fy12 hhts nofa final.pdf

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5600-N-07]

Notice of Funding Availability (NOFA) for HUD’s Fiscal Year (FY) 2012

Healthy Homes Technical Studies Program

OVERVIEW INFORMATION

A. Federal Agency Name: Department of Housing and Urban Development, Office of Healthy

Homes and Lead Hazard Control.

B. Funding Opportunity Title: Healthy Homes Technical Studies.

C. Announcement Type: Initial announcement.

D. Funding Opportunity Number: FR-5600-N-07, OMB Approval Number is 2539-0015.

E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.906, Healthy Homes

Technical Studies Grant Program.

F. Dates: The application deadline is 11:59:59 eastern time on January 31, 2012. Applications must be received and validated by Grants.gov no later than 11:59:59 pm eastern time on the application deadline date. Applicants need to be aware that following receipt, applications go through a validation process in which the application may be accepted or rejected. Please allow time for this process to ensure that you meet the timely receipt requirements. Please see the 2012 General Section for instructions for timely receipt, including actions to take if the application is rejected. Applicants should carefully read the section titled “APPLICATION and

SUBMISSION INFORMATION” in the 2012 General Section, posted to www.Grants.gov on

September 19, 2011. This section contains information on using Adobe Reader, HUD’s timely receipt policies, and other application information.

FOR FURTHER INFORMATION CONTACT: Questions regarding specific program requirements should be directed to the agency contact identified in this program NOFA.

Questions regarding the FY2012 General Section should be directed to the Office of Strategic

Planning and Management, Grants Management Division at 202-708-0667 (this is not a toll-free number). Persons with hearing or speech impairments may access these numbers via TTY by calling the Federal Relay Service at 800-877-8339.

ADDITIONAL INFORMATION:

1. Purpose. To fund technical studies to improve existing methods for detecting and controlling key housing-related health and safety hazards; to develop new methods to detect and control these hazards; and to improve our knowledge of key housing-related health and safety hazards.

2. Available Funds. HUD anticipates that approximately $2.5 million will be available to fund awards under this NOFA. Fiscal Year 2012 funds are authorized under the Department of

Housing and Urban Development Appropriations Act, 2012 (Public Law 112-55), approved on

November 18, 2011.

http://grants.gov/ http://www.grants.gov/

3. Anticipated Awards. The maximum amount for a grant award is $700,000. Approximately 3 to

5 awards will be made for the Healthy Homes Technical Studies Program, ranging from approximately $300,000 to a maximum of $700,000 each.

4. Type of Awards. Cooperative agreements, with substantial involvement of the government, will be awarded (see Section II.C for a description of substantial involvement).

5. Eligible Applicants. Academic, not-for-profit and for-profit institutions located in the U.S., state and units of local government, and federally recognized Native American tribes are eligible to apply. For-profit firms are not allowed to earn a fee (i.e., make a profit from the project).

6. Cost Sharing or Matching Funds. Cost sharing or “matching” is not required; however, applicant “leveraging” contributions are encouraged (see Section V.A.3.d).

7. Number of Applications. There is no limit on the number of applications that each applicant may submit.

8. Grants.gov. The applications for these NOFAs can be found at Grants.gov. The FY2012

General Section contains information on submission requirements and procedures. Please carefully review the FY2012 General Section before reading the program section so that you understand the Grants.gov electronic application process.

FULL TEXT OF ANNOUNCEMENT

I. FUNDING OPPORTUNITY DESCRIPTION

A. PURPOSE OF THE PROGRAM.

The overall goal of the Healthy Homes Technical Studies program is to gain knowledge to improve the efficacy and cost-effectiveness of methods for evaluation and control of housing related health and safety hazards. This also supports HUD’s Strategic Goal to utilize housing as a platform for improving the quality of life and health outcomes for those living in HUD-assisted and HUD-regulated housing, and the associated policy priority to build inclusive and sustainable communities by improving the health of community residents while reducing the impact of communities on the environment.

B. PROGRAM DESCRIPTION.

HUD is funding studies to improve HUD’s and the public’s knowledge of housing-related health and safety hazards, and to improve or develop new hazard assessment and control methods, with a focus on key residential health and safety hazards. Key hazards are discussed in Appendix A, Key Residential Health and Safety Hazards, of this NOFA. A list of references that serves as the basis for the information provided in this NOFA is provided as Appendix B, Relevant Publications and Guidelines.

1. General Goals.

The overall goals and objectives of the Healthy Homes (HH) Program (formerly the Healthy

Homes Initiative), which includes the Healthy Homes Technical Studies and the Healthy Homes

Production Grant Program (see the Healthy Homes Production Grant Program NOFA published separately) are to: (1) Mobilize public and private resources, involving cooperation http://grants.gov/ among all levels of government, the private sector, grassroots community-based organizations, including faith-based organizations, and other non-profit organizations, to develop and implement the most promising, cost-effective methods for identifying and controlling housing-related hazards; and, (2) Build local capacity to operate sustainable programs that will continue to prevent, minimize, and control housing-related hazards in low- and very low-income residences when HUD funding is exhausted.

