[Federal Register: March 13, 2007 (Volume 72, Number 48)]
[Notices]
[Page 11433-11772]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr13mr07-119]
[[Page 11433]]
-----------------------------------------------------------------------
Part II
Department of Housing and Urban Development
-----------------------------------------------------------------------
Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs; Notice
[[Page 11434]]
-----------------------------------------------------------------------
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-5100-N-01A]
Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's Fiscal Year (FY) 2007 Notice of Funding
Availability (NOFA) for HUD's Discretionary Programs (SuperNOFA).
-----------------------------------------------------------------------
SUMMARY: On January 18, 2007, HUD published its Notice of FY2007 Notice
of Funding Availability Policy Requirements and General Section to the
SuperNOFA (General Section). HUD published the General Section of the
FY2007 SuperNOFA in advance of the individual NOFAs to give prospective
applicants sufficient time to begin preparing their applications, and
to register early with Grants.gov in order to facilitate their
application submission process. Today's publication contains the 38
funding opportunities or program NOFAs that constitute HUD's FY2007
SuperNOFA. In addition, today's publication provides a revised listing
of programs contained in the FY2007 SuperNOFA and corrects two items
contained in the General Section published on January 18, 2007.
DATES: Application deadline and other key dates that apply to all HUD
federal financial assistance made available through HUD's FY2007
SuperNOFA are contained in each individual program NOFA and in Appendix
A of this notice.
FOR FURTHER INFORMATION CONTACT: The individual program NOFA identifies
the applicable agency contact(s) for each program. Questions regarding
today's Introduction to the SuperNOFA should be directed to the NOFA
Information Center between the hours 10 a.m. and 6:30 p.m. eastern time
at (800) HUD-8929. Hearing-impaired persons may access this telephone
via TTY by calling the toll-free Federal Information Relay Service at
(800) 877-8339. Questions regarding specific program requirements
should be directed to the agency contact(s) identified in each program
NOFA.
SUPPLEMENTARY INFORMATION: HUD published the General Section of the
FY2007 SuperNOFA on January 18, 2007 (72 FR 2396). HUD published the
General Section in advance of the individual program NOFAs to give
prospective applicants sufficient time to begin preparing their
applications, and to register early with Grants.gov in order to
facilitate their application submission process. Today's publication
contains the 38 individual funding opportunities, or program NOFAs,
that constitute HUD's FY2007 SuperNOFA. Through the FY2007 SuperNOFA,
HUD is making available approximately $2 billion in federal financial
assistance. In addition, today's publication provides a revised listing
of programs contained in the FY2007 SuperNOFA and corrects one item
contained in the General Section published on January 18, 2007.
Each program NOFA provides the statutory and regulatory
requirements, threshold requirements, and rating factors applicable to
funding made available through the individual NOFA. Applicants must
also review, however, the January 18, 2007, General Section for
important application information and requirements, including
submission requirements that provide explicit instructions on file
formats acceptable to HUD.
Appendix A to the January 18, 2007, General Section identified the
funding opportunities anticipated to be included in the FY2007
SuperNOFA. HUD is revising and republishing Appendix A (Revised
Appendix A) as part of today's FY2007 SuperNOFA publication. Revised
Appendix A provides an up-to-date funding chart that lists the funding
opportunities included in today's FY2007 SuperNOFA publication, along
with the application deadline.
In reviewing Revised Appendix A, applicants should note that the
Youthbuild NOFA, Brownfields Economic Development Initiative (BEDI)
NOFA, and the Public Housing Neighborhood Networks (PH-NN) NOFA are not
part of today's FY2007 SuperNOFA publication. The Youthbuild program
was transferred to the U.S. Department of Labor on September 22, 2006,
in accordance with Public Law 109-281, and will not be included in the
FY2007 SuperNOFA. Persons interested in funding opportunities under the
Youthbuild program should contact the U.S. Department of Labor. The
BEDI and PH-NN were not funded in FY2007. HUD is also providing NOFAs
for three programs that were not contained in its FY2006 SuperNOFA,
specifically the Housing Counseling Training Program, Early Doctoral
Student Research Grant Program, and the Doctoral Dissertation Research
Program NOFAs.
HUD is also using today's publication to correct two items
contained in the General Section published on January 18, 2007.
Initially, HUD noted in section V.A.1. (third column beginning on page
2408 and continuing to page 2409), that: ``For each program NOFA, the
points awarded for the rating factors total 100. Depending on the
program for which you are seeking funding, the funding opportunity may
provide up to four bonus points, as provided below:''
In fact, since the FY2007 SuperNOFA offers bonus points only for
applicants that certify that their activities or projects are located
in, intended to serve the residents of, or are consistent with the
strategic plan for an empowerment zone (EZ), utilization plan for an
urban or rural renewal community designated by HUD (RC), or strategic
plan for an enterprise community designated in round II by the U.S.
Department of Agriculture (EZ-II), collectively referred to as ``RC/EZ/
EC-IIs,'' only two bonus points are available. As a result, section
V.A.1. (third column beginning on page 2408 and continuing to page
2409), should read: ``For each program NOFA, the points awarded for the
rating factors total 100. Depending on the program for which you are
seeking funding, the funding opportunity may provide up to two bonus
points, as provided below:''
HUD is also correcting instructions regarding the completion of the
Logic Model form (HUD-96010). In the third sentence of section
VI.C.5.b. (middle column, page 2414), HUD stated that applicants should
include all activities and outcomes expected per year of the period of
performance. To be consistent with and correctly complete the Logic
Model forms, applicants are advised that they must include all
activities and outcomes expected per year of the period of performance.
As a result, the third sentence of section VI.C.5.b. is corrected to
read, ``[T]o provide for greater consistency in reporting, applicants
must include all activities and outcomes expected per year of the
period of performance as defined in the program logic model for the
program NOFA that they apply for.''
HUD published the General Section of the FY2007 SuperNOFA early to
provide its applicant community with the opportunity to become familiar
with cross-cutting requirements, and to remind prospective applicants
to register or renew their registration in order to successfully submit
an application via Grants.gov.
Applicants are required to complete a five-step registration
process in order to submit their applications electronically and
previously registered applicants must annually update their information
in the Central Contractor Registration (CCR) for the registration to
remain viable. HUD has developed the following brochures and guidance,
found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, to
assist applicants with the registration, CCR update, and application
processes:
STEP BY STEP: Your Guide to Registering for Grant
Opportunities.
[[Page 11435]]
Finding and Applying for Grant Opportunities.
Desktop User Guide for Submitting Grant Applications.
For FY2007, the Continuum of Care remains a paper application
process. HUD continues to encourage Continuum of Care agencies to
become familiar with Grants.gov requirements to facilitate the future
transition to Grants.gov. If you have questions concerning the
registration process or renewal, or have a question about a NOFA
requirement, contact HUD staff listed in the program NOFAs. HUD staff
cannot help you write your application, but can clarify requirements
contained in this Notice and HUD's registration materials.
Finally, applicants are invited and encouraged to participate in
HUD's satellite training and webcast sessions designed to provide a
detailed explanation of the general section and program section
requirements for each of the SuperNOFA programs. The interactive
broadcasts provide an opportunity to ask questions of HUD staff. These
broadcasts are archived and accessible from HUD's Grants page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
HUD also encourages
applicants to subscribe to the Grants.gov free notification service. By
doing so, applicants will receive e-mail notification as soon as items
are posted to Grants.gov and will have access to a significant amount
of useful information, including responses to frequently asked
questions that arise during the funding application period. The address
to subscribe to the Grants.gov free notification service is http://www.grants.gov/search/email.do.
Modifications to the General Section,
any of the program NOFAs, or the application are posted to
http://www.Grants.gov as soon as they are available (except for the Continuum
of Care NOFA). Modifications to the Continuum of Care NOFA, or the
Continuum of Care application are posted to HUD's grants page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm
.
As stated in the General Section, HUD hopes that the steps that it
has taken to provide information early in the FY2007 funding process
will be of benefit to you, our applicants.
Dated: February 26, 2007.
Roy A. Bernardi,
Deputy Secretary.
[[Page 11436]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.000
[[Page 11437]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.001
[[Page 11438]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.002
[[Page 11439]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.003
[[Page 11440]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.004
[[Page 11441]]
BILLING CODE 4210-01-C
Community Development Technical Assistance
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title: Community Development Technical
Assistance (CD-TA).
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: FR-5100-N-08; OMB Approval Numbers:
2506-0166 for HOME Investment Partnerships Program (HOME), HOME
Investment Partnerships Program for Community Housing Development
Organizations (CHDO (HOME)), and McKinney-Vento Homeless Assistance
(Homeless), 2506-0133 for Housing Opportunities for Persons With AIDS
(HOPWA).
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.239,
HOME and CHDO (HOME); 14.235, Homeless; 14.241, HOPWA.
F. Dates: The application deadline date is May 25, 2007.
G. Additional Overview Information: Applicants interested in
providing technical assistance to entities participating in HUD's
community development programs should carefully review the General
Section and the information listed in this CD-TA NOFA. Funds are
available to provide technical assistance for four separate program
areas: HOME, CHDO (HOME), Homeless, and HOPWA. Applicants may apply for
one, two, three, or all four CD-TA program areas. The application
submission information is contained in this CD-TA NOFA at Section IV.B.
Approximately $25.4 million is available. No cost sharing is required.
Grants will be administered under cooperative agreements with
significant HUD involvement (see Section II.C of this NOFA).
Full Text of Announcement
I. Funding Opportunity Description
A. CD-TA Purpose. The purpose of the CD-TA program is to provide
assistance to achieve the highest level of performance and results for
four separate community development program areas: (1) HOME; (2) CHDO
(HOME); (3) Homeless and; (4) HOPWA. Information about the four
community development programs and their missions, goals, and
activities can be found on the HUD Web site at http://www.hud.gov.
B. Description of National TA and Local TA. There are two types of
technical assistance (TA) funding available in this NOFA: National TA
and Local TA.
National TA activities are those that address, at a nationwide
level, one or more of the CD-TA program activities and/or priorities
identified in Section III.C. of this NOFA. National TA activities may
include the development of written products, development of on-line
materials, development of training courses, delivery of training
courses previously approved by HUD, organization and delivery of
workshops and conferences, and delivery of direct TA as part of a
national program. Applicants for National TA must also be willing to
work in any HUD field office area, although work in the field office
areas is likely to be a negligible portion of National TA activities.
National TA activities are administered by a Government Technical
Representative (GTR) and Government Technical Monitor (GTM) at HUD
Headquarters.
Local TA activities also must address the CD-TA program activities
and/or priorities identified in this NOFA; however the Local TA is
targeted to the specific needs of the HUD community development program
recipients in the field office area in which the TA is proposed. Local
TA activities are limited to the development of need assessments,
direct TA to HUD community development program recipients, organization
and delivery of workshops and conferences, and customization and
delivery of previously HUD-approved trainings. Local TA will be
administered by a GTR and GTM in the respective HUD field office.
C. Authority. HOME TA is authorized by the HOME Investment
Partnerships Act (42 U.S.C. 12781-12783); 24 CFR part 92. CHDO (HOME)
TA is authorized by the HOME Investment Partnerships Act (42 U.S.C.
