,” as amended by E.O. 13559, “Fundamental Principles and Policy-making Criteria for Partnerships with Faith-Based and Other Neighborhood Organizations,” faith-based organizations are eligible to participate in HUD’s programs and activities on the same basis as any other organization.

HUD’s regulations on the equal participation of faith-based organizations are at 24 CFR 5.109. On April 4, 2016, HUD amended 24 CFR 5.109 consistent with E.O. 13559. (See 81 FR 19355). These regulations apply to all HUD programs and activities, including all of HUD’s Native American Programs, except as may be otherwise provided in the respective program regulations, or unless inconsistent with the respective program authorizing statute. These regulations provide, among other things, that a faith-based organization that participates in a HUD-funded program or activity retains its independence, and may continue to carry out its mission provided that it does not use direct Federal financial assistance to support or engage in any explicitly religious activities; an organization that engages in explicitly religious activities must separate those activities, in time or location, from activities supported by direct Federal financial assistance and participation must be voluntary; a faith-based organization that carries out programs or activities with direct Federal financial assistance from HUD must provide beneficiaries and prospective beneficiaries with a written notice of certain protections; beneficiaries and prospective beneficiaries may object to the religious character of an organization, upon which the organization must undertake reasonable efforts to identify and refer the beneficiary or prospective beneficiary to an alternative provider; and an organization that receives Federal financial assistance under a HUD program or activity may not discriminate against a beneficiary or prospective beneficiary on the basis of religion, religious belief, a refusal to hold a religious belief, or a refusal to attend or participate in a religious practice. (See 24 CFR 5.109).

3. OMB Administrative Requirements and Cost Principles. Unless excepted under HUD regulations (24 CFR chapters I through IX), the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards set forth in 2 CFR 200 apply to Federal awards made by HUD.

4. Reporting. HUD requires recipients to submit performance and financial reports under OMB guidance and program instructions.

a. Reporting Requirements and Frequency of Reporting. The Program NOFA and award agreement will specify the reporting requirements, including content, method of data collection, and reporting frequency.

Applicants should be aware that if the total Federal share of your Federal award may include more than $ 500,000 over the period of performance, you may be subject to post award reporting requirements reflected in Appendix XII to Part 200--Award Term and Condition for Recipient Integrity and Performance Matters.

b. Race, Ethnicity and Other Data Reporting. HUD requires recipients that provide HUD-funded program benefits to individuals or families to report data on the race, color, religion, sex, national origin, age, handicap (disability), and family characteristics of persons and households who are applicants for, participants in, or beneficiaries or potential beneficiaries of HUD programs in order to carry out the Department’s responsibilities under the Fair Housing Act, Executive Order 11063, Title VI of the Civil Rights Act of 1964, and Section 562 of the Housing and Community Development Act of 1987. Program NOFAs may specify the data collection and reporting requirements. Many programs use the Race and Ethnic Data U.S. Department of Housing OMB Approval No. 2535-0113 Reporting Form HUD-27061.

c. Performance Reporting. All HUD funded programs require recipients to submit, not less than annually, a report documenting achievement of outcomes under the purpose of the program and the work plan in the award agreement.

5. Participation in a HUD-Sponsored Program Evaluation. As a condition of receiving financial assistance under a Program NOFA, all recipients must cooperate with all HUD staff, contractors, or designated recipients performing research or evaluation studies funded by HUD. By submitting an application, applicants agree to this requirement.

6. Environmental Requirements. Recipients and their contractors under a HUD-funded program that assists in physical development activities or property acquisition, are prohibited from acquiring, rehabilitating, converting, demolishing, leasing, repairing, or constructing property, or committing or expending HUD or other funds for these types of program activities, until one of the following has occurred:

a. HUD completes an environmental review under 24 CFR 50; or

b. For programs subject to 24 CFR 58, HUD approves a recipient’s Request for Release of Funds following a responsible entity’s completion of an environmental review (Form HUD-7015.15).

Applicants must consult the Program NOFA to determine the procedures for, timing of, and any modifications or exclusions from environmental review under a particular program.

7. Real Property Acquisition and Relocation. Except as otherwise provided by Federal statute, programs or projects assisted with HUD grant funds are subject to the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (URA)(42 U.S.C. 4601-4655), and the government-wide implementing regulations issued by the Federal Highway Administration at 49 CFR 24.

