section 202/811 capital advance programs

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Section 202/811Capital Advance Programs

Section 202/811Capital Advance Programs

Basic Program RequirementsBasic Program Requirements

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Basic Program RequirementPurpose


To expand the supply of supportive housing for the To expand the supply of supportive housing for the very low-income elderly (202) and for very low-very low-income elderly (202) and for very low-income persons with disabilities (811)income persons with disabilities (811)

202: Elderly, 62 yrs old & over,202: Elderly, 62 yrs old & over, including frail elderlyincluding frail elderly

To expand the supply of supportive housing for the To expand the supply of supportive housing for the very low-income elderly (202) and for very low-very low-income elderly (202) and for very low-income persons with disabilities (811)income persons with disabilities (811)

202: Elderly, 62 yrs old & over,202: Elderly, 62 yrs old & over, including frail elderlyincluding frail elderly

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811: 18 yrs old & over with one811: 18 yrs old & over with oneor more of the following:or more of the following:

– Chronic Mental IllnessChronic Mental Illness– Physical DisabilityPhysical Disability– Developmental DisabilityDevelopmental Disability

811: 18 yrs old & over with one811: 18 yrs old & over with oneor more of the following:or more of the following:

– Chronic Mental IllnessChronic Mental Illness– Physical DisabilityPhysical Disability– Developmental DisabilityDevelopmental Disability

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What Funding Does HUDProvide?

What Funding Does HUDProvide?

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FY 2007 AppropriationsFY 2007 Appropriations

• Section 202– $742,000,000 (subject to 1% rescission)

• $591.5 million for new units, amendments and PRAC renewal

• $51.6 million for Service Coordinator & CHSP

• $24.8 million for ALCP• $20 million for Section 202 Demonstration

Planning Grant Program• $400,000 transferred to Working Capital

Fund

• Section 202– $742,000,000 (subject to 1% rescission)

• $591.5 million for new units, amendments and PRAC renewal

• $51.6 million for Service Coordinator & CHSP

• $24.8 million for ALCP• $20 million for Section 202 Demonstration

Planning Grant Program• $400,000 transferred to Working Capital

Fund

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FY 2007 AppropriationsFY 2007 Appropriations

• Section 811– $239,000,000 (subject to 1%

rescission)• $138.8 million for new units,

amendments & PRAC renewals • $83.3 million for tenant-based

assistance (under PIH)• $400,000 transferred to Working

Capital Fund

• Section 811– $239,000,000 (subject to 1%

rescission)• $138.8 million for new units,

amendments & PRAC renewals • $83.3 million for tenant-based

assistance (under PIH)• $400,000 transferred to Working

Capital Fund

7

Section 202/811 AllocationsSection 202/811 Allocations

202• $431.5 million • approximately 3,667 units

811$88.3 million• approximately 790 units

FY07 202/811 funds must be obligated by 9/30/10 and fully disbursed by 9/30/15

202• $431.5 million • approximately 3,667 units

811$88.3 million• approximately 790 units

FY07 202/811 funds must be obligated by 9/30/10 and fully disbursed by 9/30/15

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HUD FundingHUD Funding

Types of funds:

Capital Advance

• Covers dev./construction costs• No repayment required if proj.

remains available for eligible program residents for 40 yrs

Types of funds:

Capital Advance

• Covers dev./construction costs• No repayment required if proj.

remains available for eligible program residents for 40 yrs

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HUD FundingHUD Funding

Types of funds:

Project Rental Assistance– Rental assistance that covers

difference between proj.’s operating expenses & tenantpayments

– Initial term is 3 yrs

Types of funds:

Project Rental Assistance– Rental assistance that covers

difference between proj.’s operating expenses & tenantpayments

– Initial term is 3 yrs

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Who Can Apply?Who Can Apply?

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Sponsor (Applicant) Eligibility - Type of Organization

Sponsor (Applicant) Eligibility - Type of Organization

Section 202

• Private nonprofit (incl. Faith-Based Orgs)

• Nonprofit Consumer Cooperative

• 501 (c)(3) or (c)(4) IRS tax exemption for

ALL Sponsors

• Public entity or instrumentality ineligible

Section 202

• Private nonprofit (incl. Faith-Based Orgs)

• Nonprofit Consumer Cooperative

• 501 (c)(3) or (c)(4) IRS tax exemption for

ALL Sponsors

• Public entity or instrumentality ineligible

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Section 811

• Nonprofit with IRS tax exemption under

501(c)(3) (incl. Faith-Based Orgs)

• Public entity eligible if it has

501(c)(3)

Section 811

• Nonprofit with IRS tax exemption under

501(c)(3) (incl. Faith-Based Orgs)

• Public entity eligible if it has

501(c)(3)

Sponsor (Applicant) Eligibility

Sponsor (Applicant) Eligibility

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Prohibited RelationshipsProhibited Relationships

• Conflicts/Identities of Interest are prohibited

- Apply to Sponsor/Owner & their Board

Members & Officers- Development Team Members

• Conflicts/Identities of Interest are prohibited

- Apply to Sponsor/Owner & their Board

Members & Officers- Development Team Members

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Permissible RelationshipsPermissible Relationships

• Sponsor can be Managing Agent or Consultant

• Nonprofit affiliate of Sponsor can be Managing Agent**Note: No more than 2 paid officers/directors

from the Sponsor/affiliate board can be

on the Owner’s board & they must be

non-voting

• Sponsor can be Managing Agent or Consultant

• Nonprofit affiliate of Sponsor can be Managing Agent**Note: No more than 2 paid officers/directors

from the Sponsor/affiliate board can be

on the Owner’s board & they must be

non-voting

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Permissible Relationships (cont’d)

Permissible Relationships (cont’d)

• Consultant can be Managing Agent

• Sponsor must sign HUD-92041, Sponsor Conflict of Interest Resolution

• Refer to Sec. 891.130 of 202/811 regs

• Consultant can be Managing Agent

• Sponsor must sign HUD-92041, Sponsor Conflict of Interest Resolution

• Refer to Sec. 891.130 of 202/811 regs

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What types of Structures are Eligible?