12773); 24 CFR part 92. For the McKinney-Vento Act Homeless Assistance
Programs TA, the Supportive Housing Program is authorized under 42
U.S.C. 11381 et seq.; 24 CFR 583.140; Emergency Shelter Grants, Section
8 Moderate Rehabilitation Single Room Occupancy Program, and Shelter
Plus Care TA are authorized by the Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110-5, approved February 15, 2007). HOPWA TA
is also authorized under the continuing resolution.
II. Award Information
A. Available Funds. Approximately $25.4 million is available for
the CD-TA program. Additional funds may become available as a result of
recapturing unused funds. This chart shows how the funds are divided
among National TA and Local TA activities:
------------------------------------------------------------------------
Program National TA Local TA
------------------------------------------------------------------------
HOME.................................... $4,000,000 $6,000,000
CHDO (HOME)............................. 2,000,000 6,000,000
Homeless................................ 3,500,000 3,000,000
HOPWA................................... 900,000 0
------------------------------------------------------------------------
The Local TA funds are divided among HUD's field office
jurisdictions for the HOME, CHDO (HOME), and Homeless programs. No
Local TA funds are available for HOPWA. In the case of the national
CHDO (HOME) program, if less than the total amount of available funds
is awarded, the balance may be used to make awards under the national
HOME TA program, subject to congressional reprogramming approval, if
applicable. The chart below shows the amounts available in dollars for
Local TA by CD-TA program:
----------------------------------------------------------------------------------------------------------------
Local TA Area HOME CHDO (HOME) Homeless
----------------------------------------------------------------------------------------------------------------
Alabama......................................................... $75,000 $50,000 $55,000
Alaska.......................................................... 45,000 50,000 30,000
Arkansas........................................................ 50,000 75,000 55,000
California--Northern and Arizona, Nevada........................ 400,000 425,000 300,000
California--Southern............................................ 425,000 450,000 275,000
Caribbean....................................................... 125,000 100,000 40,000
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming. 175,000 195,000 60,000
Connecticut..................................................... 70,000 80,000 40,000
District of Columbia area....................................... 70,000 80,000 50,000
Florida--Southern............................................... 75,000 60,000 25,000
[[Page 11442]]
Florida--Northern............................................... 125,000 76,000 85,000
Georgia......................................................... 125,000 100,000 55,000
Hawaii.......................................................... 65,000 65,000 45,000
Illinois........................................................ 180,000 175,000 160,000
Indiana......................................................... 130,000 75,000 25,000
Kansas and Missouri--Western.................................... 100,000 75,000 50,000
Missouri--Eastern............................................... 40,000 55,000 40,000
Kentucky........................................................ 250,000 150,000 55,000
Louisiana....................................................... 100,000 100,000 54,000
Maryland, except District of Columbia area...................... 60,000 50,000 30,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont...... 310,000 300,000 200,000
Michigan........................................................ 175,000 225,000 150,000
Minnesota....................................................... 100,000 140,000 60,000
Mississippi..................................................... 150,000 250,000 50,000
Nebraska and Iowa............................................... 90,000 55,000 40,000
New Jersey...................................................... 150,000 75,000 40,000
New Mexico...................................................... 200,000 275,000 60,000
New York--Downstate............................................. 200,000 425,000 210,000
New York--Upstate............................................... 125,000 75,000 40,000
North Carolina.................................................. 300,000 300,000 55,000
Ohio............................................................ 150,000 190,000 70,000
Oklahoma........................................................ 55,000 40,000 15,000
Oregon and Idaho................................................ 85,000 75,000 30,000
Pennsylvania--Eastern and Delaware.............................. 225,000 125,000 50,000
Pennsylvania--Western and West Virginia......................... 150,000 100,000 49,000
South Carolina.................................................. 65,000 34,000 40,000
Tennessee....................................................... 150,000 175,000 40,000
Texas--Northern................................................. 150,000 175,000 85,000
Texas--Southern................................................. 85,000 40,000 0
Virginia, except District of Columbia area...................... 100,000 100,000 40,000
Washington...................................................... 100,000 65,000 40,000
Wisconsin....................................................... 100,000 150,000 70,000
Houston......................................................... 100,000 125,000 37,000
----------------------------------------------------------------------------------------------------------------
B. Performance Period. Awards will be for a period of up to 36
months. HUD, however, reserves the right to withdraw funds from a
specific TA provider if HUD determines that the urgency of need for the
assistance is greater in other field office jurisdictions or the need
for assistance is not commensurate with the award.
C. Terms of Award. HUD will enter into a cooperative agreement with
selected applicants for the performance period. Because CD-TA awards
are made as cooperative agreements, implementation entails significant
HUD involvement. Significant HUD involvement is required in all aspects
of TA planning, delivery, and follow-up.
In addition to the requirements listed in the General Section,
selected applicants are subject to the following requirements:
1. Demand-Response System. All CD-TA awardees must operate within
the structure of the demand-response system. Under the demand-response
system, TA providers are required to:
a. When requested by a GTR, market the availability of their
services to existing and potential recipients within the jurisdictions
in which the assistance will be delivered;
b. Respond to requests for assistance from the GTR;
c. When requested by a GTR, conduct a needs assessment to identify
the type and nature of the assistance needed by the recipient of the
assistance;
d. Obtain the local HUD field office's approval before responding
to direct requests for technical assistance from HOME Participating
Jurisdictions (PJs), Community Housing Development Organizations
(CHDOs), and McKinney-Vento Act Homeless Assistance and HOPWA grantees;
and
e. For CHDO (HOME) TA providers, secure a letter from a PJ stating
that a CHDO, or prospective CHDO to be assisted by the provider, is a
recipient or intended recipient of HOME funds and indicating, at its
option, subject areas of assistance that are most important to the PJ.
2. Training. When conducting training sessions as part of its CD-TA
activities, CD-TA providers are required to:
a. Design the course materials as ``step-in'' packages so that HUD
or other CD-TA providers may independently conduct the course on their
own;
b. Make the course materials available to the GTR in sufficient
time for review (minimum of three weeks) and receive concurrence from
the GTR on the content and quality prior to delivery;
c. Provide all course materials in an electronic format that will
permit wide distribution among TA providers, field offices, and HUD
grantees;
d. Arrange for joint delivery of the training with HUD
participation when requested by the GTR;
e. Deliver HUD-approved training courses that have been designed
and developed by others on a ``step-in'' basis when requested; and
f. Send trainers to approved ``train-the-trainers'' sessions. The
costs associated with attending these required sessions are eligible
under the cooperative agreement.
3. Field Office Involvement under National TA awards. When National
TA providers are undertaking activities in field office jurisdictions,
the National TA providers must work cooperatively with HUD field
offices. Providers must notify the applicable HUD field office of the
planned activities; consider the views or recommendations of that
office, if any; follow those recommendations, to the degree
practicable; and report to the applicable field office on the
accomplishments of the assistance.
D. Certification of HOME and CHDO TA Providers Required-Beginning
FY2008.
Many technical assistance providers have taken the HOME Certified
Specialist--Regulations training and
[[Page 11443]]
have passed the certification exam. Please note that beginning with the
FY2008 NOFA, HUD intends to award higher points, under Rating Factor 1,
to applicants delivering HOME or CHDO technical assistance that have
staff who have taken and passed the HOME Certified Specialist--
Regulations training and exam.
At least ten HOME Certified Specialist--Regulations training
deliveries are scheduled for 2007 and a number of slots are set aside
for TA providers at each of these deliveries. Registration information
for these deliveries can be found on the web at: http://www.icfhosting.com/hcd/cpd/hcdcpd.nsf/webpages/Welcome.html
.
III. Eligibility Information
A. Eligible Applicants. The eligible applicants for each of the
four CD-TA programs are listed in the chart below. In accordance with
the President's faith-based initiative, HUD welcomes the participation
of eligible faith-based and other community organizations in the CD-TA
programs.
------------------------------------------------------------------------
Program Eligible applicants
------------------------------------------------------------------------
HOME................................. A for-profit or nonprofit
professional and technical
services company or firm that
has demonstrated knowledge of
the HOME program and the
capacity to provide technical
assistance services;
A HOME Participating Jurisdiction
(PJ);
A public purpose organization,
established pursuant to state or
local legislation, responsible
to the chief elected officer of
a PJ;
An agency or authority
established by two or more PJs
to carry out activities
consistent with the purposes of
the HOME program; or
A national or regional nonprofit
organization that has membership
comprised predominantly of
entities or officials of
entities of PJs or PJs' agencies
or established organizations.
CHDO (HOME) A public or private nonprofit
intermediary organization that
customarily provides services,
in more than one community,
related to the provision of
decent housing that is
affordable to low-income and
moderate-income persons or
related to the revitalization of
deteriorating neighborhoods; has
demonstrated experience in
providing a range of assistance
(such as financing, technical
assistance, construction and
property management assistance)
to CHDOs or similar
organizations that engage in
community revitalization; and
has demonstrated the ability to
provide technical assistance and
training for community-based
developers of affordable
housing.
Note: Any organization funded to
assist CHDOs under CD-TA may not
undertake CHDO set-aside
activities itself within its
service area while under
cooperative agreement with HUD.
Homeless............................. A state;
A unit of general local
government;
A public housing authority; or
A public or private nonprofit or
for profit organization,
including educational
institutions and area-wide
planning organizations.
HOPWA................................ A for-profit or nonprofit
organization;
A state; or
A unit of general local
government.
------------------------------------------------------------------------
Applicants must also meet the threshold requirements of the General
Section, including the Civil Rights threshold in Section III (C).
A consortium of organizations may apply for one or more CD-TA
programs, but one organization must be designated as the applicant.
Applicants may propose assistance using in house staff, sub
contractors, sub recipients, and local organizations with the requisite
experience and capabilities. Where appropriate, applicants should make
use of TA providers located in the field office jurisdiction receiving
services.
B. Cost Sharing or Matching. None.
C. Other
1. Eligible Activities and Priorities. Funds may be used to provide
TA to grantees, prospective applicants, and project sponsors of the
HOME, CHDO (HOME), Homeless, and HOPWA programs. For each of the TA
programs, activities may include but are not limited to written
information such as papers, manuals, guides, and brochures; assistance
to individual communities; needs assessments; and training. TA should
include information needed by the grantee to meet all Fair Housing and
section 504 requirements. The priority TA areas for each of the four
program areas are:
a. HOME TA. HUD has identified four HOME program technical
assistance priorities. These priorities that result in measurable
performance outputs and outcomes are:
(1) Improve the ability of PJs to design and implement housing
programs that reflect sound underwriting, management, and fiscal
controls; demonstrate measurable outcomes in the use of public funds;
and provide accurate and timely reporting of HOME program
accomplishments.
(2) Encourage public-private partnerships that yield an increase in
the amount of private dollars leveraged for HOME-assisted projects and
result in an increase in the commitment and production of HOME-assisted
units.
(3) Assist PJs in developing strategies that ameliorate the
affordability gap between rapidly increasing housing costs and the less
rapid growth in incomes among low-income households, especially among
underserved populations (e.g., residents of the Colonias, homeless
persons, persons with disabilities, and residents of an empowerment
zone (EZ) designated by HUD or the United States Department of
Agriculture (USDA), an urban or rural renewal community designated by
HUD (RC), or an enterprise community designated in round II by USDA
(EC-II).
(4) Assist PJs in developing strategies that increase and help
sustain homeownership opportunities for low-income households--
particularly low-income, minority households--and directly result in
the commitment and completion of HOME-assisted units.
Some examples of measurable performance outputs and outcomes are
given in Rating Factor 5.
b. CHDO (HOME) TA.