The URA applies to acquisitions of real property for Federal or federally-assisted programs or projects and relocation of persons from real property as a direct result of acquisition, rehabilitation, or demolition for Federal or federally-assisted programs or projects.

Real property acquisition that satisfies the requirements of 49 CFR 24.101(b)(1) through (5) is not subject to the requirements of 49 CFR 24, subpart B. These acquisitions, commonly referred to as “voluntary acquisitions,” include those conducted without the threat or use of eminent domain. Records demonstrating compliance with these requirements must be maintained by the recipient. The URA's relocation requirements remain applicable to any tenant displaced by an acquisition that meets the requirements of 49 CFR 24.101(b)

(1) through (5).

The relocation requirements of the URA, and its implementing regulations at 49 CFR 24, cover any person who moves from real property or moves personal property from real property as a direct result of acquisition, rehabilitation, or demolition for a program or project receiving HUD assistance. While there are no URA statutory provisions for “temporary relocation,” the URA regulations recognize there are circumstances where a person will not be permanently displaced but may need to be moved from a project for a short period. Under the URA regulation any tenant temporarily relocated for a period beyond one year must be contacted by the displacing agency and offered URA permanent relocation assistance. (See Appendix A to 49 CFR 24.2(a)(9)(ii)(D).) Some HUD program regulations provide additional protections for temporarily relocated tenants. Before planning their project, applicants must review the regulations for the programs for which they are applying. The URA does not apply to displacements resulting from the demolition or disposition of public housing covered by Section 18 of the United States Housing Act of 1937. Individual Program NOFAs may have additional relocation guidance and requirements.

Applicants should visit HUD's Real Estate Acquisition and Relocation website for additional resources and guidance related to real property acquisition and relocation for HUD-funded programs and projects.

8. Eminent Domain. Section 407 of Div.K, Title IV of the Consolidated Appropriations Act, 2016 (Public Law 114-113) prohibits the use of funds to support any Federal, state, or local project that seeks to use the power of eminent domain, unless eminent domain is employed only for a public use. Public use shall not be construed to include economic development that primarily benefits private entities. Use of funds for mass transit, railroad, airport, seaport, or highway projects, and utility projects which benefit or serve the general public (including energy-related, communication-related, water-related, and waste water-related infrastructure), other structures designated for use by the general public or with other common-carrier or public-utility functions that serve the general public and are subject to regulation and oversight by the government, and projects for the removal of an immediate threat to public health and safety or brownfields, as defined in the Small Business Liability Relief and Brownfields Revitalization Act (Pub. L. 107-118), will be a public use for Section 407 purposes. Applicants for FY 2017 assistance under the programs governed by this General Section may be subject to this restriction if it is incorporated in HUD’s FY 2017 appropriation.

A notice will be published if this provision no longer applies following passage of HUD’s FY 2017 appropriation.

9. Procurement of Recovered Materials. State agencies and agencies of a political subdivision of a state using assistance under a Program NOFA for procurement, and any person contracting with such an agency regarding work performed under an assisted contract, must comply with the requirements of Section 6002 of the Solid Waste Disposal Act. Under Section 6002, and accompanying Environmental Protection Agency rules (40 CFR 247), these agencies and persons must procure items that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired in the preceding fiscal year exceeded $10,000; must procure solid waste management services in a manner that maximizes energy and resource recovery; and must have established an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. (See Section 6002 text and requirements.)

10. Ensuring the Participation of Small and Minority Businesses, and Women-Owned Businesses, and Labor Surplus Area Firms. Under 2 CFR 200.321, recipients, their sub-recipients and contractors must take all steps to assure that small and minority businesses, women's business enterprises, and labor surplus area firms are used when possible.