What types of Structures are Eligible?

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Eligible Structure TypesEligible Structure Types

Section 202

Independent Apartment units

• Efficiencies & 1 Bedrooms for residents only

• Up to a 2-Bedroom limited to a res. manager, if proposed

• Group Homes are ineligible

Section 202

Independent Apartment units

• Efficiencies & 1 Bedrooms for residents only

• Up to a 2-Bedroom limited to a res. manager, if proposed

• Group Homes are ineligible

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Eligible Structure TypesEligible Structure Types

Section 811

Independent Living Projects (ILPs)containing indiv. apt. units

• Any size unit, except 3 Bedrooms &larger limited to families NOT unrelated individuals

• Up to a 2-bedroom unit for a res. manager, if proposed

Section 811

Independent Living Projects (ILPs)containing indiv. apt. units

• Any size unit, except 3 Bedrooms &larger limited to families NOT unrelated individuals

• Up to a 2-bedroom unit for a res. manager, if proposed

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Eligible Structure Types (Sec. 811 Only)

Eligible Structure Types (Sec. 811 Only)

Condominium units• Same as ILP units• Cannot purchase separate unit for resident manager

Group Homes• Minimum 2 residents and maximum 6

residents allowed • 1 Bedrm unit for res. mgr. permitted• 2 GHs cannot be located next to each other

Condominium units• Same as ILP units• Cannot purchase separate unit for resident manager

Group Homes• Minimum 2 residents and maximum 6

residents allowed • 1 Bedrm unit for res. mgr. permitted• 2 GHs cannot be located next to each other

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Ineligible ActivitiesIneligible Activities

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Ineligible ActivitiesSections 202 and 811Ineligible Activities

Sections 202 and 811

• Nursing homes, infirmaries and medical facilities

• Transitional housing

• Mobile Homes

• Intermediate care facilities

• Assisted living facilities

• Community centers

• Headquarters for organizations for the elderly or persons with disabilities

• Nursing homes, infirmaries and medical facilities

• Transitional housing

• Mobile Homes

• Intermediate care facilities

• Assisted living facilities

• Community centers

• Headquarters for organizations for the elderly or persons with disabilities

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Ineligible Activities Section 202 and 811 (con’t)


• Refinancing of Sponsor-owned facilities without rehabilitation

• Housing that you currently own or lease that has been occupied by elderly persons (202); or

• Housing that you currently own or lease that has been occupied by persons with disabilities for longer than one year prior to the application deadline date (811)

• Refinancing of Sponsor-owned facilities without rehabilitation

• Housing that you currently own or lease that has been occupied by elderly persons (202); or

• Housing that you currently own or lease that has been occupied by persons with disabilities for longer than one year prior to the application deadline date (811)

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• Non-housekeeping accommodations (e.g., central dining but without private kitchens and/or bathrooms in the residential units).

• Supportive Services (Section 811)

• Sheltered workshops and centers for persons with disabilities (Section 811)

• Non-housekeeping accommodations (e.g., central dining but without private kitchens and/or bathrooms in the residential units).

• Supportive Services (Section 811)

• Sheltered workshops and centers for persons with disabilities (Section 811)

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Supportive ServicesSupportive Services

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Supportive ServicesSupportive Services

** Acceptance of Services cannot be a condition of occupancy.

• Funding:– 202: PRAC up to $15 per unit per

month & for svc coordinator in project serving primarily frail elderly.

– 811: from outside sources.

** Acceptance of Services cannot be a condition of occupancy.

• Funding:– 202: PRAC up to $15 per unit per

month & for svc coordinator in project serving primarily frail elderly.

– 811: from outside sources.

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Changes Applicable to Both 202/811

Changes Applicable to Both 202/811

•Exhibit 3(l)/811 & 3(j)/202, Efforts in Removing Regulatory Barriers to Affordable Housing, was revised to clarify that the exhibit is optional.

–To receive up to 2 pts., Form HUD-27300 must be submitted and must include the necessary URL references or other documentary evidence.

•Exhibit 3(l)/811 & 3(j)/202, Efforts in Removing Regulatory Barriers to Affordable Housing, was revised to clarify that the exhibit is optional.

–To receive up to 2 pts., Form HUD-27300 must be submitted and must include the necessary URL references or other documentary evidence.

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Changes Applicable to Both 202 and 811


•Exhibit 3(m)/811 & 3(k)/202, Section 3 Requirements, was revised to clarify that Section 3 goals should expand training and employment opportunities for low and very low-income persons as well as business concerns in the area where the project is to be located.

•Exhibit 3(m)/811 & 3(k)/202, Section 3 Requirements, was revised to clarify that Section 3 goals should expand training and employment opportunities for low and very low-income persons as well as business concerns in the area where the project is to be located.

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• The note section for Exhibit 4(d)(iv), URA Requirements, was revised to clarify that a certification is not sufficient to meet the exhibit requirement.– Evidence must be submitted in

order to meet the exhibit requirement

• The note section for Exhibit 4(d)(iv), URA Requirements, was revised to clarify that a certification is not sufficient to meet the exhibit requirement.– Evidence must be submitted in

order to meet the exhibit requirement

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• Exhibit 6(b)(iii), Amendment Funds, was revised to include the amount of amendment funds.

• Exhibit 6(b)(iii), Amendment Funds, was revised to include the amount of amendment funds.

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• Exhibit 7(d)/811, Relocation, was revised to identify all persons who were required to move from the site within the past 12 months.

• Exhibit 7(d)/811, Relocation, was revised to identify all persons who were required to move from the site within the past 12 months.

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• Exhibit 7(d)/202, Relocation, was revised to request that the Sponsor address the reason for the move from the site within the past 12 months.

• Exhibit 7(d)/202, Relocation, was revised to request that the Sponsor address the reason for the move from the site within the past 12 months.