(1) HUD has identified three CHDO-specific technical assistance
priorities. These priorities that result in measurable performance
outputs and outcomes are:
(a) Assist new CHDOs and potential CHDOs in developing the
organizational capacity to own, develop, and sponsor HOME-assisted
projects. A new CHDO is defined as a nonprofit organization that within
three years of the publication of this NOFA was
[[Page 11444]]
determined by a PJ to qualify as a CHDO. A potential CHDO is defined as
a nonprofit organization that is expected by the PJ to qualify as a
CHDO and is expected to enter into a written agreement with that PJ to
own, develop, or sponsor HOME-assisted housing within 24 months of the
PJ determining the organization qualifies as a CHDO.
(b) Improve the HOME program production and performance of existing
CHDOs in the areas of:
(i) Program design and management, including underwriting, project
financing, property management, and compliance; and
(ii) Organizational management and capacity, including fiscal
controls, board development, contract administration, and compliance
systems.
(c) Provide organizational support, technical assistance, and
training to community groups for the establishment of community land
trusts, as defined in section 233(f) of the Cranston-Gonzales National
Affordable Housing Act.
(2) Additional CHDO (HOME) eligible activities are:
(a) Under the ``Pass-Through'' provision, CD-TA providers may
propose to fund various operating expenses for eligible CHDOs that own,
develop, or sponsor HOME-assisted housing. Such operating expenses may
include reasonable and necessary costs for the operation of the CHDO
including salaries, wages, and other employee compensation and
benefits; employee education, training and travel; rent; utilities;
communication costs; taxes; insurance; equipment, materials, and
supplies.
(b) CD-TA providers must establish written criteria for selection
of CHDOs receiving pass-through funds. PJs must designate the
organizations as CHDOs; and, generally, the organizations should not
have been in existence more than three years.
CD-TA providers must enter into an agreement with the CHDO that the
agreement and pass-through funding may be terminated at the discretion
of HUD if no written legally binding agreement to provide assistance
for a specific housing project (for acquisition, rehabilitation, new
construction, or tenant-based rental assistance) has been made by the
PJ with the CHDO within 24 months of initially receiving pass-through
funding. The pass-through amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50 percent of the CHDO's operating budget
for the year in which it receives funds, or $50,000 annually.
c. Homeless TA. Homeless TA funds are available to provide
McKinney-Vento Homeless Assistance Act, HUD-funded grantees, project
sponsors, and potential recipients with skills and knowledge needed to
develop and operate projects and activities. The assistance may
include, but is not limited to, developing and disseminating written
information such as papers, monographs, manuals, curriculums, guides,
and brochures; and person-to-person exchanges, conferences, training
and use of technology. TA activities are focused on these priorities
that result in measurable performance outputs and outcomes:
(1) Assist CoCs with Homeless Management Information System (HMIS)
implementation. National technical assistance will relate to data
collection, data quality, data analysis, provider participation,
reporting, performance measurement, data warehousing, and HMIS Data and
Technical Standards.
(2) Maintain and enhance the HMIS Web site portal as the vehicle
for collection and dissemination of HMIS information.
(3) Support collaboration between metropolitan, regional and
statewide HMISs. Assistance may include providing state and/or regional
HMIS technical assistance coordinators and/or technology to promote
effectuating long-distance meeting, conferencing and networking.
(4) Support collaboration between metropolitan, regional, and
statewide HMISs for use in disaster preparedness and recovery efforts,
utilizing the experience of communities that experienced Hurricanes
Katrina and Rita.
(5) Improve participation in the Annual Homeless Assessment Report
(AHAR) by CoCs and providers in their geographic areas through outreach
and capacity building. Develop materials and training for: Reporting
bed coverage; extrapolation and data analysis methodologies and
documents; data integration; data quality assessments; utilization of
AHAR data at the program and/or CoC level; and the collection and
analysis of CoC data for Congressionally-directed HMIS-related reports
to Congress.
d. HOPWA TA. HOPWA funds are available for technical assistance,
training, and oversight activities which can be used to provide
grantees, project sponsors, and potential recipients with the skills
and knowledge to effectively develop, operate, and support HOPWA-
eligible project activities that result in measurable performance
outputs and outcomes. TA activities are focused on these priorities:
(1) Improve the capacity of HOPWA grantees and project sponsors to
execute long-term comprehensive housing strategies by developing
housing plans that integrate permanent housing and supportive services,
thereby promoting HOPWA's national performance goals of increasing
housing stability, reducing risks of homelessness, and improving access
to care for HOPWA beneficiaries.
(2) Develop national models that effectively integrate AIDS housing
strategies into consolidated planning and Continuum of Care planning
processes.
(3) Develop curriculums and related training tools to assist
grantees and project sponsors in coordinating HOPWA permanent housing
assistance with mainstream medical and supportive service resources,
including Ryan White CARE Act, state, local, and private resources.
(4) Conduct training activities to improve the capacity of grantees
and project sponsors to increase the availability of affordable housing
opportunities for eligible persons in high incidence HIV/AIDS
communities with substantial unmet housing needs (e.g., emerging
populations, in major disaster areas and underserved rural areas.)
(5) Develop training materials to promote use of Homeless
Management Information Systems in the provision of HOPWA-assisted
housing and coordination of supportive services for eligible homeless
persons.
(6) Develop technical assistance plans in collaboration with HUD
field office oversight for local HOPWA-assisted housing programs. It is
estimated that up to 40 percent of HOPWA TA funds will be made
available for this purpose.
2. DUNS Requirement. Refer to the General Section for information
regarding the DUNS requirement. Applicants must obtain a DUNS number to
receive an award from HUD.
3. Other Eligibility Requirements. All applicants requesting
funding from programs under this NOFA must be in compliance with the
applicable threshold requirements found in the General Section.
Applicants that do not meet these requirements will be ineligible for
funding.
4. False Statements. An applicant's false statement in an
application is grounds for denial or termination of an award and
grounds for possible punishment as provided in 18 U.S.C. 1001.
5. Environmental review. Most activities under the CD-TA program
are categorically excluded and not subject
[[Page 11445]]
to environmental review under 24 CFR 50.19(b)(9) or (13), but in the
case of CHDO (HOME) TA eligible activities, a proposal for payment of
rent as part of CHDO operational costs will be subject to environmental
review by HUD under 24 CFR part 50. If an applicant proposes to assist
CHDO operating expenses that include rent, the application constitutes
an assurance that the applicant and CHDO will assist HUD to comply with
24 CFR part 50; will supply HUD with all available and relevant
information to perform an environmental review for the proposed
property to be rented; will carry out mitigating measures required by
HUD or select an alternate property; and will not lease or rent,
construct, rehabilitate, convert or repair the property, or commit or
expend HUD or non-HUD funds for these activities on the property to be
rented, until HUD has completed an environmental review to the extent
required by 24 CFR part 50. The results of the environmental review may
require that the proposed property be rejected.
IV. Application and Submission Information
A. Addresses to Request Application Package. Applications must be
received and validated by Grants.gov no later than 11:59:59 p.m.
Eastern time on the application deadline date. HUD must receive paper
copy applications from applicants that received a waiver no later than
11:59:59 p.m. on the application deadline date. See the General Section
for application submission and timely receipt procedures and for
instructions on how to request a waiver. Paper applications will not be
accepted unless the applicant has received a waiver of the electronic
submission requirement.
B. Content and Form of Application Submission. Applicants must
submit a separate application for each National TA and Local TA area
program for which they are applying. For example, an applicant for
National TA for HOME and for Local TA in three field office
jurisdictions would submit four separate and distinct applications.
A completed application consists of an application submitted by an
authorized official of the organization and contains all relevant
sections of the application, as shown in the checklist below in Section
IV.B.4.
1. Number of Copies. This information will be included in approval
letters to applicants submitting a waiver request.
2. Page Limitation. Narratives addressing Factors 1-5 are limited
to no more than 25 typed pages. That is, reviewers will not review more
than 25 pages for all five factors combined, except that the page limit
does not include the Form HUD-96010, Logic Model.
3. Prohibition on Materials Not Required. Materials other than what
is requested in this NOFA are prohibited. Reviewers will not consider
r[eacute]sum[eacute]s, charts, letters, or any other documents attached
to the application.
4. Checklist for Application Submission. Applicants submitting
electronic copies should follow the procedures in Sections IV.B. and F.
of the General Section. The following checklist is provided as a guide
to help ensure that you submit all the required elements. For
applicants receiving a waiver of the electronic submission, the paper
submission must be in the order provided below. All applicants should
enter the applicant name, DUNS number, and page numbers on the
narrative pages of the application. All forms are available when you
download the application and instructions from https://apply.grants.gov/forms_apps_idx.html
.
--SF-424, Application for Federal Assistance (see General Section)
--An Application Cover Page indicating in bold (a) the type of TA
proposed in the application whether HOME National, CHDO National, CHDO
Local, Homeless National, Homeless Local, or HOPWA National (b) the
amount of funds requested; and (c) for Local TA, the jurisdiction
proposed in the application.
--A one-page Summary describing (a) each major component of the
proposed TA approach; (b) the proposed cost of each major component;
and (c) whether the component is integrally related to another
component in order to be successful.
--Narrative addressing Factors 1-5
--HUD-96010, Logic Model
--HUD-424-CB, Grant Application Detailed Budget Form (see General
Section)
--HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects
(see General Section)
--If applying for CHDO (HOME) TA, statement as to whether the
organization proposes to pass through funds to new CHDOs.
--If applying for the CHDO (HOME) TA, a certification as to whether the
organization qualifies as a primarily single-state provider under
section 233(e) of the Cranston-Gonzales Affordable Housing Act.
--SF-LLL, Disclosure of Lobbying Activities (see General Section)
--HUD-2880, Applicant/Recipient Disclosure/Update Report (see General
Section)
--SF-424, Supplement, Survey on Equal Opportunity for Applicants
--HUD-96011, Facsimile Transmittal (required for electronic submissions
of third party documents)
C. Submission Dates and Times. Your completed application must be
received and validated electronically by Grants.gov no later than
11:59:59 p.m. eastern time on the deadline date.
D. Intergovernmental Review. Intergovernmental review is not
applicable to CD-TA applications.
E. Funding Restrictions. An organization may not provide assistance
to itself. An organization may not provide assistance to another
organization with which it contracts or sub-awards funds to carry out
activities under the TA award.
Funding from HOME and from CHDO (HOME) TA to any single eligible
organization (excluding funds for organizational support and housing
education ``passed through'' to CHDOs), whether as an applicant or sub-
recipient is limited to not more than 20 percent of the operating
budget of the recipient organization for any one-year period of each
cooperative agreement. In addition, funding under either HOME or CHDO
(HOME) TA to any single organization is limited to 20 percent of the
$18,000,000 made available for HOME and CHDO (HOME) TA in FY2007.
Not less than 40 percent of the approximately $8,000,000 for CHDO
(HOME) shall be made available for eligible TA providers that have
worked primarily in one state. HUD will consider an applicant as a
primarily single state TA provider if it can document that more than 50
percent of its past activities in working with CHDOs or similar
nonprofit and other organizations (on the production of affordable
housing, revitalization of deteriorating neighborhoods, and/or the
delivery of technical assistance to these groups) was confined to the
geographic limits of a single state.
No fee or profit may be paid to any recipient or sub-recipient of
an award under this CD-TA NOFA.
F. Other Submission Requirements. The General Section describes
application submission procedures and how applicants may obtain proof
of timely submission.