The HH Program departs from the more traditional programmatic approach of focusing on single health and safety issues attempting to correct one hazard at a time (e.g., lead hazards, radon). HUD is interested in promoting approaches that are cost-effective and efficient and result in the reduction of health threats for the maximum number of residents and, in particular, children and other vulnerable populations in low income households.

In April 1999, HUD submitted a preliminary plan that described the HH Initiative to

Congress. The submission (Summary and Full Report), and a description of the HH Initiative are available on the HUD website at http://www.hud.gov/offices/lead/hhi/index.cfm. This plan was updated with the publication of the Healthy Homes Strategic Plan in 2009 (see:

http://www.hud.gov/offices/lead/library/hhi/DraftHHStratPlan_9.10.08.pdf) .

In addition to deficiencies in basic housing conditions that may impact health, research has identified other more subtle health hazards in the residential environment (e.g., asthma triggers, volatile and semi-volatile organic compounds, pesticide residues). While some hazards will be found disproportionately in housing that is substandard (e.g., structural problems, lack of adequate heating and cooling, moisture infiltration), housing-related environmental hazards may also exist in housing that is otherwise of good quality. Appendix A of this

NOFA briefly describes the key housing-associated health and injury hazards HUD considers targets for intervention. HUD has also developed resource papers on a number of topics of importance under the HH Program, including mold, environmental aspects of asthma, carbon monoxide, pesticides, and unintentional injuries. These resource papers can be downloaded at http://www.hud.gov/offices/lead/hhi/hhiresources.cfm.

Applications for additional work related to ongoing HUD-funded technical studies (i.e., for work outside of the scope of the original agreement) are eligible to compete with applications for awards on new subjects. These applications will be evaluated in the same manner as new applicants. Brief descriptions of current and recently completed Healthy Homes Technical

Studies projects and grantee contact information can be found on the HUD website at http://www.hud.gov/offices/lead/hhi/hhigranteeinfo.cfm.

2. Community Participation.

HUD believes that it is important for researchers to incorporate some aspect of meaningful community participation in the development and implementation of studies that are conducted in communities and/or involve significant interaction with community residents. Community participation can improve study effectiveness in various ways, including the development of more appropriate research objectives, improving recruitment and retention of study participants, improving participants’ involvement in and understanding of a study, improving ongoing communication between researchers and the affected community, and more effectively disseminating study findings. HUD encourages applicants to consider using a “community based participatory research” (CBPR) approach, where applicable, in study design and http://www.hud.gov/offices/lead/hhi/index.cfm http://www.hud.gov/offices/lead/library/hhi/DraftHHStratPlan_9.10.08.pdf http://www.hud.gov/offices/lead/hhi/hhiresources.cfm.

http://www.hud.gov/offices/lead/hhi/hhigranteeinfo.cfm.

implementation. (See, e.g., the report published by the National Institute of Environmental

Health Sciences titled “Successful Models of Community-Based Participatory Research” at:

http://portal.hud.gov/hudportal/documents/huddoc?id=DOC_12485.pdf.

CBPR is characterized by substantial community input in all phases of a study (i.e., design, implementation, data interpretation, conclusions, and communication of results).

C. AUTHORITY.

The Healthy Homes Technical Studies program is authorized under sections 501 and 502 of the

Housing and Urban Development Act of 1970 (12 U.S.C. §§ 1701z-1 and 1701z-2). Fiscal Year

2012 funds are authorized under the Department of Housing and Urban Development

Appropriations Act, 2012 (Public Law 112-55), approved on November 18, 2011.

D. CHANGES IN THE FY2012 NOFA.

The following is a summary of major changes in this NOFA relative to the FY2011 Healthy

Homes Technical Studies NOFA. This is not intended to be an exhaustive list, so applicants should be sure to read the entire NOFA.

1. Funding for New Applicants. Up to $700,000 is available for qualified “new applicants,” i.e., organizations that have not received a HUD Healthy Homes Technical Studies Program award as the primary grantee (note: up to $1 million was reserved for this purpose in the FY2011

Healthy Homes Technical Studies NOFA).

2. Principal Investigator (PI). The PI for the proposed study must directly represent the organization that is submitting the application and must be compensated directly by the applicant

(i.e., the PI cannot be compensated for work under an award through a sub recipient). If a co-PI arrangement is proposed, the lead co-PI must directly represent and be compensated directly by the applicant.

3. Maximum Grant Awards. The maximum funding for an award under this NOFA is

$700,000 for the entire period of the grant.

4. Bonus Points. Under this NOFA, HUD will not award bonus points to applicants that are working with Preferred Sustainability Status recipients of grants through the FY2010 and

FY2011 HUD Sustainable Communities Regional Planning Grant Program or the FY2010 or

FY2011 HUD-funded Challenge Grant Program. RC/EZ/EC-II Bonus Points are available.

5. Forms. Applicants must include forms HUD-96012 (Capacity of the Applicant and Relevant

Organizational Experience) and HUD-96015 (Leveraging Resources) with your responses to rating factors 1 and 4, respectively. (note: these forms have been required under previous

Healthy Homes Technical Studies NOFAs but were not required in FY 2011).