11. Drug-Free Workplace. Recipients and subrecipients awarded funds are subject to 2 CFR 2429, which implements the Drug-Free Workplace Act of 1988, as amended, (41 U.S.C. 701, et seq.), and requires recipients and subrecipients to provide a drug-free workplace. Recipients and subrecipients must:

a. Publish a statement notifying employees that it is unlawful to manufacture, distribute, dispense, possess, or use a controlled substance in the applicant’s workplace and such activities are prohibited;

b. Establish an ongoing drug-free awareness program;

c. Notify HUD and other Federal agencies providing funding in writing within 10 calendar days after receiving notice from an employee of a drug abuse conviction;

d. Require that each employee engaged in the performance of the federally funded award be given a copy of the drug-free workplace statement; and

e. Identify to the agency making the award all known workplaces under the award.

12. Safeguarding Resident/Client Files. In maintaining resident and client files, recipients will comply with the Privacy Act of 1974 (Privacy Act), HUD’s accompanying regulations, and state and local laws concerning disclosing individuals’ records. Recipients must comply with the Privacy Act in the design, development, or operation of any system of records on individuals and take reasonable measures to ensure that resident and client files are safeguarded, including when reviewing, printing, or copying client files.

13. Compliance with the Federal Funding Accountability and Transparency Act of 2006 (Pub.

L.109-282) (Transparency Act), as amended. Recipients of HUD’s financial assistance must report certain subawards in the Federal Subaward Reporting System (FSRS) or its successor system for all prime awards on the FSRS website. Recipients of financial assistance from HUD may also be required to report executive compensation information both for the prime award and subaward recipients, including awards made as pass-through awards or awards to contractors.

14. Physical Accessibility. For all HUD-funded activities:

a. Meetings must be held and services provided in facilities that are physically accessible to persons with disabilities. Where physical accessibility is not achievable, successful applicants must give priority to alternative methods of product or information delivery that offer programs and activities to qualified individuals with disabilities in the most integrated setting appropriate under HUD’s implementing regulations for Section 504 of the Rehabilitation Act of 1973 (See 24 CFR 8, subpart C.); and,

b. All notices of and communications during all training sessions and public meetings will be provided in a manner that is effective for persons with hearing, visual, and other communication-related disabilities or provide other means of accommodation for persons with disabilities consistent with Section 504 of the Rehabilitation Act and HUD’s Section 504 regulations, and Titles II or III of the ADA and implementing regulations. Recipients must provide appropriate auxiliary aids and services necessary to ensure effective communication, which includes ensuring that information is provided in appropriate accessible formats as needed, e.g., Braille, audio, large type, assistive listening devices, and sign language interpreters, accessible websites and other electronic communications. (See 24 CFR 8.6; 28 CFR 35.160, 36.303.)

15. Conducting Business in Accordance with Ethical Standards/Code of Conduct. Before entering into an agreement with HUD, applicants selected for award must ensure an up-to-date copy of the organization’s code of conduct, dated and signed by the Executive Director, Chair, or equivalent official, of the governing body of the organization has been submitted to HUD.

a. Codes of conduct must prohibit real and apparent conflicts of interest that may arise among officers, employees, or agents; prohibit the solicitation and acceptance of gifts or gratuities over minimal value by officers, employees, or agents for their personal benefit; and outline administrative and disciplinary actions available to remedy violations of such standards. (See 2 CFR 200.112 and 2 CFR 200.318.)

b. If the recipient has a parent, affiliate, or subsidiary organization, whether non-profit or for-profit, the recipient must also maintain written standards of conduct covering organizational conflicts of interest.

“Organizational conflicts of interest” means that because of relationships with a parent, affiliate, or subsidiary organization, the recipient is unable, or appears to be unable, to be impartial in administering the award or serving as a pass-through-entity.

16. Prohibition Against Lobbying Activities. Applicants are subject to Section 319 of Public Law 101-121, 31 U.S.C. 1352, (the Byrd Amendment) and 24 CFR part 87, which prohibit recipients of Federal contracts, grants, or loans from using appropriated funds for lobbying the executive or legislative branches of the Federal government for a specific contract, grant, loan, or cooperative agreement. In addition, applicants must disclose, using Standard Form LLL (SFLLL), “Disclosure of Lobbying Activities,” any funds, other than federally appropriated funds, that will be or have been used to influence federal employees, members of Congress, or congressional staff regarding specific grants or contracts. Federally-recognized Indian tribes and Tribally Designated Housing Entities (TDHEs) established by federally-recognized Indian tribes through the exercise of the tribe’s sovereign power are excluded from coverage of the Byrd Amendment, but State-recognized Indian tribes and TDHEs established only under state law will comply with this requirement. Applicants must submit the SFLLL if they have used or intend to use non-Federal funds for lobbying activities in connection with a covered Federal action.