Waiver of Electronic Submission Requirements. Applicants interested
in applying for funding under this NOFA must submit their applications
electronically or request a waiver from the Community Development
Technical Assistance program. Applicants should
[[Page 11446]]
submit their waiver requests in writing by e-mail. Waiver requests must
be submitted no later than 15 days prior to the application deadline
date and should be submitted to Mark_A._Horwath@hud.gov. Instructions
regarding the number of copies to submit and the address where they
must be submitted will be contained in any approval of the waiver
request. Paper submissions must be received at the appropriate HUD
office(s) no later than the deadline date.
V. Application Review Information
A. Criteria. The maximum number of points to be awarded for a CD-TA
application is 100. The minimum score for an application to be
considered for funding is 75 with a minimum of 20 points on Factor 1.
The CD-TA program is not subject to bonus points, as described in the
General Section.
Points are assigned on five factors. When addressing Factors 2-5,
applicants should discuss the specific TA activities that will be
carried out during the term of the cooperative agreement. Applicants
should provide relevant examples to support the proposal, where
appropriate. Applicants should also be specific when describing the
communities, populations, and organizations that they propose to serve
and the specific outcomes expected as a result of the TA.
Factor 1 relates to the capacity of the applicant and its relevant
organizational experience. Rating of the ``applicant'' or the
``applicant's organization and staff'' includes in-house staff and any
sub-contractors and sub-recipients which are firmly committed to the
project. In responding to Factor 1, applicants should specify the
experience, knowledge, skills, and abilities of the applicant's
organization and staff, and any persons and organizations firmly
committed to the project.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (30 points) (Minimum for Funding Eligibility--20 points)
a. (10 points) Recent and successful experience of the applicant's
organization in providing TA in eligible activities and to eligible
entities for the HOME, CHDO (HOME), Homeless, or HOPWA. CD-TA programs,
as applicable.
In rating this factor, HUD will consider the extent to which the
application demonstrates successful experience within the last four
years of providing TA related to the applicable CD-TA program.
b. (10 points) Depth of experience in managing multiple TA tasks,
to multiple entities, and in more than one geographic area.
In rating this factor, HUD will consider the extent to which the
application demonstrates ability to manage TA assignments effectively.
c. (10 points) Knowledgeable key personnel skilled in providing TA
in one or more of the eligible activities for HOME, CHDO (HOME),
Homeless, and/or HOPWA programs, as applicable; a sufficient number of
staff or ability to procure qualified experts or professionals with the
knowledge, skills, and abilities to deliver the proposed level of TA in
the proposed service area in a timely and effective fashion; and an
ability to provide CD-TA in a geographic area larger than a single city
or county.
In rating this factor, HUD will consider the extent to which the
application demonstrates the organization has an adequate number of key
staff or ability to procure individuals with the knowledge of effective
TA approaches and knowledge of HOME, CHDO (HOME), Homeless, or HOPWA,
as applicable.
Rating Factor 2: Need/Extent of the Problem (10 points)
a. For National TA applications: Sound and extensive understanding
of need for TA in relation to the priorities listed in Section III C of
this NOFA as demonstrated by objective information and/or data, such as
information from HOME Snapshots, current census data, the American
Housing Survey, or other relevant data sources.
b. For Local TA applications: Sound and extensive understanding of
high priority needs for TA in the jurisdiction as demonstrated by
objective information and/or data, such as information from HOME
Snapshots, current census data, the American Housing Survey, or other
relevant data sources.
In rating this factor, HUD will evaluate the extent to which the
application demonstrates an understanding of the specific needs for TA
and supports the description of need with reliable, program-specific,
quantitative information. Applicants for HOME should, at a minimum,
draw on HOME Snapshot information to demonstrate PJs' needs, in an area
or nationwide, for additional training and capacity building. See
http://www.hud.gov/offices/cpd/affordablehousing/programs/home/snapshot/index.cfm
.
Rating Factor 3: Soundness of Approach (40 points)
a. (25 points) (1) For National TA applications: A sound approach
for addressing the need for eligible TA activities in relation to the
priorities listed in Section III C of this NOFA that will result in
positive outcomes.
(2) For Local TA applications: A sound approach for addressing high
priority needs for TA in the jurisdiction that will result in positive
outcomes.
In rating this factor, HUD will evaluate the extent to which the
application presents and supports a detailed, feasible, practical
approach for addressing TA needs (Local TA applications) or CD-TA
program priorities (National TA applications), including techniques,
timeframes, goals, and intended beneficiaries, and the likelihood that
these activities will be cost-effective and will result in positive
outcomes.
b. (10 points) A feasible work plan for designing, organizing,
managing, and carrying out the proposed TA activities under the demand-
response system.
In rating this factor, HUD will evaluate the applicant's
understanding of the demand-response system and the extent to which the
application demonstrates the efficiency of the design, organization,
and management of the proposed activities.
c. (5 points) An effective assistance program to specific
disadvantaged communities, populations, and/or organizations which
previously have been underserved and have the potential to participate
in the CD-TA program (such as the Colonias, an empowerment zone (EZ)
designated by HUD or the United States Department of Agriculture
(USDA), an urban or rural renewal community designated by HUD (RC), an
enterprise community designated in round II by USDA (EC-II), or
homeless persons and persons with disabilities).
In rating this factor, HUD will evaluate the extent to which the
applicant has identified and has documented, using reliable data,
specific communities, populations, or organizations that have been
disadvantaged or previously underserved communities, populations, or
organizations and has developed an effective strategy for engaging
their participation in the HOME, CHDO (HOME), Homeless, or HOPWA
program, as applicable.
Rating Factor 4: Leveraging Resources (10 points)
An efficient practical method to transfer manuals, guides,
assessment
[[Page 11447]]
forms, other work products, models, and lessons learned in its CD-TA
activities to other CD-TA grantees and/or HOME, CHDO (HOME), Homeless,
or HOPWA program beneficiaries.
In rating this factor, HUD will evaluate the extent to which the
application demonstrates a cost-effective means of sharing resources
developed under the CD-TA activities with a wide audience, including
sharing information with other TA providers in the CD-TA program.
Rating Factor 5: Achieving Results and Program Evaluation (10
points)
a. (5 points) An effective, quantifiable evaluation plan for
measuring performance using the Logic Model with specific outcome
measures and benchmarks, including--for HOME applicants--performance
improvements as measured by the HOME Snapshot indicators.
In rating this factor, HUD will evaluate the extent to which the
application has an evaluation plan that includes outcomes and is
specific, measurable, and appropriate in relation to the activities
proposed.
b. (5 points) Successful past performance in administering HUD CD-
TA programs or, for applicants new to HUD's CD-TA Programs, successful
past performance in providing TA in other community development
programs. Applicants should include, as applicable, increases in CPD or
community development program accomplishments as a result of TA (e.g.,
number of homeless people or persons with HIV/AIDS receiving housing
and services, efficiency or effectiveness of administration of CPD or
community development programs, number of affordable housing units,
HOME Snapshot indicators, timeliness of use of CPD or community
development program funds).
In rating this factor, HUD will evaluate the extent to which the
application demonstrates successful past performance that was timely
and resulted in positive outcomes in the delivery of community
development TA. HUD will also consider past performance of current CD-
TA providers, including financial and other information in HUD's files.
B. Review and Selection Process
1. Review Types. Two types of reviews will be conducted. First, HUD
will review each application to determine whether it meets threshold
eligibility requirements.
Second, HUD will review and assign scores to applications using the
Factors for Award noted in Section V.A.
2. Ranked Order.
a. Once rating scores are assigned, rated applications submitted
for each National TA program and for each Local TA program will be
listed in ranked order. Applications within the fundable range (score
of 75+ points with 20+ points for Factor 1) may then be funded in
ranked order under the CD-TA program and service area for which they
applied.
b. For purposes of coordinating activities on a national basis, HUD
reserves the right to select a single national provider to carry out
activities, as follows:
(1) one for HOPWA technical assistance activities, including
national products and local support;
(2) one for HMIS technical assistance activities;
(3) one for HOME and one for CHDO technical assistance activities.
3. Threshold Eligibility Requirements. All applicants requesting
CD-TA must be in compliance with the applicable threshold requirements
found in the General Section and the eligibility requirements listed in
Section III of this NOFA in order to be reviewed, scored, and ranked.
Applications that do not meet these requirements and applications that
were received after the deadline (see Section IV.C of the General
Section) will be considered ineligible for funding.
4. Award Adjustment. In addition to the funding adjustment
authority provided for in the General Section, HUD reserves the right
to adjust funding amounts for each CD-TA selectee. The amounts listed
in the charts in Section II.A are provided to assist applicants to
develop Local TA or National TA budgets and do not represent the exact
amounts to be awarded. Once TA applicants are selected for award, HUD
will determine the total amount to be awarded to any selected applicant
based upon the size and needs of each of the selected applicant's
service areas, the funds available for that area and CD-TA program, the
number of other CD-TA applicants selected in that area or CD-TA
program, and the scope of the TA to be provided.
Additionally, HUD may reduce the amount of funds allocated for
field office jurisdictions to fund National CD-TA providers and other
CD-TA providers for activities that cannot be fully budgeted for or
estimated by HUD Headquarters or field offices at the time this NOFA
was published. HUD may also require selected applicants, as a condition
of funding, to provide coverage on a geographically broader basis than
proposed in order to supplement or strengthen the CD-TA network in
terms of the size of the area covered and types and scope of TA
proposed.
If funds remain after all selections have been made, the remaining
funds may be distributed among field offices for Local TA and/or used
for National TA, or made available for other CD-TA program
competitions.
VI. Award Administration Information
A. Award Notices. HUD will send written notifications to both
successful and unsuccessful applicants. A notification sent to a
successful applicant is not an authorization to begin performance.
After selection, HUD requires that all selected applicants
participate in negotiations to determine the specific terms of the
cooperative agreement, including the budget. Costs may be denied or
modified if HUD determines that they are not allowable, allocable, and/
or reasonable. In cases where HUD cannot successfully conclude
negotiations with a selected applicant or a selected applicant fails to
provide HUD with requested information, an award will not be made to
that applicant. In this instance, HUD may offer an award, and proceed
with negotiations with the next highest-ranking applicant.
After selection for funding but prior to executing the cooperative
agreement, the selected applicant must develop in consultation with the
GTR, a Technical Assistance Delivery Plan (TADP) for each National TA
award. The TADP must be approved by the GTR and delineate the tasks for
each CD-TA program the applicant will undertake during the performance
period. For Local TA awards and generally for National TA awards, prior
to undertaking individual tasks, the selected applicant must develop in
consultation with the GTR a Work Plan for specific activities. The TADP
and the Work Plans must specify the location of the proposed CD-TA
activities, the amount of CD-TA funding and proposed activities by
location, the improved program performance or other results expected
from the CD-TA activities, and the methodology to be used for measuring
the success of the CD-TA. A detailed time schedule for delivery of the
activities, budget summary, budget-by-task, and staffing plan must be
included in the TADP and Work Plans.
After selection, but prior to award, applicants selected for
funding will be required to provide HUD with their written Code of
Conduct if they have not previously done so and it is recorded on the
[[Page 11448]]
http://www.hud.gov/offices/adm/grants/codeofconduct/sconduct.cfm.
B. Administrative and National Policy Requirements. After selection
for funding but prior to award, applicants must submit financial and
administrative information to comply with applicable requirements.