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• Exhibit 7(e)/202 and Section VI.B.2/811, Relocation, now state the Sponsor must indicate that all persons occupying the site were issued the appropriate General Information Notice and advisory services information.

– This must be done either at the time the

option to acquire the property was executed or at the time the application was submitted.

• Exhibit 7(e)/202 and Section VI.B.2/811, Relocation, now state the Sponsor must indicate that all persons occupying the site were issued the appropriate General Information Notice and advisory services information.

– This must be done either at the time the

option to acquire the property was executed or at the time the application was submitted.

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• Exhibit 8(k)/811 & 8(j)/202 (Form HUD 27300, Questionnaire for HUD’s Initiative on Removal of Regulatory Barriers) has been removed.

• The questionnaire is now located at Exhibit 3(l)/811 and 3(j)/202

• Exhibit 8(k)/811 & 8(j)/202 (Form HUD 27300, Questionnaire for HUD’s Initiative on Removal of Regulatory Barriers) has been removed.

• The questionnaire is now located at Exhibit 3(l)/811 and 3(j)/202

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• Sponsors must undertake and submit a Phase I ESA in accordance with ASTM Standard E 1527-05, as amended

– must be completed or updated no earlier than 180 days prior to the application deadline date

• Sponsors must undertake and submit a Phase I ESA in accordance with ASTM Standard E 1527-05, as amended

– must be completed or updated no earlier than 180 days prior to the application deadline date

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An application with a Phase I that is:

–not properly updated; –does not use the format specified at Appendix X4 of ASTM Standard E 1527;–prepared in accordance with an older version of ASTM Standard E 1527

Will be technically rejected

An application with a Phase I that is:

–not properly updated; –does not use the format specified at Appendix X4 of ASTM Standard E 1527;–prepared in accordance with an older version of ASTM Standard E 1527

Will be technically rejected

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Changes Applicable to 811Changes Applicable to 811

Changes Tied to Rating Factors:

2 pts Increase to RF 1: – Section 811 from 28 pts. to 30pts.

• Sub RF 1.a., Sponsor’s experience, increased from 13 pts to 15 pts

Changes Tied to Rating Factors:

2 pts Increase to RF 1: – Section 811 from 28 pts. to 30pts.

• Sub RF 1.a., Sponsor’s experience, increased from 13 pts to 15 pts

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Changes Tied to Rating Factors (con’t):

3 pts Decrease to RF 3:–Section 811 from 42 to 40 pts.

•Sub RF 3.c., The suitability of the site for promoting a greater choice of housing opportunities for minorities and persons with disabilities and affirmatively furthering fair housing, reduced from 10 pts. To 8 pts.

Changes Tied to Rating Factors (con’t):

3 pts Decrease to RF 3:–Section 811 from 42 to 40 pts.

•Sub RF 3.c., The suitability of the site for promoting a greater choice of housing opportunities for minorities and persons with disabilities and affirmatively furthering fair housing, reduced from 10 pts. To 8 pts.

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Changes tied to Rating Factors (con’t):

• Sub-rating Factor 3c.(2)(a) was revised to clarify that the neighborhood’s percentage of persons of a particular racial or ethnic minority is at least 20 percentage points higher than the percentage of that particular racial or ethnic minority in the housing market area.


• Sub-rating Factor 3c.(2)(a) was revised to clarify that the neighborhood’s percentage of persons of a particular racial or ethnic minority is at least 20 percentage points higher than the percentage of that particular racial or ethnic minority in the housing market area.

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– Sub-rating Factor 3c.(2)(b) was revised to clarify that the neighborhood’s total percentage of minority persons is at least 20 percentage points higher than the total percentage of minorities for the housing market area.


– Sub-rating Factor 3c.(2)(b) was revised to clarify that the neighborhood’s total percentage of minority persons is at least 20 percentage points higher than the total percentage of minorities for the housing market area.

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Curable Deficiencies

• Form HUD 96011, Facsimile Transmittal & Form HUD 2994-A, You Are Our Client Grant Application Survey (optional) have been added to the list of curable deficiencies

• SF 424, Application for Federal Assistance is no longer a curable item.

Curable Deficiencies

• Form HUD 96011, Facsimile Transmittal & Form HUD 2994-A, You Are Our Client Grant Application Survey (optional) have been added to the list of curable deficiencies

• SF 424, Application for Federal Assistance is no longer a curable item.

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Changes Applicable to both 202 and 811

Changes Applicable to both 202 and 811

The Development Cost Limits have been increased to match the Section 221 (d)(3) cost limits.

The Development Cost Limits have been increased to match the Section 221 (d)(3) cost limits.

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Development Cost Limits for Non-elevator structures

• $45,507 per family unit w/o a bedroom

• $52,470 per family unit w/1 bedroom

• $63,279 per family unit w/2 bedrooms





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Development Cost Limits forElevator structures




Development Cost Limits forElevator structures




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Development Cost Limits for elevator structures






Development Cost Limits for elevator structures






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Development Cost Limits for Group Homes:

Res. Physical/Dev Chronic Mental Ill.2 $172,303 $166,325

3 $185,287 $178,860

4 $198,273 $189,995

5 $211,257 $201,130

6 $224,228 $212,265

Development Cost Limits for Group Homes:

Res. Physical/Dev Chronic Mental Ill.2 $172,303 $166,325

3 $185,287 $178,860

4 $198,273 $189,995

5 $211,257 $201,130

6 $224,228 $212,265

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Section 202/811 Capital Advance Program


NOFA ProcessNOFA Process

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Application Application

• No Application Kit

• Download application, instructions, forms & copies of Gen. Sec. & Program NOFA from: www.grants.gov/applicants/apply_for_grants.jsp– Need Funding Opportunity No. (FR-5100-N-

07/202 & FR-5100-N-05/811) or CFDA No. (14.157/202 & 14.181/811)

• No Application Kit

• Download application, instructions, forms & copies of Gen. Sec. & Program NOFA from: www.grants.gov/applicants/apply_for_grants.jsp– Need Funding Opportunity No. (FR-5100-N-