17. Consistency with the Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI) or Assessment of Fair Housing (AFH). Certain competitive programs require applications to contain a certification of consistency with a HUD-approved Consolidated Plan. This certification means that the proposed activities, including the location(s), are consistent with the jurisdiction’s Consolidated Plan. The Consolidated Plan also includes the jurisdiction’s certification to affirmatively further fair housing, which means, among other requirements, that the jurisdiction has conducted an AI or has an accepted AFH. HUD will not fund applications that do not include certifications of consistency with the Consolidated Plan when submission is required under the Program NOFA. Please refer to the Program NOFAs for detailed guidance on compliance with this requirement.

D. Rules that affect how HUD evaluates applications

1. Standard Rating Factors Used to Evaluate Applications. HUD established five (5) standard award funding factors for most FY 2017 Program NOFAs. HUD may modify the five factors for a specific funding opportunity to reflect statutory and regulatory limitations or program needs.

Factor 1: Capacity of the Applicant and Relevant Organizational Staff

Factor 2: Need/Extent of the Problem

Factor 3: Soundness of Approach

Factor 4: Leveraging Resources

Factor 5: Achieving Results and Program Evaluation

Detailed instructions for responding to each of the five rating factors and the maximum points HUD will award for each are provided in the Program NOFA. Applicants should carefully read the factors for award described in the Program NOFA. When providing information to HUD in response to Rating Factor 1, do not submit Social Security numbers on any documents.

Each NOFA awards up to 100 points for the standard rating factors. Participating programs may award up to 2 preference points. See subsection D.2, immediately following, for additional information.

2. Preference Points. Applicants should review the Program NOFA to determine the availability of Preferred Sustainability Status (PSS) or Promise Zone preference points. Applications are eligible for a maximum of 2 points and will not receive credit in both preference categories.

a. Preferred Sustainability Status Preference Points. HUD will award 2 preference points to applicants working with communities that have received PSS under HUD's FY2011 Sustainable Communities Regional Planning Grant Program and/or HUD's FY2011 Community Challenge Planning Grant Program, hereafter referred to as the PSS Communities. For a list of Points of Contact for 2017 eligible communities click here.

Applicants submitting a Certification of Consistency with Sustainable Communities Planning and Implementa tion (HUD-2995) signed by the Designated PSS Community Point of Contact, will receive 2 preference points as described above. PSS information and additional guidance regarding PSS eligibility is available here.

b. Promise Zone Preference Points. Under the Administration’s Promise Zone (PZ) Initiative, HUD, the Department of Education, the Department of Justice, and the Department of Agriculture are collaborating to ensure that Federal resources support efforts to turn around 20 of the highest poverty communities across the country. As part of the PZ Initiative, applicants serving the urban, rural and tribal communities designated as Promise Zones may receive preference for funding. Applicants should review the Program NOFA to determine the availability of Promise Zone preference points. Applications are eligible for a maximum of 2 preference points in addition to the standard 100 points in a program NOFA.

Applicants submitting a Certification of Consistency with Promise Zone Goals and Implementation (HUD -50153) , signed by the authorized official for the designated Promise Zone, will receive 2 preference points as described above. Click here (PZ) for information about Promise Zones and lead organizations.

3. Past Performance. In evaluating applications for funding, HUD will take into account an applicant’s past performance in managing funds. Items HUD may consider include, but are not limited to:

a. The ability to account for funds appropriately;

b. Timely use of funds received from HUD;

c. Timely submission and quality of reports submitted to HUD;

d. Meeting program requirements;

e. Meeting performance targets as established in the grant agreement;

f. The applicant’s organizational capacity, including staffing structures and capabilities;

g. Time-lines for completion of activities and receipt of promised matching or leveraged funds; and

h. The number of persons to be served or targeted for assistance.

HUD may deduct points from the rating score or establish threshold levels as specified under the Factors for Award in the Program NOFAs. Each Program NOFA will specify how past performance will be rated or otherwise used in the determination of award amounts.