II. AWARD INFORMATION

A. FUNDING AVAILABLE

1. Cooperative Agreements. Cooperative agreements will be awarded on a competitive basis http://portal.hud.gov/hudportal/documents/huddoc?id=DOC_12485.pdf following evaluation of all eligible proposals according to the rating factors described in

Section V.A.3. HUD anticipates that approximately 3 to 5 awards will be made ranging from approximately $300,000 to a maximum of $700,000 per award.

2. New Applicants. HUD anticipates that up to $700,000 will be available for qualified “new applicants,” i.e., organizations that have not been previously funded by the Office of Healthy

Homes and Lead Hazard Control (OHHLHC) under the Healthy Homes Technical Studies

Grant Program as the primary grantee. A “new applicant” may have previously been a subgrantee under an award to another organization. If there are not enough qualified new applicants for funding, any remaining funds will be made available to other applicants based on the final ranking.

B. Anticipated Start Date and Period of Performance for New Grants.

The start date for new awards is expected to be not later than May 30, 2012. The period of performance cannot exceed 36 months from the time of award. The proposed performance period should include adequate time for such project components as the Institutional Review

Board process, if required, the recruitment of study participants and/or new staff, and the development of new instrumentation or methods (e.g., analytical methods), all of which have been found to delay projects in the past. Period of performance extensions for delays due to exceptional conditions beyond the grantee's control will be considered for approval by HUD in accordance with 24 CFR 84.25(e)(2) or 85.30(d)(2), as applicable, and the OHHLHC

Program Guide. If requested and determined to be appropriate and subsequently approved by

OHHLHC, grantees will be eligible to receive a single extension of up to 12 months in length.

C. Type of Award Instrument.

Awards will be made as cooperative agreements. Anticipated substantial involvement by HUD staff for cooperative agreements may include, but will not be limited to:

1. Review and suggestion of amendments to the study design, including: study objectives; field sampling plan; data collection methods; sample handling and preparation; and sample and data analysis.

2. Review and provision of technical recommendations in response to quarterly progress reports

(e.g., amendments to study design based on preliminary results).

3. Review and provision of technical recommendations on the journal article(s) and final study report.

III. ELIGIBILITY INFORMATION

A. Eligible Applicants.

1. Academic and non-profit institutions located in the United States, state and units of local government and federally recognized Native American tribes are eligible under all existing authorizations. For-profit firms also are eligible; however, they are not allowed to earn a profit from the grant. Applications to supplement existing projects are eligible to compete with applications for new awards. Neither Federal agencies nor individuals are eligible to submit applications. The 2012 General Section identifies threshold requirements that must be met for an organization to receive an award.

2. If your organization received an award under the FY2011 Healthy Homes Technical Studies

Grant Program cycle, you are not eligible to apply, unless you apply with a different Principal

Investigator.

B. Cost Sharing or Matching. Cost sharing or matching is not required. In rating your application, however, you will receive a higher score under Rating Factor 4 if you provide evidence of significant resource leveraging.

C. Other:

1. Eligible Activities.

(1) HUD expects to advance the recognition and control of residential health and safety hazards and more closely examine the link between housing and health. The overall objectives of the Healthy Homes Technical Studies Program include, but are not limited to:

(a) Development and evaluation of low-cost test methods and protocols for identification and assessment of housing-related hazards.

(b) Development and assessment of cost-effective methods for reducing or eliminating housing-related hazards.

(c) Evaluation of the effectiveness of housing interventions including educational interventions, and barriers and incentives affecting future use of the most cost-effective strategies.

(d) Investigation of the epidemiology of housing-related hazards and illness and injuries associated with these hazards, with an emphasis on vulnerable populations (e.g., children, senior citizens).

(e) Analysis of existing data or generation of new data to improve knowledge regarding the prevalence and severity of specific hazards in various classes of housing, with a focus on low-income housing.

(f) Improved understanding of the relationship between a residential exposure and illness or injury of children or other vulnerable populations. Applicants that propose this type of study should discuss how the knowledge that is gained from the study could be used in a program to reduce these hazards in target communities.

(g) Development of low-cost analytical techniques and instruments for the rapid, on- and off-site determination of environmental contaminants of concern (e.g., bioaerosols, pesticides, allergens). HUD’s primary interest is in the improvement of existing instruments or methods, and not in the development of new technologies or instruments. The OHHLHC has noted that research focused on the development of new technologies pose a high risk of experiencing significant delays and not achieving their objectives. Applicants seeking to develop new technologies/instruments should discuss why, if funded, their proposed project would be unlikely to experience significant delays and would be likely to meet its objectives.

(h) The effect of green construction, building renovation, rehabilitation, or maintenance on measures of indoor environmental quality (IEQ). HUD encourages applicants to consider the study of housing that has been rated using one of the existing voluntary guidelines (e.g., U.S.

EPA’s Indoor Air Plus, Enterprise Community Partners Green Communities Criteria, U.S.