07/202 & FR-5100-N-05/811) or CFDA No. (14.157/202 & 14.181/811)

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Application Application

• www.hud.gov/offices/adm/grants/fundsavail.cfm

OR

• Order from NOFA Information Center at: – (1-800) HUD-8929 OR– (1-800) HUD-2209 TTY

• www.hud.gov/offices/adm/grants/fundsavail.cfm

OR

• Order from NOFA Information Center at: – (1-800) HUD-8929 OR– (1-800) HUD-2209 TTY

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ApplicationApplication

• READ, READ & READ AGAIN

General Section of the SuperNOFA

Program NOFA

• READ, READ & READ AGAIN

General Section of the SuperNOFA

Program NOFA

51

ApplicationApplication

• Technical Support Asst.:

– Call Grants.gov Customer Service(1-800) 518-GRANTS, or

– E-mail to [email protected]

• The Customer Service Center is open from 7:00 a.m. to 9:00 p.m. eastern time, Mon-Fri, except holidays

• Technical Support Asst.:

– Call Grants.gov Customer Service(1-800) 518-GRANTS, or

– E-mail to [email protected]

• The Customer Service Center is open from 7:00 a.m. to 9:00 p.m. eastern time, Mon-Fri, except holidays

52



FY 2007 NOFAFY 2007 NOFAFY 2007 NOFAFY 2007 NOFA

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Application Submission Deadline

Application Submission Deadline

Section 811: May 24, 2007




54

Methods of SubmissionElectronic Submission


• Must submit electronically (unless waiver approved for a paper copy)

• Must first register using 5 steps below:

1. Obtain a DUNS No. (if not yet obtained): D&B (866)705-5711

• Must submit electronically (unless waiver approved for a paper copy)

• Must first register using 5 steps below:

1. Obtain a DUNS No. (if not yet obtained): D&B (866)705-5711

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• Registration Steps (cont’d)

2. Register w/Central Contractor Registry: (888) 227-2423 or email at

http://www.ccr.gov– Need TIN or EIN – Designate an E-Business POC: >E-Business POC sets up M-PIN >E-Business POC designates AOR• Takes 1-3 days to complete• Expires annually/must update to remain active


2. Register w/Central Contractor Registry: (888) 227-2423 or email at

http://www.ccr.gov– Need TIN or EIN – Designate an E-Business POC: >E-Business POC sets up M-PIN >E-Business POC designates AOR• Takes 1-3 days to complete• Expires annually/must update to remain active

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3. AORs register with credential Provider:

• To obtain User Name/Password• AOR User Name/Password serve as

electronic signatures• https://apply.grants.gov/OrcRegister


3. AORs register with credential Provider:

• To obtain User Name/Password• AOR User Name/Password serve as

electronic signatures• https://apply.grants.gov/OrcRegister

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4. AORs register w/Grants.gov

• To obtain account• Allows AOR to e-file for Sponsor• https://apply.grants.gov/GrantsgovRegister


4. AORs register w/Grants.gov

• To obtain account• Allows AOR to e-file for Sponsor• https://apply.grants.gov/GrantsgovRegister

https://apply.grants.gov/GrantsgovRegister




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5. E-Business POC approves AOR

• Grants.gov notifies E-Business POC when AOR registers with Grants.gov

• Register early; can take 10 days

Get confirmation!!


5. E-Business POC approves AOR

• Grants.gov notifies E-Business POC when AOR registers with Grants.gov

• Register early; can take 10 days

Get confirmation!!

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• Appl. must be rec’d & validated electronically by Grants.gov by 11:59:59PM ET on deadline date – NO EXCEPTIONS

• Before being validated, will get confirmation of appl. Receipt

• Validation process takes 24-48 hours

• Appl. must be rec’d & validated electronically by Grants.gov by 11:59:59PM ET on deadline date – NO EXCEPTIONS

• Before being validated, will get confirmation of appl. Receipt

• Validation process takes 24-48 hours

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• Suggest downloading appl. To your computer hard drive & work off-line

• First complete SF-424, Appl. For Fed. Assistance, as it is designed to trigger a function that carries common data to other PureEdge forms

• Suggest downloading appl. To your computer hard drive & work off-line

• First complete SF-424, Appl. For Fed. Assistance, as it is designed to trigger a function that carries common data to other PureEdge forms

61



• E-Submission of Narratives, 3rd Party Letters, & Certs use:– MS Word 9.0 & earlier– MS Excel 2000– PDF/Adobe Reader 6.0 & earlier– Graphic images (eg, Computer Aided

Design files) must be attached using the Attachment form downloaded from Grants.gov

• E-Submission of Narratives, 3rd Party Letters, & Certs use:– MS Word 9.0 & earlier– MS Excel 2000– PDF/Adobe Reader 6.0 & earlier– Graphic images (eg, Computer Aided

Design files) must be attached using the Attachment form downloaded from Grants.gov

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• E-Submission of 3rd Party Letters, Certs, & Other Docs Requiring a Signature:

– Faxing Method Recommended:• Must use HUD-96011, Facsimile

Transmittal, as the cover page (as downloaded from Grants.gov)

• Fax to (800) HUD-1010

• E-Submission of 3rd Party Letters, Certs, & Other Docs Requiring a Signature:

– Faxing Method Recommended:• Must use HUD-96011, Facsimile

Transmittal, as the cover page (as downloaded from Grants.gov)

• Fax to (800) HUD-1010

63



– Faxing Method:

• Label by Exh. No. & fax each doc. separately with downloaded version of HUD-96011 (save to hard drive & xerox copies if needed)

• Fax attachments only (DO NOT fax entire application)

• Save fax confirmation receipt• Late faxes will not be considered

– Faxing Method:

• Label by Exh. No. & fax each doc. separately with downloaded version of HUD-96011 (save to hard drive & xerox copies if needed)

• Fax attachments only (DO NOT fax entire application)

• Save fax confirmation receipt• Late faxes will not be considered

64



Scanned Method:

• Not recommended unless faxing method not feasible

• Scan & save as separate e-file

• Label by Exhibit No. & include page nos.