These requirements are found in 24 CFR part 84 for all organizations
except states and local governments whose requirements are found in 24
CFR Part 85. Cost principles requirements are found at OMB Circular A-
122 for nonprofit organizations, OMB Circular A-21 for institutions of
higher education, OMB Circular A-87 for states and local governments,
and at 48 CFR 31.2 for commercial organizations. Applicants must submit
a certification from an Independent Public Accountant or the cognizant
government auditor, stating that the applicant's financial management
system meets prescribed standards for fund control and accountability.
See the General Section for requirements for Procurement of
Recovered Materials.
The requirements to Affirmatively Further Fair Housing do not
apply.
C. Reporting. CD-TA awardees will be required to report to the GTR
on, at a minimum, a quarterly basis unless otherwise specified in the
cooperative agreement. As part of the required report to HUD, grant
recipients must include a completed Logic Model (HUD 96010), which
identifies output and outcome achievements. For FY 2007, HUD is
considering a new concept for the Logic Model. The new concept is a
Return on Investment (ROI) statement. HUD will be publishing a separate
notice on the ROI concept.
VII. Agency Contacts
A. For Assistance. Applicants may contact HUD Headquarters at 202-
708-3176, or they may contact the HUD field office serving their area
shown in Section VII.B. Persons with hearing and speech challenges may
access the above numbers via TTY (text telephone) by calling the
Federal Relay Service at 800-877-8339 (this is a toll-free number).
Information may also be obtained through the HUD Web site on the
Internet at http://www.hud.gov.
B. List of Field Office Addresses. Applicants that receive a waiver
of the electronic application submission requirements and need to
submit copies of their application to HUD field offices should consult
the following Web site for a listing of the HUD field office addresses
to send Local TA applications: http://www.hud.gov/offices/cpd/about/staff/fodirectors/index.cfm
.
At the site, the map allows the user to click on an area to obtain
the field office address and other contact information.
VIII. Other Information
A. Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control numbers 2506-0166 and
2506-0133. In accordance with the Paperwork Reduction Act, HUD may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless the collection displays a currently
valid OMB control number. Public reporting burden for the collection of
information is estimated to average 60 hours for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting the data. The information will be used for grantee
selection and monitoring the administration of funds. Response to this
request for information is required in order to receive the benefits to
be derived.
B. HUD Reform Act. The provisions of the HUD Reform Act of 1989
that apply to the CD-TA program are explained in the General Section.
[[Page 11449]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.005
[[Page 11450]]
Community Development Block Grant Program for Indian Tribes and Alaska
Native Villages
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of the Assistant Secretary for Public and Indian
Housing, Office of Native American Programs (ONAP).
B. Funding Opportunity Title: Community Development Block Grant
(ICDBG) Program for Indian Tribes and Alaska Native Villages.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: The Federal Register number is FR
5100-N-22. The OMB Approval Number is 2577-0191.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The
Catalog of Federal Assistance (CFDA) Number for the ICDBG program is
14.862.
F. Dates: Application Deadline: Applications must be received and
validated no later than the deadline date of June 1, 2007. Please see
Section IV of this NOFA for application submission and timely receipt
requirements.
G. Additional Information:
1. Applicants for funding should carefully review the requirements
identified in this NOFA and the General Section. Unless otherwise
stated in this NOFA, the requirements of the General Section apply.
2. The total approximate amount of funding available for the ICDBG
program for fiscal year 2007 is $59.4 million less $3.96 million
retained to fund Imminent Threat Grants, for a total of $55.4 million.
Funds that are carried over from previous fiscal years or are
recaptured may also be used for grant awards under this NOFA.
3. Eligible applicants are Indian tribes or tribal organizations on
behalf of Indian tribes. Specific information on eligibility is located
in Section III.A. of this NOFA.
Full Text of Announcement
I. Funding Opportunity Description
A. General. Title I of the Housing and Community Development Act of
1974, which authorizes Community Development Block Grants, requires
that grants for Indian tribes be awarded on a competitive basis. All
grant funds awarded in accordance with this NOFA are subject to the
requirements of 24 CFR part 1003. Applicants within an Area ONAP's
geographic jurisdiction compete only against each other for that Area
ONAP's allocation of funds.
B. Authority. The authority for this program is Title I of the
Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.)
and the program regulations in 24 CFR part 1003.
C. Program Description. The purpose of the ICDBG program is the
development of viable Indian and Alaska Native communities, including
the creation of decent housing, suitable living environments, and
economic opportunities primarily for persons with low- and moderate-
incomes as defined in 24 CFR 1003.4. The ONAP in HUD's Office of Public
and Indian Housing administers the program.
Projects funded by the ICDBG program must meet the primary
objective, defined at 24 CFR 1003.2, to principally benefit low- and
moderate-income persons. Consistent with this objective, not less than
70 percent of the expenditures of each single-purpose grant shall be
for activities that meet the regulatory criteria at 24 CFR 1003.208
for:
1. Area Benefit Activities
2. Limited Clientele Activities
3. Housing Activities
4. Job Creation or Retention Activities
ICDBG funds may be used to improve housing stock, provide community
facilities, improve infrastructure, and expand job opportunities by
supporting the economic development of the communities, especially by
nonprofit tribal organizations or local development corporations.
ICDBG single-purpose grants are distributed as annual competitive
grants, in response to this NOFA.
ICDBG imminent threat grants are intended to alleviate or remove
threats to health or safety that require an immediate solution as
described at 24 CFR part 1003, subpart E. The problem to be addressed
must be such that an emergency situation exists or would exist if the
problem were not addressed.
You do not have to submit a request for imminent threat funds by
the deadline established in this NOFA. The deadline applies only to
applications submitted for assistance under 24 CFR part 1003, subpart
D, single-purpose grants. Imminent threat requests may be submitted at
any time after NOFA publication, and if the following criteria are met,
the request may be funded until the amount set aside for this purpose
is expended:
1. Independent verification from a third party (i.e., Indian Health
Service, Bureau of Indian Affairs) of the existence, immediacy, and
urgency of the threat must be provided;
2. The threat must not be recurring in nature, i.e., it must
represent a unique and unusual circumstance that has been clearly
identified by the tribe or village;
3. The threat must affect or impact an entire service area and not
solely an individual family or household; and
4. It must be established that funds are not available from other
local, state, or federal sources to address the problem. The tribe or
village must verify that federal or local agencies that would normally
provide assistance for such improvements have no funds available by
providing a written statement to that effect. The tribe or village must
also verify in the form of a tribal council resolution (or equivalent)
that it has no available funds, including Indian Housing Block Grant
funds, for this purpose.
If, in response to a request for assistance, an Area ONAP issues
you a letter to proceed under the authority of 24 CFR 1003.401(a), then
your application must be submitted to and approved by the Area ONAP
before a grant agreement may be executed. Contact your Area ONAP office
for more information on imminent threat grants.
D. Definitions Used in this NOFA
1. Adopt. To approve by formal tribal resolution.
2. Document. To supply supporting written information and/or data
in the application that satisfies the NOFA requirement. Documentation
should clearly and concisely support your response to the rating
factor.
3. Entity Other than Tribe. A distinction is made between the
requirements for point award under Rating Factor 3 if a tribe or an
entity other than the tribe will assume maintenance and related
responsibilities for projects other than economic development, and land
acquisition to support new housing. Entities other than the tribe must
have the following characteristics:
(a) Must be legally distinct from the tribal government; (b) their
assets and liabilities cannot be considered to be assets and
liabilities of the tribal government; (c) claims against such entities
cannot be made against the tribal government; and (d) must have
governing boards, boards of directors, or groups or individuals similar
in function and responsibility to such boards which are separate from
the tribe's general council, tribal council, or business council, as
applicable.
4. Homeownership Assistance Programs. Tribes may apply for
assistance to provide direct homeownership assistance to low- and
moderate-income households to: (a) Subsidize interest rates and
mortgage principal amounts for low- and
[[Page 11451]]
moderate-income homebuyers; (b) finance the acquisition by low- and
moderate-income homebuyers of housing that is occupied by the
homebuyers; (c) acquire guarantees for mortgage financing obtained by
low- and moderate-income homebuyers from private lenders (except that
ICDBG funds may not be used to guarantee such mortgage financing
directly, and grantees may not provide such guarantees directly); (d)
provide up to 50 percent of any down payment required from a low- and
moderate-income homebuyer; or (e) pay reasonable closing costs
(normally associated with the purchase of a home) incurred by a low- or
moderate-income homebuyer.
5. Leveraged Resources. Leveraged resources are resources that you
will use in conjunction with ICDBG funds to achieve the objectives of
the project. Leveraged resources include, but are not limited to:
tribal trust funds, loans from individuals or organizations, business
investments, private foundations, state or federal loans or guarantees,
other grants, and non-cash contributions and donated services. (See
Rating Factor 4 for documentation requirements for leveraged
resources.)
6. Microenterprise Programs. Tribes may apply for assistance to
operate programs to fund the development, expansion, and stabilization
of microenterprises. Microenterprises are defined as commercial
entities with five or fewer employees, including the owner.
Microenterprise program activities may entail the following assistance
to eligible businesses: (a) Providing credit, including, but not
limited to, grants, loans, loan guarantees, and other forms of
financial support for the establishment, stabilization, and expansion
of microenterprises; (b) providing technical assistance, advice, and
business support services to owners of microenterprises and persons
developing microenterprises; and (c) providing general support,
including, but not limited to, peer support programs, counseling, child
care, transportation, and other similar services to owners of
microenterprises and persons developing microenterprises.
7. Operations and Maintenance (O&M) for Public Facilities and
Improvements. While various items of cost will vary in importance and
significance depending on the type of facility proposed, there are
items of expense related to the operation of the physical plant that
must be addressed in an O&M plan (the tribe assumes responsibility) or
in a letter of commitment (an entity other than tribe will assume these
responsibilities). Although the tribe no longer has to submit the O&M
plan with the application, it must provide a written statement that it
has adopted an O&M plan and that the plan addresses several items.
These items include daily or other periodic maintenance activities,
repairs such as replacing broken windows, capital improvements or
replacement reserves for repairs such as replacing the roof, fire and
liability insurance (may not be applicable to most types of
infrastructure projects such as water and sewer lines), and security
(may not be applicable to many types of infrastructure projects such as
roads). (Please note that while it is possible that the service
provider may, in its agreement with a tribe, commit itself to cover
certain or all facility O&M costs, these costs do not include the
program service provision costs related to the delivery of services
(social, health, recreational, educational, or other) that may be
provided in a facility).
8. Outcomes. The ultimate impact you hope to achieve with the
proposed project. Outcomes should be quantifiable measures or
indicators and identified in terms of the change in the community,
people's lives, economic status, etc. Common outcomes could include
increases in percent of housing units in standard condition,
homeownership rates, or employment rates.
9. Outputs. Outputs are the direct products of a program's
activities. They are usually measured in terms of the volume of work
accomplished, such as the number of low-income households served,
number of units constructed or rehabilitated, linear feet of curbs and
gutters installed, or number of jobs created or retained. Outputs
should be clear enough to allow HUD to monitor and assess your proposed
project's progress if funded.
10. Project Cost. The total cost to implement the project. Project
costs may be covered by both ICDBG and non-ICDBG funds and resources.