Green Building Council’s LEED for Homes, the National Green Building Standard (ICC 700-

2008, approved by the American National Standard Institute). For more information on green building guidelines, please see Appendix B.

(2) HUD is particularly interested in the following topics:

(a) Improving or assessing the efficacy of current methods for residential Integrated Pest

Management (IPM). (See, for example, the Healthy Housing Reference Manual

(HUD/Centers for Disease Control and Prevention (CDC), 2006) and the CDC’s IPM web page, http://www.cdc.gov/nceh/ehs/Topics/VectorControl.htm.)

(b) Developing easily replicable, cost-effective methods for preventing and controlling excess moisture and mold in various types of residential buildings.

(c) Improving indoor air quality, such as through cost-effective approaches to upgrading residential ventilation or improving control/management of combustion appliances. Applicants should discuss how proposed approaches might affect residential energy consumption and/or costs (e.g., increasing air exchange rates resulting in an increase in heating and cooling costs) and how significantly increased energy consumption and/or costs can be avoided or mitigated.

(d) Rigorous evaluation of policies that contribute to the supply of affordable, healthy and energy efficient housing.

(e) Evaluating the effectiveness of education and outreach methods designed to provide at risk families (including minority families and those with limited English proficiency) with the knowledge to adopt self-protective behaviors with respect to residential health hazards. If you propose a study in this focus area you should cite and discuss the theoretical basis for the education/outreach approach that you are proposing.

(f) Conducting cost-benefit or cost-effectiveness studies on the health benefits of healthy homes interventions in high risk populations (e.g., implementation of smoke-free housing policies, reductions in the incidence of injuries among children or the elderly, reductions in asthma morbidity through improvements to indoor environmental quality). Applicants are encouraged to team with existing projects or studies through which the housing interventions are being conducted.

(g) Injury Prevention Measures: HUD is interested in demonstrating the feasibility and cost-effectiveness of incorporating injury prevention measures into residential programs, including green renovation and rehabilitation programs. Such measures (e.g., grab bars in showers, anti-scald devices, lockable medicine cabinets) are not typically included in building programs but could be incorporated to enhance the effects of the program on resident safety and health.

http://www.cdc.gov/nceh/ehs/Topics/VectorControl.htm.)

(h) Other Focus Areas that are Consistent with the Overall Goals of HUD’s Healthy

Homes Technical Studies Program. HUD will consider funding applications for technical studies on other topics that are consistent with the overall goals and objectives of the Healthy

Homes Technical Studies program, as described above. In such instances, for an applicant to receive an award, it is necessary that the applicant describe in sufficient detail how the proposed study is consistent with the overall program goals and objectives.

2. General Information. In proposing to conduct a study on a particular topic, applicants should consider:

a. The ability of the study to generate definitive results. Because the size of the awards under this NOFA limits the ability of applicants to design and implement research on health outcomes using the strongest methodology (i.e., a randomized controlled trial), applicants should consider focusing on important IEQ measures instead of health outcomes in studies where this is appropriate. A focus on environmental outcomes is generally expected to produce more definitive results as opposed to a health outcomes focus, and the impact of improvements to

IEQ on health outcomes can be inferred where the evidence base is sufficient.

b. The “fit” of the proposed hazard assessment and/or control methods within the overall goal of addressing “priority” health and safety hazards in a cost-effective manner;

c. The expected efficacy of the proposed methods for hazard control and risk reduction.

Questions to consider include the degree to which interventions would be accepted by occupants; ease and cost of implementation and the length of time the intervention would stay effective;

d. Where and how these methods would be applied and tested, and/or perform demonstration activities; and

e. The degree to which the study will help develop practical, widely applicable and accepted methods and protocols or improve our understanding of a residential health hazard.

Applicants should consider the efficiencies that might be gained by working cooperatively with one or more recipients of HUD’s Healthy Homes Production grants or

Lead-Based Paint Hazard Control or Lead Hazard Reduction Demonstration grants, which are widely distributed throughout the United States. Information on current grantees is available at http://www.hud.gov/offices/lead/assistance.cfm.

You may address one or more than one of the above technical studies topic areas within your proposal, or submit separate applications for different topic areas.

NOTE: A limited amount of hazard control activities, which involve construction rather than research, may be conducted as part of a Healthy Homes Technical Studies project (see Section

IV.E.9).

3. Threshold Requirements Applicable to all Applicants. To receive an award of funds from HUD, you must meet all threshold requirements set forth in section III.C.2 of the 2012

General Section, and must be an eligible applicant under this NOFA.

http://www.hud.gov/offices/lead/assistance.cfm.