Scanned Method:

• Not recommended unless faxing method not feasible

• Scan & save as separate e-file

• Label by Exhibit No. & include page nos.

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• Download application from Grants.gov ONLY once

• See instructions in Gen. Sec. of SuperNOFA

• Go to www.grants.gov/GetStarted for step-by-step instructions

• Best to submit during ofc hrs of Customer Support, 7am-9pm eastern time M-F

• Download application from Grants.gov ONLY once

• See instructions in Gen. Sec. of SuperNOFA

• Go to www.grants.gov/GetStarted for step-by-step instructions

• Best to submit during ofc hrs of Customer Support, 7am-9pm eastern time M-F

http://www.grants.gov/GetStarted

http://www.grants.gov/GetStarted

66

Methods of SubmissionPaper Applications


• May submit paper copy of appl. if a waiver is submitted to and approved by the Asst. Sec. for Housing

• Mail by US Postal Service is recommended, but any mail delivery service may be used

• Hand delivered copies permitted

• May submit paper copy of appl. if a waiver is submitted to and approved by the Asst. Sec. for Housing

• Mail by US Postal Service is recommended, but any mail delivery service may be used

• Hand delivered copies permitted

67



• Must be received in local HUD Ofc by their close of business hours on:

– May 24, 2007 for 811– May 25, 2007 for 202

• Must be received in local HUD Ofc by their close of business hours on:

– May 24, 2007 for 811– May 25, 2007 for 202

68

Methods of SubmissionPaper Copies if a Waiver

is Approved

Methods of SubmissionPaper Copies if a Waiver

is Approved

• Must submit an Original & 4 copies

• No fax transmissions of appls.

• If waiver approved, approval letter will provide mailing instructions

• Will fax response letter if you provide a fax number

• Label the header of doc. with Sponsor’s name/DUNS No. and Exhibit No.

• Must submit an Original & 4 copies

• No fax transmissions of appls.

• If waiver approved, approval letter will provide mailing instructions

• Will fax response letter if you provide a fax number

• Label the header of doc. with Sponsor’s name/DUNS No. and Exhibit No.

69

Proof of Timely Submission

Proof of Timely Submission

• Electronic Submission:– Automatically recorded by Grants.gov

• Electronic time stamp is generated when appl. is successfully rec’d & validated

• Applicant will receive acknowledgement of receipt and tracking no. from Grants.gov

• Receipt will be sent to email address on SF-424

• Print and save confirmation receipt, incl. Fax confirmations

• Electronic Submission:– Automatically recorded by Grants.gov

• Electronic time stamp is generated when appl. is successfully rec’d & validated

• Applicant will receive acknowledgement of receipt and tracking no. from Grants.gov

• Receipt will be sent to email address on SF-424

• Print and save confirmation receipt, incl. Fax confirmations

70

Review of ApplicationsReview of Applications

• Schedule

– Application Deadline Dates:• 811 – May 24, 2007• 202 – May 25, 2007

– HUD Office will send you an Acknowledgment Letter

• Schedule

– Application Deadline Dates:• 811 – May 24, 2007• 202 – May 25, 2007

– HUD Office will send you an Acknowledgment Letter

71

Review of Applications(cont’d)

Review of Applications(cont’d)

– HUD screens each application for completeness and issues Curable Deficiency Letters

– HUD screens each application for completeness and issues Curable Deficiency Letters

72

Review of Applications (cont’d)


– Curable Deficiency letter• Missing or incomplete Exhibits that do

not affect rating

• 14 calendar days to respond from date of letter

• Will Fax if Fax number provided in Exhibit 1

– Curable Deficiency letter• Missing or incomplete Exhibits that do

not affect rating

• 14 calendar days to respond from date of letter

• Will Fax if Fax number provided in Exhibit 1

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• HUD Technical Processing-– Request for clarifying information or

curable items not discovered until technical processing

• 14 calendar day deadline for response

– If applicable, you must submit HUD Phase II ESA by:

• June 25, 2007 – Section 202 & Section 811

• HUD Technical Processing-– Request for clarifying information or

curable items not discovered until technical processing

• 14 calendar day deadline for response

– If applicable, you must submit HUD Phase II ESA by:

• June 25, 2007 – Section 202 & Section 811

74



• Schedule (cont’d)

– Technical reject letters issued:• Applicant can appeal within 14

calendar days

• Local HUD Office responds to appeal within 5 working days

• Schedule (cont’d)

– Technical reject letters issued:• Applicant can appeal within 14

calendar days

• Local HUD Office responds to appeal within 5 working days

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List of Curable Deficiencies

(Exhibits identified by an asterisk (*) must be dated on or before the application deadline date.)

List of Curable Deficiencies

(Exhibits identified by an asterisk (*) must be dated on or before the application deadline date.)

Exhibits

1. Form 92015-CA or 92016- CA * (Application form)

2.a Articles of Incorporation*2.b By-laws*2.c IRS tax exemption ruling*

Exhibits

1. Form 92015-CA or 92016- CA * (Application form)

2.a Articles of Incorporation*2.b By-laws*2.c IRS tax exemption ruling*

76

Curable Deficiencies (cont’d)


4.c(iii) Mix-Fi Proposals for Add’l Units

4.d(i) Evidence of site control

4.d(ii) Evidence site is free of limitations, restrictions, reverters

4.d(iv) Compliance with URA notification requirement

4.c(iii) Mix-Fi Proposals for Add’l Units

4.d(i) Evidence of site control

4.d(ii) Evidence site is free of limitations, restrictions, reverters

4.d(iv) Compliance with URA notification requirement

77



4.d(vii) Phase I Environmental Site Assessment

4.d(viii) Asbestos Statement/Survey

4.d(ix) Letter to/from SHPO/THPO

4.d(vii) Phase I Environmental Site Assessment

4.d(viii) Asbestos Statement/Survey

4.d(ix) Letter to/from SHPO/THPO

78



4.d(x) Seek Alternate Site (811 Only)