11. Standard Housing/Standard Condition. Housing that meets the
housing quality standards (HQS) adopted by the applicant. The HQS
adopted by the applicant must be at least as stringent as the Section 8
HQS contained in 24 CFR 982.401 (Section 8 Tenant-Based Assistance:
Housing Choice Voucher program) unless the ONAPs approve less stringent
standards based on a determination that local conditions make the use
of Section 8 HQS unfeasible. Before the application deadline, you may
submit a request for the approval of standards less stringent than
Section 8 HQS. If you submit the request with your application, you
should not assume automatic approval by ONAP. The adopted standards
must provide for (a) a safe house, in physically sound condition with
all systems performing their intended design functions; (b) a livable
home environment and an energy efficient building and systems that
incorporate energy conservation measures; and (c) an adequate space and
privacy for all intended household members.
12. Statement. When a ``written statement'' is requested for any
threshold, program requirement, or rating factor, the applicant must
address in writing the specific item cited.
13. Tribe. The word ``tribe'' means an Indian tribe, band, group or
nation, including Alaska Indians, Aleuts, Eskimos, Alaska Native
Villages, Alaska Native Claims Settlement Act (ANCSA) Village
Corporations, and ANCSA Regional Corporations.
II. Award Information
A. Available Funds. The fiscal year 2007 appropriation for the
ICDBG program is $59.4 million, less $3.96 million retained to fund
Imminent threat grants, for a total of approximately $55.4. Funds that
are carried over from previous fiscal years or are recaptured may also
be used for grant awards under this NOFA. In accordance with the
provisions of 24 CFR part 1003, subpart E, HUD has retained $3.96
million of the FY 2007 appropriation to meet the funding needs of
imminent threat requests submitted to any of the Area ONAPs. The grant
ceiling for imminent threat requests for FY 2007 is $450,000. This
ceiling has been established pursuant to the provisions of 24 CFR
1003.400(c).
B. Allocations to Area ONAPs. The requirements for allocating funds
to Area ONAPs responsible for program administration are found at 24
CFR 1003.101. Following these requirements, based on an appropriation
of $59.4 million less $3.96 million for imminent threat grants, the
allocations for FY 2007 are approximately as follows: Eastern/
Woodlands: $6,325,737; Southern Plains: $11,864,746; Northern Plains:
$7,917,788; Southwest: $20,525,637; Northwest: $2,891,489; Alaska:
$5,914,603; Total $55,400,000.
C. Compliance with Regulations, Guidelines, and Requirements.
Applicants awarded a grant under this NOFA are required to comply with
the regulations, guidelines, and requirements with respect to the
acceptance and use of federal funds for this federally assisted
program. Also,
[[Page 11452]]
the grantee, by accepting the grant, provides assurance with respect to
the grant that:
1. It possesses the legal authority to apply for the grant and
execute the proposed program.
2. The governing body has duly authorized the filing of the
application, including all understandings and assurances contained in
the application, and has directed and authorized the person identified
as the official representative of the applicant to act in connection
with the application and to provide such additional information as may
be required.
3. It will comply with HUD general administration requirements in
24 CFR Part 85.
4. It will comply with the requirements of Title II of Public Law
90-284 (25 U.S.C. 1301), the Indian Civil Rights Act. Federally
recognized Indian tribes and their instrumentalities are subject to the
requirements of: Title II of the Civil Rights Act of 1964, known as the
Indian Civil Rights Act; Section 109 prohibitions against
discrimination based on age, sex, religion and disability; the Age
Discrimination Act of 1975; and Section 504 of the Rehabilitation Act
of 1973.
5. It will comply with the Indian preference provisions required in
24 CFR 1003.510.
6. It will establish written safeguards to prevent employees from
using positions funded under the ICDBG programs for a purpose that is,
or gives the appearance of being, motivated by private gain for
themselves, their immediate family, or business associates. Employees
are not otherwise limited from benefiting from program activities for
which they are otherwise eligible.
7. Neither the applicant nor its principals are presently excluded
from participation in any HUD programs, as required by 24 CFR part 24.
8. The chief executive officer or other official of the applicant
approved by HUD:
a. Consents to assume the status of a responsible federal official
under the National Environmental Policy Act of 1969 insofar as the
provisions of the Act apply to the applicant's proposed program
pursuant to 24 CFR 1003.605.
b. Is authorized and consents on behalf of the applicant and him/
herself to accept the jurisdiction of the federal courts for the
purpose of enforcement of his/her responsibilities as such an official.
Note: Applicants for whom HUD has approved a claim of incapacity
to accept the responsibilities of the federal government for
purposes of complying with the environmental review requirements of
24 CFR part 58, pursuant to 24 CFR 1003.605, are not subject to the
provision of paragraph 8.
9. It will comply with the requirements of Section 3 of the Housing
and Urban Development Act of 1968 and the regulations in 24 CFR part
135 (Economic Opportunities for Low and Very Low Income Persons) to the
maximum extent consistent with, but not in derogation of, compliance
with Section 7(b) of the Indian Self-Determination and Education
Assistance Act (25 USC. 450e(b)). Two points will be awarded under
Rating Factor 3 in fiscal year 2007 for applicants who demonstrate how
they will incorporate Section 3 principles into their proposed
projects.
10. It will comply with the requirements of the Fire Authorization
Administration Act of 1992 (Pub. L. 102-522).
11. It will comply with 24 CFR, part 4, subpart A, showing full
disclosure of all benefits of the project as collected by form HUD-
2880, Applicant/Recipient Disclosure Report.
12. Prior to submission of its application to HUD, the grantee has
met the citizen participation requirements, which include following
traditional means of member involvement, as required in 24 CFR
1003.604.
13. It will administer and enforce the labor standards requirements
prescribed in 24 CFR 1003.603.
14. The project has been developed so that not less than 70 percent
of the funds received under this grant will be used for activities that
benefit low- and moderate-income persons.
15. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects'' applies to
projects funded under this NOFA. See the General Section for more
information.
D. Period of Performance. The period of performance for any grant
awarded under this NOFA must be included in the Implementation
Schedule, form HUD-4125, and approved by HUD.
III. Eligibility Information
A. Eligible Applicants
Eligible applicants are Indian tribes or tribal organizations on
behalf of Indian tribes. To apply for funding, you must be eligible as
an Indian tribe (or as a tribal organization), as required by 24 CFR
1003.5, by the application deadline date.
Tribal organizations are permitted to submit applications under 24
CFR 1003.5(b) on behalf of eligible tribes when one or more eligible
tribe(s) authorize the organization to do so under concurring
resolutions. The tribal organization must itself be eligible under
Title I of the Indian Self-Determination and Education Assistance Act.
The Bureau of Indian Affairs (BIA) or the Indian Health Service (IHS),
as appropriate, must make a determination of such eligibility. This
determination must be provided to the Area ONAP by the application
deadline.
If a tribe or tribal organization claims that it is a successor to
an eligible entity, the Area ONAP must review the documentation to
determine whether it is in fact the successor entity.
Applicants from within Alaska: Due to the unique structure of
tribal entities eligible to submit ICDBG applications in Alaska, and as
only one ICDBG application may be submitted for each area within the
jurisdiction of an entity eligible under 24 CFR 1003.5, a tribal
organization that submits an application for activities in the
jurisdiction of one or more eligible tribes or villages must include a
concurring resolution from each such tribe or village authorizing the
submission of the application. An application submitted by a tribal
organization on behalf of a specific tribe will not be accepted if the
tribe itself submits an application for the same funding round. The
hierarchy for funding priority continues to be the IRA Council, the
Traditional Village Council, the ANCSA Village Corporation, and the
ANCSA Regional Corporation.
On November 25, 2005, the BIA published a Federal Register notice
entitled, ``Indian Entities Recognized and Eligible to Receive Services
From the United States Bureau of Indian Affairs'' (70 FR 71194). This
notice provides a listing of Indian Tribal Entities in Alaska found to
be Indian tribes as the term is defined and used in 25 CFR part 83.
Additionally, pursuant to Title I of the Indian Self-Determination and
Education Assistance Act, ANCSA Village Corporations and Regional
Corporations are also considered tribes and therefore eligible
applicants for the ICDBG program.
Any questions regarding eligibility determinations and related
documentation requirements for entities in Alaska should be referred to
the Alaska Area ONAP prior to the application deadline. (See 24 CFR
1003.5 for a complete description of eligible applicants.)
[[Page 11453]]
B. Cost Sharing or Matching.
Cost sharing or matching is not required under this grant; however,
applicants who leverage this grant with other funds receive points. See
Section V. (A) Rating Factor 4.
C. Other
1. HUD Requirements.
Applicants for single purpose grants must comply with the HUD
Threshold Requirements listed in the General Section, Section III, C.
in order to receive an award of funds.
2. Program and Project Specific Requirements
a. Low- and Moderate-Income Status for Rehabilitation Projects.
Your application must contain information that shows that all
households that receive ICDBG grant assistance under a housing
rehabilitation project are of low- and moderate-income status.
b. Housing Rehabilitation Cost Limits. Grant funds spent on
rehabilitation must fall within the following per-unit limits for each
Area ONAP jurisdiction: Eastern/Woodlands: $35,000; Southern Plains:
$35,000; Northern Plains: $50,000; Southwest: $50,000; Northwest
$40,000; Alaska: $55,000.
c. Commitment to Housing for Land Acquisition to Support New
Housing Projects. For land acquisition to support new housing projects,
your application must include evidence of financial commitment and an
ability to construct at least 25 percent of the housing units on the
land proposed for acquisition. This evidence must consist of one (or
more) of the following: a firm or conditional commitment to construct
(or to finance the construction of) the units; documentation that an
approvable application for the construction of these units has been
submitted to a funding source or entity; or documentation that these
units are specifically identified in the Indian Housing Plan (IHP),
(one-Year Financial Resources Narrative; Table 2, Financial Resources,
Part I, Line 1E; and Table 2, Financial Resources, Part II) submitted
by or on behalf of the applicant as an affordable housing resource with
a commensurate commitment of Indian Housing Block Grant (IHBG) (also
known as NAHBG) resources. If the IHP for the IHBG (also known as
NAHBG) program year that coincides with the implementation of the ICDBG
proposed project has not been submitted, you must provide an assurance
that the IHP will specifically reference the proposed project. The IHP
submission must occur within three years from the date the land is
acquired and ready for development.
d. Health Care Facilities. If you propose a facility that would
provide health care services funded by the Indian Health Service (IHS),
you must assure that the facility meets all applicable IHS facility
requirements. HUD recognizes that tribes that are contracting services
from the IHS may establish other facility standards. These tribes must
assure that these standards at least compare to nationally accepted
minimum standards.
3. Program-Related Threshold Requirements
a. Outstanding ICDBG Obligation. According to 24 CFR 1003.301(a),
an applicant who has an outstanding ICDBG obligation to HUD that is in
arrears, or one that has not agreed to a repayment schedule, will be
disqualified from the competition.
b. Compliance with Fair Housing and Civil Rights Laws. Applicants
and subrecipients that are not federally recognized Indian tribes or
instrumentalities of a tribe are subject to the Civil Rights threshold
requirements found in the General Section. Federally recognized Indian
tribes and instrumentalities of tribes are subject to the requirements
of Title II of the Civil Rights Act of 1964, known as the Indian Civil
Rights Act; Section 109 prohibitions against discrimination based on
age, sex, religion and disability; the Age Discrimination Act of 1975;
and Section 504 of the Rehabilitation Act of 1973. To be eligible to
apply, there must be no outstanding violations of these civil rights
provisions at the time of application.