4. Program Requirements.

a. Program Performance. Grantees shall take all reasonable steps to accomplish all activities within the approved period of performance. HUD reserves the right to terminate the cooperative agreement prior to the expiration of the period of performance if the grantee fails to make reasonable progress in implementing the approved program of activities or fails to comply with the terms of the cooperative agreement.

b. Regulatory Compliance. Grantees must comply with all relevant federal, state, and local regulations regarding exposure to and proper disposal of hazardous materials.

c. Blood Lead Testing. Any blood lead testing, blood lead level test results, medical referral, or follow-up for children under 6 years of age must be conducted according to the recommendations of the Centers for Disease Control and Prevention (CDC), Preventing Lead

Poisoning in Young Children (see Appendix B of this NOFA).

d. Restricted Use of Funds. HUD technical studies grant funds will not replace existing resources dedicated to any ongoing project.

e. Laboratory Analysis for Lead. Laboratory analysis covered by the EPA’s National Lead

Laboratory Accreditation Program (NLLAP) must be conducted by a laboratory recognized under the program, unless approved by HUD.

f. Laboratory Analysis for Mold. Samples to be analyzed for mold (fungi) must be submitted to a laboratory accredited through the Environmental Microbiological Laboratory Accreditation

Program (EMLAP), administered by the American Industrial Hygiene Association (AIHA), unless approved by HUD.

g. Human Research. Human research subjects will be protected from research risks in conformance with Federal Policy for the Protection of Human Subjects, required by HUD at 24

CFR 60.101, which incorporates the Department of Health and Human Services (DHHS)

Protection of Human Subjects regulation at 45 CFR part 46.

h. OSHA Compliance. The requirements of the Occupational Safety and Health Administration

(OSHA) (e.g., 29 CFR part 1910 and/or 1926, as applicable) or the state or local occupational safety and health regulations, whichever are most stringent, will be met.

i. Civil Rights. The institution administering the grant must comply with all nondiscrimination requirements as set forth in section III.C.5 of the FY2012 General Section.

j. Disclosure. All test results and other information in pre-1978 housing related to lead-based paint or lead-based paint hazards must be provided to the owner of the unit, together with a statement describing the owner’s legal duty to disclose the knowledge of lead-based paint and its hazards to tenants (before initial leasing, or before lease renewal with changes) and buyers

(before sale) (24 CFR Part 35, subpart A). Disclosure of other identified housing-related health or safety hazards to the owner of the unit, for purposes of remediation, is encouraged but not required by HUD.

k. Privacy. Submission of any information to databases (whether website, computer, paper, or other format) of addresses of housing units identified, treated or cleared under these studies is subject to the protections of the Privacy Act of 1974, and shall not include any personal information that could identify any household member. You should also check to ensure you meet state and local privacy regulations.

l. Community Involvement. Applicants must incorporate meaningful community involvement into any study that requires a significant level of interaction with a community during implementation (e.g., projects being conducted within occupied dwellings or which involve surveys of community residents). The term community refers to a variety of populations comprised of persons who have commonalities that can be identified (e.g., based on geographic location, ethnicity, health condition, common interests). Applicants should identify the community that is most relevant to their particular project. Meaningful community involvement also requires that recipients ensure that information provided to the community during these activities is provided in a manner that is effective for persons with disabilities (See

24 CFR § 8.6) and gives meaningful access to persons with limited English proficiency (LEP).

There are many different approaches to involving the community in the conception, design, and implementation of a study and the subsequent dissemination of findings. Examples include but are not limited to: establishing a structured approach to obtain community input and feedback

(e.g., through a community advisory board); including one or more community-based organizations as study partners; employing community residents to recruit study participants and collect data;

and enlisting the community in the dissemination of findings and translation of results into improved policies and/or practices. A discussion of community involvement in research involving housing-related health hazards can be found in Chapter 5 of the Institute of Medicine publication titled “Ethical Considerations for Research on Housing-Related Health Hazards

Involving Children” (see Appendix B for more information on this report).

m. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. § 1701u) applies to this program when activities conducted pursuant to this NOFA include housing construction or rehabilitation

(including reduction and abatement of lead-based paint hazards). Section 3 requires that, to the greatest extent feasible, training, employment, contracting, and other economic opportunities 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 are directed to low- and very low-income persons in the area in which the project is located. For more information on these requirements, see 24 CFR Part 135 and section III.C.5.d of the 2012

General Section.

n. Standardized Dust Sampling Protocol and Quality Control Requirements. Grantees collecting samples of settled dust from participant homes for environmental allergen analyses (e.g., cockroach, dust mite) will be required to use a standard dust sampling protocol, unless there is a strong justification to use an alternate protocol (e.g., the study involves the development of an alternative sampling method). The HUD protocol can be found on the OHHLHC website at:

http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. Grantees conducting these analyses may also be required to include quality control dust samples, provided by OHHLHC at no cost to the grantee, with the samples that are submitted for laboratory analyses.

o. Requirements for peer review of scientific data in accordance with the Office of Management and Budget Information Quality Guidelines. All HUD-sponsored research is subject to the OMB http://www.hud.gov/offices/lead/hhi/hhiresources.cfm

Final Information Quality Bulletin for Peer Review (70 FR 2664-2677, January 14, 2005) prior to its public dissemination. In accordance with paragraph II.2 of the Bulletin, HUD will not require further peer review conducted on information that has already been subjected to adequate peer review.

p. Principal Investigator (PI) The PI for the proposed study must directly represent and be directly employed by the applicant for the proposed role in the grant application. If the proposal includes co-PIs, the lead co-PI must represent and be directly employed by the applicant.