4.d(xi) Exception to Proj. Size Limit (811 Only)4.e(ii) Steps undertaken to identify site (811 Only)4.e(iv) Status of sale of site (811 Only)

4.d(x) Seek Alternate Site (811 Only)

4.d(xi) Exception to Proj. Size Limit (811 Only)4.e(ii) Steps undertaken to identify site (811 Only)4.e(iv) Status of sale of site (811 Only)

79



4.e(v) Whether site involves relocation (811 Only)

5. Supportive Services Plan (811 Only)

7. Relocation

4.e(v) Whether site involves relocation (811 Only)

5. Supportive Services Plan (811 Only)

7. Relocation

80



8.a Letter sent to the State Point of Contact (SPOC)*

8.b Standard Form 424 Supplement,

Survey on Ensuring Equal Opportunity for Applicants

8.a Letter sent to the State Point of Contact (SPOC)*

8.b Standard Form 424 Supplement,

Survey on Ensuring Equal Opportunity for Applicants

81



8.c SF-LLL, Disclosure of Lobbying Activities (if applicable)

8.d Form HUD-2880, Appl/Recipient

Disclosure/Update Report

8.e Form HUD-2991, Cert. of

Consistency with Consolidated

Plan

8.c SF-LLL, Disclosure of Lobbying Activities (if applicable)

8.d Form HUD-2880, Appl/Recipient

Disclosure/Update Report

8.e Form HUD-2991, Cert. of

Consistency with Consolidated

Plan

82



8.f Form HUD-92041, Conflict of Interest Resolution

8.g Form HUD-92042, Resolution for Commitment to Project*

8.i Form HUD-92043, Supp. Services Certification (811 Only)

8.l Form HUD-2994-A, You Are Our Client Grant Applicant Survey (optional)

8.f Form HUD-92041, Conflict of Interest Resolution

8.g Form HUD-92042, Resolution for Commitment to Project*

8.i Form HUD-92043, Supp. Services Certification (811 Only)

8.l Form HUD-2994-A, You Are Our Client Grant Applicant Survey (optional)

83

Rating and Ranking of Applications


Approvable applications will be rated in accordance with the Rating Criteria as identified in NOFA.

Approvable applications will be rated in accordance with the Rating Criteria as identified in NOFA.

84



• HUD holds Rating/Selection Panel After…

– the 14-day period for appeals

- completion of all environmental reviews for projects with site control

– the receipt of any SPOC comments, where applicable, or end of comment period (pursuant to EO 12372)

• HUD holds Rating/Selection Panel After…

– the 14-day period for appeals

- completion of all environmental reviews for projects with site control

– the receipt of any SPOC comments, where applicable, or end of comment period (pursuant to EO 12372)

85

Rating FactorsRating Factors

HUD will rate applications that successfully complete technical processing using the Rating Factors set forth as follows . . .

HUD will rate applications that successfully complete technical processing using the Rating Factors set forth as follows . . .

86

Rating FactorsRating Factors

Rating Factor 1 - Capacity of the Applicant and Relevant Organizational Staff (23 pts –202/30 pts - 811)a. Housing or related services experience/scope of project compared

to your development and management (including financial) capability

(13pts/202)(15 pts/811)

Rating Factor 1 - Capacity of the Applicant and Relevant Organizational Staff (23 pts –202/30 pts - 811)a. Housing or related services experience/scope of project compared

to your development and management (including financial) capability

(13pts/202)(15 pts/811)

87

Rating Factors (cont’d)Rating Factors (cont’d)

• Rating Factor 1 (cont’d)

b(1) Housing or related services experience to minority persons/families (5 pts)

b(2) Ties to community and to minority and elderly (202) or disability (811) communities (5 pts)


b(1) Housing or related services experience to minority persons/families (5 pts)

b(2) Ties to community and to minority and elderly (202) or disability (811) communities (5 pts)

88



c. Deduct the following points if a fund reservation received under the Sec. 811 or

Sec. 202 program in FY’02 or later has been extended beyond… (exception if delay was beyond your control)

-beyond 24 months: -3 points-beyond 36 months: -4 points-beyond 48 months: -5 points


c. Deduct the following points if a fund reservation received under the Sec. 811 or

Sec. 202 program in FY’02 or later has been extended beyond… (exception if delay was beyond your control)

-beyond 24 months: -3 points-beyond 36 months: -4 points-beyond 48 months: -5 points

89



Deduct points if Amendment money was required for Sponsor’s 202 and/or 811 project(s) funded in FY02 or later. A sliding scale based on amt. of amendment funds over original Cap. Adv. amt. Is as follows:-3 pts: 25% or less-4 pts: Between 26% and 50%-5 pts: Over 50%


Deduct points if Amendment money was required for Sponsor’s 202 and/or 811 project(s) funded in FY02 or later. A sliding scale based on amt. of amendment funds over original Cap. Adv. amt. Is as follows:-3 pts: 25% or less-4 pts: Between 26% and 50%-5 pts: Over 50%

90



e. Experience in developing integrated housing and/or proj. will be

integrated housing (5 pts – 811 Only)


e. Experience in developing integrated housing and/or proj. will be

integrated housing (5 pts – 811 Only)

91


2. Need/Extent of the Problem (13 pts)

a. Section 202 Extent of need for project in area:

• 10 pts: Unmet needs ratio of <15%• 5pts: Unmet needs ratio 15% or >• 0 pt: No Need

2. Need/Extent of the Problem (13 pts)


• 10 pts: Unmet needs ratio of <15%• 5pts: Unmet needs ratio 15% or >• 0 pt: No Need

92


2. Need/Extent of the Problem (cont’d)


– 10pts: A need demonstrated for proposed project

– 0pts: No need



– 10pts: A need demonstrated for proposed project

– 0pts: No need

93



b. The extent that a connection has been established between project and the Community’s Consolidated Plan,