4. Project-Specific Threshold Requirements. Applicants must meet
all parts of the project-specific threshold applicable to the proposed
project. The thresholds are:
a. Housing Rehabilitation Project Thresholds. In accordance with 24
CFR 1003.302(a), for housing rehabilitation projects, you must adopt
rehabilitation standards and rehabilitation policies before you submit
an application. In addition, you must state that you have in place
rehabilitation policies and standards that have been adopted in
accordance with tribal law or practice. Do not submit your policies or
standards with the application. You must also provide a written
statement that project funds will be used to rehabilitate HUD-assisted
houses only when the homebuyer's payments are current or the homebuyer
is current in a repayment agreement except because of an emergency
situation. For purposes of meeting this threshold, HUD-assisted houses
are houses that are owned and/or managed by the tribe or tribally
designated housing entity (TDHE). The ONAP Administrator, on a case-by-
case basis, may approve exceptions to this requirement if the applicant
provides adequate justification for the exception with its application.
b. New Housing Construction Project Thresholds
1. In accordance with 24 CFR 1003.302(b), new housing construction
can only be implemented when necessary through a Community Based
Development Organization (CBDO). Eligible CBDOs are described in 24 CFR
1003.204(c). You must provide documentation establishing that the
entity implementing your new housing construction project qualifies as
a CBDO.
2. In accordance with 24 CFR 1003.302, you must have a current, in
effect, tribal resolution adopting and identifying construction
standards.
3. In accordance with 24 CFR 1003.302, you must also include in
your application documentation affirming the following:
(a) All households to be assisted under a new housing construction
project must be of low- or moderate-income status;
(b) No other housing is available in the immediate reservation area
that is suitable for the households to be assisted;
(c) No other sources, including an Indian Housing Block Grants
(IHBG), can meet the needs of the household(s) to be served; and
(d) Rehabilitation of the unit occupied by the household(s) to be
assisted is not economically feasible, the household(s) to be housed is
currently in an overcrowded house (more than one household per house),
or the household to be assisted has no current residence.
c. Economic Development Project Thresholds. In accordance with 24
CFR 1003.302, for economic development assistance projects, you must
provide a financial analysis. The financial analysis must demonstrate
that the project is financially feasible and the project has a
reasonable chance of success. The analysis must also demonstrate the
public benefit resulting from the ICDBG assistance. The more funds you
request, the greater the public benefit you must demonstrate. The
analysis must also establish that to the extent practicable, reasonable
financial support will be committed from non-federal sources prior to
disbursement of federal funds; any grant amount provided will not
substantially reduce the amount of non-federal financial support for
the activity; not more than a reasonable rate of return on
[[Page 11454]]
investment is provided to the owner; and that grant funds used for the
project will be disbursed on a pro-rata basis with amounts from other
sources.
d. There are no project specific thresholds for Land Acquisition to
Support New Housing, Homeownership Assistance, Public Facilities and
Improvements, and Microenterprise Projects.
5. Public Service Projects. Because there is a regulatory 15
percent cap on the amount of grant funds that may be used for public
service activities, you may not receive a single-purpose grant solely
to fund public service activities. Your application, however, may
contain a public service component for up to 15 percent of the total
grant, and this component may be unrelated to the other project(s) in
your application. If your application does not receive full funding,
HUD will reduce the public service allocation proportionately so that
it comprises no more than 15 percent of the total grant award. In
making such reductions, the feasibility of the proposed project will be
taken into consideration. If a proportionate reduction of the public
service allocation renders such a project infeasible, the project will
not be funded. A complete description of public service projects is
located at 24 CFR part 1003.201.
6. Restrictions on Eligible Activities. A complete description of
activities that are eligible for ICDBG funding are identified at 24 CFR
part 1003, subpart C. Please note that although this subpart has not
yet been revised to include the restrictions on the ineligible activity
that was added to Section 105 of the CDBG statute by Section 588 of the
Quality Housing and Work Responsibility Act of 1998, this restriction
applies. Specifically, ICDBG funds may not be used to assist directly
in the relocation of any industrial or commercial plant, facility, or
operation, from one area to another, if the relocation is likely to
result in a significant loss of employment in the labor market area
from which the relocation occurs. Rating Factors 2 and 3 included under
Section V specify many of the activities listed as eligible under part
1003, subpart C. Those listed include new housing construction (in
certain circumstances, as described in Rating Factors 2 and 3), housing
rehabilitation, land acquisition to support new housing, homeownership
assistance, public facilities and improvements, economic development,
and microenterprise programs. However, the following eligible
activities not clearly identified by the rating factors may be proposed
and rated as described below. During the past few years, many tribes
have experienced high incidences of mold growth in tribal homes and
buildings. Renovation of affected buildings is eligible under housing
rehabilitation or public facility improvement projects.
a. Acquisition of property. This activity can be proposed as
acquisition of land or other real property to support New Housing
Construction, Housing Rehabilitation, Public Facilities and
Improvements, or Economic Development, depending on the purpose of the
acquisition.
b. Assistance to Institutions of Higher Learning. If such entities
have the capacity, they can help the ICDBG grantees implement eligible
projects.
c. Assistance to Community Based Development Organizations (CBDOs).
Grantees may provide assistance to these organizations to undertake
activities related to neighborhood revitalization, community economic
development, or energy conservation.
d. Clearance and Demolition. These activities can be proposed as
part of Housing Rehabilitation, New Housing Construction, Public
Facilities and Improvements, Economic Development, or Land to Support
New Housing. Section 1003.201 (d) states, ``Demolition of HUD-assisted
housing units may be undertaken only with the prior approval of HUD.''
e. Code Enforcement. This activity can be proposed as Housing
Rehabilitation. The activity must comply with the requirements at 24
CFR 1003.202.
f. Comprehensive Planning. This activity is eligible, and can be
proposed as part of any otherwise-eligible project to the extent
allowed by the 20 percent cap on the grant for planning/administration.
g. Energy Efficiency. Associated activities can be proposed under
Housing Rehabilitation or Public Facilities and Improvements, depending
upon the type of energy efficiency activity.
h. Lead-Based Paint Evaluation and Abatement. These activities can
be proposed under Housing Rehabilitation.
i. Non-Federal Share. ICDBG funds can be used as a match for any
non-ICDBG funding to the extent allowed by such funding and the
activity is eligible under 24 CFR part 1003, subpart C.
j. Privately and Publicly Owned Commercial or Industrial Buildings
(real property improvements). These activities can be proposed under
Economic Development. Privately owned commercial rehabilitation is
subject to the requirements at 24 CFR 1003.202.
k. Privately Owned Utilities. Assistance to privately owned
utilities can be proposed under Public Facilities and Improvements.
l. Removal of Architectural Barriers. This includes removing
barriers that restrict mobility and access for elderly and persons with
disabilities. In addition, accommodation should be made for persons
with all varieties of disabilities to enable them to benefit from these
activities. This activity can be proposed under Housing Rehabilitation
or Public Facilities and Improvements, depending upon the type of
structure where the barrier will be removed.
7. Application Screening. The Area ONAP will screen applications
for single-purpose grants. The Area ONAP will reject an application
that fails this screening and will return the application unrated. The
Area ONAP will accept your application if it meets all the criteria
listed below as items a through f.
a. Your application is received or submitted in accordance with the
requirements set forth under Application and Submission Procedures in
Section IV of this NOFA;
b. You are eligible;
c. The proposed project is eligible;
d. Your application contains all the components specified in
Section IV. B. of this NOFA;
e. Your application shows that at least 70 percent of the grant
funds are to be used for activities that benefit low- and moderate-
income persons, in accordance with the requirements of 24 CFR 1003.208.
For screening purposes only, HUD will use the 2000 census data if the
data you submitted does not meet this screening requirement; and
f. Only one ICDBG application may be submitted for each area within
the jurisdiction of an entity eligible under 24 CFR 1003. An
application may include more than one project, but it cannot exceed the
grant ceilings listed in Section IV.
IV. Application and Submission Information
A. Addresses to Request Application Package. Applicants are
required to submit an electronic application, unless they receive a
waiver of the requirement. See the General Section for information on
electronic application submission and timely submission and receipt
requirements. Waiver requests must be submitted to the Headquarters
ONAP, Office of Grants Management in writing, using mail, e-mail or
fax. Waiver requests must be submitted no later than 15 days prior to
the application deadline date and should be
[[Page 11455]]
sent to Deborah M. Lalancette, HUD, ONAP, 1670 Broadway, 23rd Floor
Denver CO 80202; by e-mail to Deborah_M._Lalancette@hud.gov or by fax
to 303-675-1660.
B. Content and Form of Application Submission
1. Application Information. All information required to complete a
valid application is included in the General Section and this NOFA.
Copies of the General Section and ICDBG NOFA may be downloaded from the
grants.gov Web site at http://www.grants.gov/applicants/apply_for_grants.jsp.
If you experience any problems with downloading the General
Section or the ICDBG NOFA, call the Grants.gov help desk at 800-518-
GRANTS. Before preparing an application, applicants should carefully
review the program description, ineligible activities, program and
threshold requirements, and the General Section. Applicants should
carefully review each rating factor listed in Section V of this NOFA,
before writing a narrative response. Indicate on the first page of each
project submission the type of project(s) you are proposing: Economic
Development, Homeownership Assistance, Housing Rehabilitation, Land
Acquisition to Support New Housing, Microenterprise Programs, New
Housing Construction, or Public Facilities and Improvements. This will
help to ensure that the appropriate project-specific thresholds and
rating subfactors will be applied. Narrative statements submitted to
support your application should be individually labeled to reflect the
item the narrative is responding to, e.g., Factor 1, Factor 2, etc.
Applicants should not submit third party documents, such as audits,
resolutions, policies, unless specifically asked to do so. Additional
information regarding electronic submissions can be found in the
General Section.
If you received a waiver to the electronic application submission
requirements and are submitting a paper application, please use
separate tabs for each rating factor and rating subfactor. In order to
be rated, make sure the response is beneath the appropriate heading.
Keep the responses in the same order as the NOFA. It is recommended
that you limit your narrative explanations to 200 words or less and
provide the necessary data such as a market analysis, a pro forma,
housing survey data, etc., that support the response. Include all
relevant material to a response under the same tab. Only include
documentation that will clearly and concisely support your response to
the rating criteria.
HUD suggests that you do a preliminary rating for your project,
providing a score according to the point system in Section V of this
NOFA. This will show you how reviewers might score your project and
identify its strengths and weaknesses. This will help you determine
where you can make improvements prior to its submission. An application
checklist for you to use to ensure that you have submitted all required
components is found in this section under item 2c.
2. Content of Application, Forms, and Required Elements. The
applicant must respond in narrative form to all five of the rating
factors listed in Section V.A. of this NOFA. In addition, the applicant
must submit all of the forms required in this section, along with other
data listed below.
a. Demographic data. You may submit data that are unpublished, not
generally available, and not older than three years, in order to meet
the requirements of this section. Your application must contain a
statement that the following criteria have been met:
(1) Generally available published data are substantially inaccurate
or incomplete;
(2) Data that you submit have been collected systematically and are
statistically reliable;
(3) Data are, to the greatest extent feasible, independently
verifiable; and
(4) Data differentiate between reservation and BIA service area
populations, when applicable.
b. Publication of Community Development Statement. You must prepare
and publish or post the community development statement portion of your
application according to the citizen participation requirements of 24
CFR 1003.604. You may post or publish a statement that indicates that
the entire Community Development Statement is available for public
viewing and include the location, dates, and time it will be available
for review.
c. Application Submission. Your application must contain the items
listed below.