5. DUNS Requirement. Refer to the FY2012 General Section for information regarding the DUNS requirement. A DUNS number must be provided for the institution that is submitting an application. Your DUNS number must be included in your electronic application submission.

Be sure to use the DUNS number that you use to register as an Authorized Organization

Representative (AOR) with Grants.gov. Be sure that your eBusiness Point of Contact has authorized you to submit an application on behalf of the applicant organization (see the FY2012

General Section for details about the Grants.gov registration process).

IV. APPLICATION AND SUBMISSION INFORMATION

If you are interested in applying for funding under this program, please review carefully the FY2012

General Section and the following additional information.

A. ADDRESSES TO REQUEST APPLICATION PACKAGE. All applications must be submitted electronically. The information required to submit an application is contained in the program section of this NOFA and the FY2012 General Section. Applications can be downloaded from the web at: http://www.grants.gov/applicants/apply_for_grants.jsp.

Grants.gov provides customer support information on its website at http://www.grants.gov/contactus/contactus.jsp. Applicants having difficulty accessing the application and instructions or having technical problems can receive customer support from

Grants.gov by calling (800) 518-GRANTS (this is a toll-free number) or by sending an email to support@grants.gov. (Hearing- or speech-challenged individuals may access this number through TTY by calling the toll-free Federal Relay Service at 800-877-8339.) The Grants.gov

Help Desk can be reached twenty-four hours per day, seven days per week, except federal holidays. HUD recommends calling the Help Desk rather than emailing, because determining the basis for the problem may take some conversation with the Grants.gov Support Customer Service

Representative.

B. CONTENT AND FORM OF APPLICATION SUBMISSION.

1. Applicant Data. Your application must contain the items listed in this section. These items include the standard forms contained in the FY2012 General Section that are applicable to this funding announcement (collectively referred to as the "standard forms"). Copies of these forms are available on line at http://www.grants.gov/applicants/apply_for_grants.jsp. The required items are:

a. Application Abstract (two page maximum). An abstract with the project title, the names and affiliations of all investigators, and a summary of the objectives, study design and expected results, and must be included in the proposal. Information contained in the abstract will not be considered in the evaluation and scoring of your application, and will not be counted towards the http://grants.gov/ http://grants.gov/ http://www.grants.gov/applicants/apply_for_grants.jsp http://grants.gov/ http://www.grants.gov/contactus/contactus.jsp http://grants.gov/ mailto:to_support@grants.gov mailto:to_support@grants.gov http://grants.gov/ http://www.grants.gov/applicants/apply_for_grants.jsp

25 page maximum. Any information you wish to be considered should be provided under the appropriate rating factor response.

b. All forms as required by the FY2012 General Section. Form HUD2991_Certification_of_

Consistency_with_the_Consolidated_Plan is not required with the application for this program.

c. Response to Rating Factors. A project description/narrative statement addressing the rating factors for award. The narrative statement must be identified in accordance with each factor for award (Rating Factors 1 through 5). Number the pages of your narrative statement. The project description or narrative must be included in the responses to the rating factors. The response to the rating factors should not exceed a total of 25 pages, single-sided, with a minimum 12-point font and a minimum margin width of 1-inch on all sides. Any pages in excess of this limit will not be read. The points you receive for each rating factor will be based on the portion of your narrative statement that you submit in response to that particular factor, supplemented by any appendices that are referenced in your narrative response to the rating factor. Supporting materials that are not referenced or discussed in your responses to the individual rating factors will not be considered. Additional materials (e.g., appendices) must be submitted with your application according to the directions in the FY2012 General Section. The footer on the pages of these materials should identify the rating factor that they are supporting.

d. Supporting Materials. Include the resumes of the principal investigator and other key personnel and other materials that are needed in your response to the rating factors (e.g., organizational chart, letters of commitment, a list of references cited in your responses to the rating factors). Each resume shall not exceed three pages, and is limited to information that is relevant in assessing the qualifications and experience of key personnel to conduct and/or manage the proposed technical studies. This information will not be counted towards the Rating

Factors narrative 25-page limit.

e. Additional Information. Submit other optional information provided in support of your application following the directions in the FY2012 General Section. These additional optional materials must not exceed 20 pages. Any pages in excess of this limit will not be read. Do not include additional narrative information that is an extension of or expands upon any of your rating factor responses. Such narrative will not be considered.

f. Budget. Include a total budget using form HUD424CBW with supporting cost justification of up to four pages, which will cover all budget categories of the federal grant request. This information will not be counted towards the Rating Factors narrative 25-page limit. Use the budget format discussed in Rating Factor 3, Section V.A.3.c, below. In completing the budget forms and justification, you should address the following elements:

(1) Labor. Direct Labor costs, including all full- and part-time staff required for the planning and implementation phases of the project. These costs should be based on full time equivalent

(FTE) or hours per year (hours/year) (i.e., one FTE equals 2,080 hours/year);

(2) Travel. Allowance for one trip to HUD Headquarters in Washington, DC, for each year of your grant, planning each trip for one person. The first trip will occur shortly after grant award for a stay of two or three days, depending on your location, and the remaining trips will have a stay of one or two days, depending on your location;

(3) Budget Form and Justification. A separate budget form and justification for each sub-recipient receiving more than 10 percent of the total federal budget request;

(4) Documentation. Supporting documentation for salaries and prices of materials and equipment, upon request; and

(5) Indirect Cost Rates. Organizations that have a federally negotiated indirect cost rate should use that rate and the appropriate base. The documentation will be verified during award negotiations and should not be included in this application submission. Organizations that do not have a federally negotiated rate schedule must obtain a rate from their cognizant federal agency;

otherwise the organization will be required to obtain a negotiated rate through HUD.

g. Checklist for Technical Studies Program Applicants.