Analysis of Impediments to Fair Housing Choice (AI) or other planning document. (3 pts)


b. The extent that a connection has been established between project and the Community’s Consolidated Plan,

Analysis of Impediments to Fair Housing Choice (AI) or other planning document. (3 pts)

94

Rating FactorsSection 202


3. Soundness of Approach (47 pts)

a. Site approvability (20 pts)

b. One or more of proposed sites is not

permissively zoned (-1 pt) c. Site promotes greater choice of

housing for minority elderly (10 pts)

3. Soundness of Approach (47 pts)


b. One or more of proposed sites is not

permissively zoned (-1 pt) c. Site promotes greater choice of

housing for minority elderly (10 pts)

95

Rating Factors (cont’d)Section 202


3. Soundness of Approach (cont’d) (47 pts)

d. Design meets physical needs of the elderly (2 pts)

e. Size & unit mix promote efficient mgmt./ economic service provision (2 pts)

3. Soundness of Approach (cont’d) (47 pts)

d. Design meets physical needs of the elderly (2 pts)

e. Size & unit mix promote efficient mgmt./ economic service provision (2 pts)

96



3. Soundness of Approach (cont’d)

f. Design accommodates services over useful life of hsg (2 pts)

g. Supp. services meet needs of residents & provided on a long-term basis

(3pts)h. Design incorporates visitability stds &

universal design (1 pt)


f. Design accommodates services over useful life of hsg (2 pts)

g. Supp. services meet needs of residents & provided on a long-term basis

(3pts)h. Design incorporates visitability stds &

universal design (1 pt)

97



3. Soundness of Approach – (cont’d)

i. Involvement of elderly persons in development of the appl. & in dev. & operation of the project (2 pts)

j. Efforts the local jurisdiction has taken in removing reg. Barriers to affordable housing (2 pts)

k. Extent of energy efficiency in proj. design/operation (1 pt)


i. Involvement of elderly persons in development of the appl. & in dev. & operation of the project (2 pts)

j. Efforts the local jurisdiction has taken in removing reg. Barriers to affordable housing (2 pts)

k. Extent of energy efficiency in proj. design/operation (1 pt)

98




l. Description of plans to expand economic opportunities for low & very

low-income persons in project area (2 pts)

• (1 pt): Training/employment opportunities

• (1 pt): Award contracts


l. Description of plans to expand economic opportunities for low & very

low-income persons in project area (2 pts)

• (1 pt): Training/employment opportunities

• (1 pt): Award contracts

99



3. Soundness of Approach (40pts)


b. One or more of proposed sites is not permissively zoned (-1 pt)

c. Site promotes greater housing choice (8 pts)

3. Soundness of Approach (40pts)


b. One or more of proposed sites is not permissively zoned (-1 pt)

c. Site promotes greater housing choice (8 pts)

100




d. Design meets resident needs & will facilitate integration & indep. (2 pts)

e. Design incorporates visitability stds & universal design (1 pt)

f. Board includes persons with disabilities (4 pts)


d. Design meets resident needs & will facilitate integration & indep. (2 pts)

e. Design incorporates visitability stds & universal design (1 pt)

f. Board includes persons with disabilities (4 pts)

101




g. Involvement of persons with disabilities in dev. of appl. & in dev & operation of project (3 pts)

h. Extent to which you coordinated appl with other organizations (2 pts)


g. Involvement of persons with disabilities in dev. of appl. & in dev & operation of project (3 pts)

h. Extent to which you coordinated appl with other organizations (2 pts)

102




i. Consultation with Continuum of Care orgs. and dev. of ways to end

chronic homelessness (1 pt)

j. Efforts the local jurisdiction has undertaken in removing reg. barriers

to affordable housing (2 pts)


i. Consultation with Continuum of Care orgs. and dev. of ways to end

chronic homelessness (1 pt)

j. Efforts the local jurisdiction has undertaken in removing reg. barriers

to affordable housing (2 pts)

103




k. Extent of energy efficiency in proj. design/operation (1 pt) l. Description of plans to expand

economic opportunities for low & very low-income persons in

project area (2 pts)• (1 pt): Training/employment • (1 pt): Award contracts


k. Extent of energy efficiency in proj. design/operation (1 pt) l. Description of plans to expand

economic opportunities for low & very low-income persons in

project area (2 pts)• (1 pt): Training/employment • (1 pt): Award contracts

104


4. Leveraging Resources (5 pts)A sliding scale based on written evidence of firm funding commitments from outside sources in relationship to the $ value with the HUD-approved Cap. Adv. amount:

4. Leveraging Resources (5 pts)A sliding scale based on written evidence of firm funding commitments from outside sources in relationship to the $ value with the HUD-approved Cap. Adv. amount:

105


• Leveraging Resources (cont’d)

a. 0 pt: 5% or less b. 1 pt: Between 6% - 10% c. 2 pts: Between 11%- 15% d. 3 pts: Between 16%- 20% e. 4 pts: Between 21%- 25% f. 5 pts: Over 25%

• Leveraging Resources (cont’d)

a. 0 pt: 5% or less b. 1 pt: Between 6% - 10% c. 2 pts: Between 11%- 15% d. 3 pts: Between 16%- 20% e. 4 pts: Between 21%- 25% f. 5 pts: Over 25%

106


5. Achieving Results and Program Evaluation (12 pts)

a. Project Development Timeline indicative of full understanding of development process (5pts)

b. Evidence of past performance indicates timely dev. of proposed project (2pts)

5. Achieving Results and Program Evaluation (12 pts)

a. Project Development Timeline indicative of full understanding of development process (5pts)

b. Evidence of past performance indicates timely dev. of proposed project (2pts)

107


5. Achieving Results and Program Evaluation (cont’d)

c. Project will implement practical solutions (2 pts)

d. Extent to which you demonstrated that project will remain viable

throughout 40-year term (3 pts)

5. Achieving Results and Program Evaluation (cont’d)

c. Project will implement practical solutions (2 pts)

d. Extent to which you demonstrated that project will remain viable

throughout 40-year term (3 pts)

