Section G: Conditional Awards and Technical Submission

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Link to the Technical Submission

The SHP application process for new projects and renewals with changes has two phases. First, eligible organizations submit applications for SHP projects in response to the Continuum of Care Homeless Assistance Notice of Funding Availability (NOFA). An applicant who is successful in the competition (called a "selectee") then completes a second phase by providing more detailed technical information not contained in the original application. This more detailed information is submitted by completing what is referred to as the SHP Technical Submission document that contains all of the information HUD requires for the second (and final) phase prior to grant agreement execution.

Submission Process for Selectees

Contents of Technical Submission Document

For all new projects, selectees should only fill out the exhibits that correspond to the activities in their application to HUD.

The following format is generally used in the Technical Submission, as applicable:

Beginning with the 2007 competition, if awarded funds, renewal projects with changes must complete a Technical Submission prior to signing a grant agreement. If there are no changes to the projects, and funds are available, the project can proceed to the grant execution phase.

New Projects and Renewal Projects with Changes may need to complete:

  • Cover Page: Table of Contents and Certification
  • Exhibit 1: Project Summary - Selectee and project sponsor information, project budget and milestones
  • Exhibit 2 (New Projects): Acquisition, Rehabilitation, New Construction and Project Feasibility - Cost, site control, and zoning information. A separate exhibit must be submitted for each structure within a project. For project feasibility, total amount of cash needed to do acquisition, rehabilitation, or new construction
  • Exhibit 3: Real Property Leasing - Leasing costs for supportive housing and/or supportive service facilities
  • Exhibit 4: Supportive Services - Types, quantities, and costs of services, and site control for sites operated by the project sponsor
  • Exhibit 5: Operating Budget - Types and costs for each SHP-funded operating cost, and site control
  • Exhibit 6: HMIS Dedicated Project -Types, quantities, resources, costs of an HMIS, operations and match
  • Exhibit 7: Administration - Distribution plan for administrative funds
  • Exhibit 8: Leveraging - Leveraging documentation

Selectees are required to complete only the exhibits that are applicable to their project. For renewal projects, any changes must be reflected in the Technical Submission.

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Deadlines and Requests for Extension of Deadline

The deadline for the Technical Submission is one month from the date of the letter from the selectee's local field office requesting the submission. Selectees may submit exhibits as they complete them; however, the entire submission is due by the deadline.

Extensions of the one-month deadline may be granted by the field office if there are any omissions or deficiencies in the Technical Submission document, which can be corrected within a reasonable timeframe. However, approval of the extension is contingent on whether, in the field office's judgment, the selectee has made a good faith effort to meet the initial deadline and whether the remaining issues can be resolved in a timely manner.

Other project deadlines and timely standards are described in Section F Important Dates.

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Review Process

The Technical Submission is reviewed and approved or disapproved by the local field office. Field offices review budget figures to ensure that items are eligible, budgets are reasonable, and that the project described in the Technical Submission documents matches the conditionally selected project. During this stage, it may be necessary to reduce the grant if ineligible costs are found or to adjust budgets if costs are misclassified. The total project funding may not be increased, however.

If a project is found to have major problems or deficiencies that, in the judgment of the field office, cannot be corrected within a reasonable timeframe or it is determined by the field office that the selectee has not made a good faith effort to produce an approvable project by the Technical Submission deadline, the project will be denied final grant approval and funds will be deobligated.

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Documentation of Changes from the Original Application

For new grantees, the Technical Submission exhibits should be based on the information given in the selectees’ original application; however, they should contain more detailed information about a project. For renewal grantees, the Technical Submission exhibits should be based on the information in the selectee’s most current application, including amendments if applicable, rather than the original application.

Total dollar amounts requested in the exhibits should match total dollar amounts requested in the summary budget submitted with the application. Project site addresses should match project site addresses submitted in the application. If any changes are made to the application during completion of the Technical Submission document, the selectee should submit a written explanation and request for approval of the changes, along with the new exhibits and/or sections of the application, which reflect the changes. If a change is made during the field office Technical Submission review process, selectees must complete new exhibits, as appropriate, upon notification by the HUD office.

As described in Section R Grant Amendments, changes to the project can be made at any time during the grant term; minor changes do not require prior HUD approval but significant changes do. Significant changes may be implemented after HUD and the grantee have executed a grant agreement amendment. However, only those significant changes in a written grant amendment that has been signed by HUD and the grantee before the competition’s application deadline will be considered when awarding a renewal grant.

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Ongoing Contacts/Questions

Selectees may call the HUD field office for answers to specific questions about the Technical Submission document. The technical review may involve ongoing communication between HUD and selectees to make sure that all requirements are satisfied.

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Assembly of Technical Submission Package

To help HUD expedite the review of the Technical Submission document, it should be assembled in the order as indicated on the cover page. If an exhibit is not applicable, it should be labeled as such. Tabs should be used to mark each exhibit and all pages should be numbered sequentially. Supporting documentation, such as cost estimates, may be referenced in the appropriate exhibit and attached as an appendix.

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