(1) Applicant Abstract (limited to 2 pages)

(2) Rating Factor Responses (Total narrative response limited to 25 pages.)

(a) Capacity of the Applicant and Relevant Organizational Experience (20 points)

(b) Need/Extent of the Problem (15 points)

(c) Soundness of Approach (49 points)

(d) Leveraging Resources (6 points)

(e) Achieving Results and Program Evaluation (10 points)

(f) Bonus Points (RC/EZ/EC-II) (2 points)

(3) Required materials in response to rating factors (does not count towards 25-page limit)

(a) Resumes of Key Personnel (limited to 3 pages per resume; please do not include

Social Security Numbers on resumes)

(b) Organizational Chart

(c) Letters of Commitment (if applicable) – Letters of commitment should include language defining the activities to be performed, the contributions to be made, and the monetary value of each.

NOTE: HUD recommends against including letters of support that do not commit services, materials, or funds; they will not add to the consideration of your application.

(d) Affirmatively Furthering Fair Housing Requirements (if applicable)– If the Affirmatively Furthering Fair Housing requirements apply to your proposed project as described in Section V.A.3.c(5)(a), below, you must include the applicable narrative discussed in that section in your application; failure to comply will result in the application not being considered for award.

(4) Optional material in support of the Rating Factors (20 page limit)

(5) Required Forms and Budget Material

(a) Form SF424_Application_for_Federal_Assistance (Be sure to correctly identify the NOFA title, Funding Opportunity Number, and CFDA number. Applicants must also include the nine digit zip code (zip code plus four digits) associated to the applicant address in box 8d of the SF424.

(b) Form HUD424CBW_Budget_Worksheet for the entire project.

(c) Budget justification narrative for each form HUD424CBW submitted.

(d) Form HUD96012_Capacity_of_the_Applicant_and_Relevant_Organizational_

Experience).

(e) Form HUD96015_Leveraging_Resources.

(f)FormSF424Supplement_Survey_on_Ensuring_Equal_Opportunities_for_

Applicants (Faith_Based_EEO_Survey SF424SUPP) on Grants.gov (to be completed by private nonprofit organizations only).

(g) Form SFLLL_Disclosure_of_Lobbying_Activities (indicate “not applicable” on the form and submit the signed form if there are no lobbying activities to disclose).

(h) Form HUD2880_Applicant/Recipient_Disclosure/Update_Report

("HUD_Applicant Recipient_Disclosure_Report" on Grants.gov)

(i) Form HUD2990_Certification_of_Consistency_with_the_RC/EZ/ECII

Strategic Plan (required only for applicants who are seeking these 2 bonus points)

(ii)FormHUD96011_Third_Party_Documentation_Facsimile_Transm ittal (“Facsimile Transmittal Form” on Grants.gov) (Used as the cover page to transmit third party documents and other information designed for each specific application for tracking purposes. HUD will not read faxes that do not use the HUD96011 as the cover page to the fax.)

C. RECEIPT DATES AND TIMES.

1. Electronic applications must be received and validated by Grants.gov on or before 11:59:59

PM eastern time on the application deadline date of January 31, 2012. Refer to the FY2012

General Section for submission requirements.

Please allow time for this process to ensure that you meet the timely receipt requirements. Please see the 2012 General Section for instructions for timely receipt, including actions to take if the application is rejected. Applicants should carefully read the section titled “INSTRUCTIONS ON HOW TO DOWNLOAD AN APPLICATION

PACKAGE AND APPLICATION INSTRUCTIONS”. This section contains information on using Adobe Reader, HUD’s timely receipt policies, and other application information.

http://grants.gov/ http://grants.gov/

D. INTERGOVERNMENTAL REVIEW. This NOFA is excluded from the requirement of an Intergovernmental Review.

E. Funding Restrictions.

1. Administrative Costs. There is a 10 percent maximum allowance for administrative costs.

For each kind of organization, a set of Federal principles determines allowable costs. Allowable costs shall be in accordance with the cost principles applicable to the organization incurring the costs. Specifically, see 2 CFR 220 - Cost Principles for Educational Institutions, 2 CFR 225 -

Cost Principles for State, Local, and Indian Tribal Governments, or 2 CFR 230 - Cost Principles for Nonprofit Organizations. (OMB relocated its cost principles Circulars A-21, regarding educational institutions, A–87, regarding governments, and A-122, regarding nonprofits, to title

2 of the Code of Federal Regulations; the regulations supersede the circulars (70 Federal

Register 51880, 51910, and 51927, respectively, August 31, 2005).)