108

Bonus Points(2)Bonus Points(2)

Location of Project in RCs/EZs/EC-IIs:

• Renewal Community• Empowerment Zone• Enterprise Community• Designated in Round II by USDA • RC Tax Incentive Utilization Plan

Location of Project in RCs/EZs/EC-IIs:

• Renewal Community• Empowerment Zone• Enterprise Community• Designated in Round II by USDA • RC Tax Incentive Utilization Plan

109

Bonus Points (2 Points)(Cont’d)

Bonus Points (2 Points)(Cont’d)

Location of Project in RCs/EZs/ECs:

- To find designated areas, go to:

www.hud.gov/offices/adm/grants/fundsavail.cfm

Location of Project in RCs/EZs/ECs:

- To find designated areas, go to:

www.hud.gov/offices/adm/grants/fundsavail.cfm

http://www.hud.gov/offices/adm/grants/fundsavail.cfm






110

Selection ProcessSelection Process

• Three Tiered– Program Center– Hub– Headquarters

• Three Tiered– Program Center– Hub– Headquarters

111

Selection Process Program Center


Only approvable applications scoring 75 points or more prior to addition of RC/EZ/EC-II Bonus Points are eligible for selection.

Only approvable applications scoring 75 points or more prior to addition of RC/EZ/EC-II Bonus Points are eligible for selection.

112



• Applications placed in rank order– Applications are selected until there

are no sufficient funds to select the next project for the number of units and dollars requested

– For 202, applications are ranked & selected separately for metro and non-metro categories

• Applications placed in rank order– Applications are selected until there

are no sufficient funds to select the next project for the number of units and dollars requested

– For 202, applications are ranked & selected separately for metro and non-metro categories

113

Selection Process (Cont’d)

Program Center

Selection Process (Cont’d)

Program Center

• Applications placed in rank order- For 811, applications placed in rank order in 2 categories:

Category A:Approvable appls. with acceptable evidence of site control of all proposed sites & all sites are approvable

• Applications placed in rank order- For 811, applications placed in rank order in 2 categories:

Category A:Approvable appls. with acceptable evidence of site control of all proposed sites & all sites are approvable

114

Selection Process (Cont’d)Program Center


• Applications placed in rank order

Category B:– Approvable appls. with identified sites;

– Appls. submitted with site control &evidence of site control but the sites are unacceptable

– Applications with combination of sites under control & identified sites

• Applications placed in rank order

Category B:– Approvable appls. with identified sites;

– Appls. submitted with site control &evidence of site control but the sites are unacceptable

– Applications with combination of sites under control & identified sites

115



• Offices may use residual funds to fund next highest rated application by reducing units up to 10% rounded to nearest whole number if:

– project remains feasible;– will not reduce projects of 5 or less units (2

units or less if group home);– an application was not skip over based on

remaining funds.

• Offices may use residual funds to fund next highest rated application by reducing units up to 10% rounded to nearest whole number if:

– project remains feasible;– will not reduce projects of 5 or less units (2

units or less if group home);– an application was not skip over based on

remaining funds.

116

Selection Process (cont’d)Program Center- Section 202

Selection Process (cont’d)Program Center- Section 202

• Can combine residual metro & non-metro funds

• Can select next project in either category if there are sufficient funds and may use unit reduction policy if necessary

• Can combine residual metro & non-metro funds

• Can select next project in either category if there are sufficient funds and may use unit reduction policy if necessary

117

Selection Process (Cont’d)Program Center- Section 811Selection Process (Cont’d)Program Center- Section 811

• Must select applications first from Category A

• Can select next from Category B, if sufficient funds are available

• May use unit reduction policy, if necessary

• Must select applications first from Category A

• Can select next from Category B, if sufficient funds are available

• May use unit reduction policy, if necessary

118

Selection ProcessHUB


• Combined residual funds from Program Centers to restore units that were reduced

– Select applications in HUB-WIDE rank order with no more than 1 application selected per Program Center

– For 811, select first from Category A, if funds remain, then from Category B

• Combined residual funds from Program Centers to restore units that were reduced

– Select applications in HUB-WIDE rank order with no more than 1 application selected per Program Center

– For 811, select first from Category A, if funds remain, then from Category B

119



• Repeat process until funds can no longer support next ranked project

• Utilize unit reduction policy, if possible, for last project

• Cannot skip over a project

• Repeat process until funds can no longer support next ranked project

• Utilize unit reduction policy, if possible, for last project

• Cannot skip over a project

120

Selection ProcessHeadquarters


• Residual funds from all Hubs will be combined

• If necessary, funds will be used to fund previously submitted projects from last FY not selected due to HUD error

• Residual funds from all Hubs will be combined

• If necessary, funds will be used to fund previously submitted projects from last FY not selected due to HUD error

121



• Restore unit reductions• Select projects in NATIONWIDE rank

order with no more than 1 application selected per HUD Office

• For 202 only, priority is given to non-metro projects to comply with statutory requirement– Repeat Process– May skip over higher ranked appl to use

remaining funds

• Restore unit reductions• Select projects in NATIONWIDE rank

order with no more than 1 application selected per HUD Office

• For 202 only, priority is given to non-metro projects to comply with statutory requirement– Repeat Process– May skip over higher ranked appl to use

remaining funds

122

Selection ProcessHeadquarters (Cont’d)

Selection ProcessHeadquarters (Cont’d)

• For 811 only, select projects first from Category A, if funds still remain, and

then from Category B – Repeat Process– May skip over a Category A appl. to

ensure only 1 appl funded per HUD Office

• For 811 only, select projects first from Category A, if funds still remain, and

then from Category B – Repeat Process– May skip over a Category A appl. to

ensure only 1 appl funded per HUD Office

section 202/811 capital advance programs

Documents

eligible program residents

capital fund section

bedroom unit

capital fund fy

separate unit

residents onlyup

bedrm unit

capital advance covers