2. Indirect Costs. Please see http://www.hud.gov/offices/adm/grants/fundsavail.cfm for reference to the Indirect Cost requirements.

3. Purchase of Real Property. The purchase of real property is not an allowable cost under this program.

4. Purchase or Lease of Equipment. The purchase or lease of equipment having a per unit cost in excess of $5,000 is not an allowable cost, unless prior written approval is obtained from

HUD.

5. Medical Treatment. Medical treatment costs are not allowable under this program.

6. Profit. For profit institutions are not allowed to earn a profit.

7. You must comply with the Coastal Barrier Resources Act (16 U.S.C. § 3501).

8. You may not conduct lead-based paint or healthy home hazard control activities or related work that constitutes construction, reconstruction, repair or improvement (as referenced in

Section 3(a)(4) of the Flood Disaster Protection Act of 1973 (42 U.S.C. §§ 4001-4128)) of a building or mobile home which is located in an area identified by the Federal Emergency

Management Agency (FEMA) as having special flood hazards unless:

a. The community in which the area is situated is participating in the National Flood Insurance

Program in accordance with the applicable regulations (44 CFR parts 59-79), or less than a year has passed since FEMA notification regarding these hazards; and

b. Where the community is participating in the National Flood Insurance Program, flood insurance on the property is obtained in accordance with section 102(a) of the Flood Disaster

Protection Act (42 U.S.C. § 4012a(a)). You are responsible for assuring that flood insurance is obtained and maintained for the appropriate amount and term.

9. Construction Activities. The amount of HUD Healthy Homes Technical Studies grant funds used for construction activities may not exceed 20% of the total HUD funds awarded.

Furthermore, the majority of any funds dedicated to construction activities shall be spent for http://www.hud.gov/offices/adm/grants/fundsavail.cfm interventions not intended for lead hazard control. No funds under this grant program may be used for new construction, substantial rehabilitation, or changes in land use or unit density.

10. Costs related to animal testing are not allowable under this program.

F. Other Submission Requirements: Applicants are required to submit applications electronically via the website: http://www.grants.gov/applicants/apply_for_grants.jsp, unless they have requested and been granted a waiver from the electronic submission requirement. See sections IV.B and F of the FY2012 General Section for additional information on the electronic process requirement and how to request a waiver from the requirement if necessary. Applicants should submit their waiver requests in writing using email. Waiver requests must be submitted no later than 25 days prior to the application deadline date and should be submitted to:

OHHLHCNOFAreview@hud.gov. If the applicant is granted an electronic submission waiver, the notification will provide instructions on where and to whom to submit the application, and how many copies are required. Paper applications will not be accepted from applicants that have not been granted a waiver. If an applicant is granted a waiver, the approval notice will provide instructions for submission. All applications in paper format must have received a waiver to the electronic application requirement and the application must be received by

HUD on or before the application deadline date.

V. APPLICATION REVIEW INFORMATION

A. Criteria:

1. Threshold Requirements. Applications that meet all of the threshold requirements will be eligible to be scored and ranked, based on the total number of points allocated for each of the rating factors described in Section V.A.3. Your application must receive a total score of at least

75 points to be considered for funding.

2. Award Factors. Each of the five factors is weighted as indicated by the number of points that are assigned to it. The maximum score that can be attained is 102, including a possible 2 bonus points. Applicants should be certain that each of these factors is adequately addressed in the project description and accompanying materials. To the extent feasible, include all of the needed information within your response to each rating factor. If your response to a particular rating factor cites information provided in your response to another rating factor, clearly indicate where the information is located so that the reviewer can easily locate it.

3. Rating Factors.

a. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience

(20 Points). This factor addresses the extent to which you have the ability, capacity and organizational resources necessary to successfully implement your proposed activities in a timely manner. The rating of your application will include any sub-grantees, consultants, sub-recipients, and members of consortia that are firmly committed to the project (generally, "subordinate organizations"). In rating this factor, HUD will consider the extent to which your application demonstrates:

(1) The capability and qualifications of key and supporting personnel (13 points). HUD will assess the qualifications of key personnel to carry out the proposed study as evidenced by academic and professional background, publications, and recent (within the past 5 years) research experience. The proposed Principal Investigator must directly represent and be http://www.grants.gov/applicants/apply_for_grants.jsp compensated directly by the applicant for his or her role in the proposed study. Publications and/or research experience are considered relevant if they required the acquisition and use of knowledge and skills that can be applied in the planning and execution of the technical study that is proposed under this NOFA. HUD will also evaluate the qualifications of supporting personnel such as statisticians and research assistants. In responding to this rating factor, you must complete and submit Form HUD-96012 (Capacity of the Applicant and Relevant Organizational

Experience). Partner organizations will also be evaluated with respect to their qualifications and capabilities to successfully implement their proposed project roles. Please do not include the

Social Security Numbers (SSN) of any staff members. You must also submit an organizational chart that shows the key players in the project, their reporting relationships, and their responsibilities.