(1) Application for Federal Assistance (SF-424);
(2) SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity
for Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov);
(3) HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov); and
(4) Acknowledgement of Application Receipt (HUD-2993). (This is
relevant only to applicants granted a waiver of the electronic
submission requirements and who are submitting a paper application.)
If the application has been submitted by a tribal organization as
defined in 24 CFR 1003.5(b), on behalf of an Indian tribe, you must
submit concurring resolutions from the Indian tribe stating that the
tribal organization is applying on the tribe's behalf. Applicants must
submit the resolution by attaching it as a file to your electronic
application submission, or sending it via facsimile transmittal.
The other required items are as follows:
(5) Community Development Statement that includes:
(a) Components that address the general threshold requirement and
the relevant project-specific thresholds and rating factors;
(b) A schedule for implementing the project (form HUD-4125,
Implementation Schedule); and
(c) Cost information for each separate project, including specific
activity costs, administration, planning, technical assistance, and
total HUD share (Form HUD-4123, Cost Summary).
(6) A map showing project location, if appropriate.
(7) If the proposed project will result in displacement or
temporary relocation, a statement that identifies:
(a) The number of persons (families, individuals, businesses, and
nonprofit organizations) occupying the property on the date of the
submission of the application (or date of initial site control, if
later);
(b) The number to be displaced or temporarily relocated;
(c) The estimated cost of relocation payments and other services;
(d) The source of funds for relocation; and
(e) The organization that will carry out the relocation activities.
(8) If applicable, evidence of the disclosure required by 24 CFR
1003.606(e) regarding conflict of interest.
(9) If applicable, the demographic data statement described in
Section IV.B.2.a and Section V.A., Rating Factor 2 of this NOFA. The
data accompanying the statement must identify the total number of
persons benefiting from the project and the total number of low- and
moderate-income persons benefiting from the project. To be considered,
supporting documentation must include all of the following: a sample
copy of a completed survey form, an explanation of the methods used to
collect the data, and a listing of incomes by household including
household size.
(10) Optional submissions are:
[[Page 11456]]
(a) You Are Our Client Grant Applicant Survey (HUD 2994-A)
(Optional); and
(b) Program Outcome Logic Model, HUD-96010.
3. Planning and Administrative Costs. Applicants must report
project planning and administration costs on Form HUD-4123, Cost
Summary. Planning and administrative costs cannot exceed 20 percent of
the grant. The following criteria applies to planning and
administrative costs:
a. Planning and administrative activities may be funded only in
conjunction with a physical development activity.
b. If you are submitting an application for more than one project,
costs must be broken down by project. Submit one form HUD-4123 for each
proposed project in addition to a consolidated form HUD-4123 that
includes costs for all proposed projects.
c. Do not include project costs (i.e., architectural/engineering,
environmental, technical assistance, staff/overhead costs) directly
related to the project.
C. Submission Dates and Times
1. Application Submission Deadline. The application deadline date
is June 1, 2007. Applications submitted through http://www.grants.gov/applicants/apply_for_grants.jsp
must be received and validated by
Grants.gov no later than 11:59:59 PM eastern time on the application
deadline date. Upon submission, Grants.gov will provide the applicant a
confirmation of receipt and then validate the application. Within 24 to
48 hours of receipt, the application will be validated by Grants.gov.
If the application does not pass validation, the submitter will receive
a rejection notice indicating why the application was rejected, thus
giving the applicant (if time permits) an opportunity to make the
correction in the application package and resubmit. The General Section
provides details of a validation check. HUD advises applicants to
submit at least 72 hours prior to the deadline date so that if an
application is rejected during the validation process, applicants can
correct the errors and resubmit the application prior to the deadline
date and time. If you are granted a waiver of the electronic submission
requirements, and are submitting a paper application, your completed
application must be received by HUD no later than 11:59:59 p.m. on the
application deadline date. HUD will not accept any applications sent by
e-mail or on a diskette, compact disc, or by facsimile unless HUD
specifically requests an applicant to do so. Please carefully follow
the instructions in Sections IV.B and F. of the General Section for
detailed information regarding application submission, delivery, and
timely receipt requirements.
D. Intergovernmental Review. Indian tribes are not subject to the
Intergovernmental Review process.
E. Funding Restrictions
1. Ineligible Activities. In general, any activity that is not
authorized under the provisions of 24 CFR 1003.201-1003.206 is
ineligible to be assisted with ICDBG funds. The regulations at 24 CFR
1003.207 govern ineligible activities and should be referred to for
details. The following guidance is provided for determining the
eligibility of other activities frequently associated with ICDBG
projects.
a. Government Office Space. Buildings, or portions thereof, used
predominantly for the general conduct of government cannot be assisted
with ICDBG funds. Those buildings include, but are not limited to,
local government office buildings, courthouses, and other headquarters
of government where the governing body meets regularly. Buildings that
contain both governmental and non-governmental services can be assisted
so long as the ICDBG funds are used only for the non-governmental
sections. An example of an ineligible building is a building to house
the community development division or a tribal administration building.
Your Area ONAP office should be consulted for projects of this nature.
b. General Government Expenses. Except as authorized in the
regulations or under OMB Circular A-87, expenses required to carry out
the regular responsibilities of the unit of general local government
are not eligible for assistance with ICDBG funds.
c. Maintenance and Operation Expenses. In general, any expenses
associated with repairing, operating, or maintaining public facilities
and services are not eligible for assistance. Specific exceptions to
this general rule are operating and maintenance expenses associated
with public service activities [24 CFR 1003.201(e)], office space for
program staff employed in carrying out the ICDBG program [24 CFR
1003.206(a)(4)], and interim assistance [24 CFR 1003.201(f)]. For
example, where a public service is being assisted with CDBG funds, the
cost of operating and maintaining that portion of the facility in which
the service is located is eligible as part of the public service.
Examples of ineligible operating and maintenance expenses are routine
and non-routine maintenance and repair of streets, parks, playgrounds,
water and sewer facilities, neighborhood facilities, senior centers,
centers for persons with disabilities, parking facilities, and similar
public facilities, as well as staff salaries, utility costs, and
similar expenses necessary for the operation of public works and
facilities.
d. New Housing Construction. The construction of new permanent
residential structures and any program to subsidize or finance such new
construction is ineligible, unless carried out by a Community-Based
Development Organization (CBDO) pursuant to 24 CFR 1003.204(a).
e. Furnishings and Personal Property. In general, the purchase of
equipment, fixtures, motor vehicles, furnishings, or other personal
property not an integral structural fixture is ineligible. Exceptions
include when such purchases are necessary for use in grant
administration (24 CFR 1003.206); necessary and appropriate for use in
a project carried out by a CBDO (24 CFR 1003.204); used in providing a
public service (24 CFR 1003.201(e)); or used as firefighting equipment
(24 CFR 1003.201(c)(1)(ii)). However, ICDBG funds may be used to pay
depreciation or use allowances (in accordance with OMB Circular A-87 or
A-122, as applicable).
f. Construction Tools and Equipment. The purchase of construction
tools and equipment is generally ineligible. However, compensation for
the use of such tools and equipment through leasing, depreciation, or
use allowances pursuant to OMB Circulars A-87 and A-122, as applicable,
for an otherwise eligible activity, is eligible. Exceptions include
construction tools and equipment purchased for use as part of a solid
waste facility (24 CFR 1003.201(c)(1)(ii)) and construction tools only
(not equipment) purchased for use in a housing rehabilitation project
being administered by the recipient using the force account
construction method (24 CFR 1003.202(b)(8)).
g. Income Payments. In general, assistance shall not be used for
income payments for housing or any other purpose. Income payments mean
a series of subsistence-type grant payments made to an individual/
family for items such as food, clothing, housing (rent/mortgage), or
utilities, but excludes emergency payments made over a period of up to
three months to the provider of such items or services on behalf of an
individual/family. Examples of ineligible income payments include the
payments for income maintenance and housing allowances.
[[Page 11457]]
2. Grant Ceilings. The authority to establish grant ceilings is
found at 24 CFR 1003.100(b)(1). Grant ceilings are established for
FY2007 funding at the following levels:
------------------------------------------------------------------------
Area ONAP Population Ceiling
------------------------------------------------------------------------
Eastern Woodlands................. ALL................. $600,000
Southern Plains................... ALL................. 800,000
Northern Plains................... 6,001+.............. 1,100,000
0-6,000............. 900,000
Southwest......................... 50,001+............. 5,500,000
10,501-50,000....... 2,750,000
7,501-10,500........ 2,200,000
6,001-7,500......... 1,100,000
1,501-6,000......... 825,000
0-1,500............. 605,000
Northwest......................... ALL................. 500,000
Alaska............................ ALL................. 600,000
------------------------------------------------------------------------
For the Southwest Area and Northern Plains ONAP jurisdictions, the
population used to determine ceiling amounts is the Native American
population that resides on a reservation or rancheria.
Applicants from the Southwest or the Northern Plains ONAP
jurisdictions should contact those offices before submitting an
application if they are unsure of the population level to use to
determine the ceiling amount. The Southwest or Northern Plains Area
ONAP, as appropriate, must approve any corrections or revisions to
Native American population data before you submit your application.
F. Other Submission Requirements
1. Applications must be received and validated by Grants.gov via
http://www.grants.gov/applicants/apply_for_grants.jsp no later than
the application deadline date and time stated in the NOFA. Validation
can take up to 72 hours.
2. Mailing and Receipt Procedures. Applicants granted a waiver of
the electronic submission requirement will receive specific mailing
instruction, including the number of copies to be submitted, with
approval of the waiver. See 24 CFR Part 5.
3. Addresses for Submitting Applications. HUD will accept mailed
applications only if it has granted a waiver of the electronic delivery
process. Information regarding electronic submission and waivers from
the electronic submission requirement is located in this program NOFA
and the General Section. If HUD grants such a waiver, the approval
notification will provide submission instructions including the address
where to submit the application and number of copies to be provided. A
list identifying each Area ONAP jurisdiction is provided at http://www.hud.gov/offices/pih/ih/onap/area_onap.cfm
under the ICDBG program.
V. Application Review Information
A. Criteria
1. RC/EZ/EC-II: Bonus points described in the General Section for
projects located in RC/EZ/EC-IIs will not be awarded under this NOFA.
2. Rating Factors to Evaluate and Rate Applications: The factors
for rating and ranking applications and the points for each factor are
provided below. A maximum of 100 points may be awarded under Rating
Factors 1 through 5. To be considered for funding, your application
must receive a minimum of 20 points under rating factor 1 and an
application score of at least 70 points. The following summarizes the
points assigned to each rating factor and each rating subfactor and
lists which rating subfactors apply to which project types. Please use
this table to ensure you are addressing the appropriate rating
subfactor for your project.
----------------------------------------------------------------------------------------------------------------
Rating factor Rating sub-factor Points Project type
----------------------------------------------------------------------------------------------------------------
1.......................... Total...................... 40........................ Minimum of 20 Points
Required
1.a........................ 10........................ All Project Types
1.b........................ 5 or 10*.................. All Project Types
1.c........................ 3 or 10*.................. All Project Types
1.d........................ 2 or 10*.................. All Project Types
2.a........................ 4 or 0*................... All Project Types
2.b........................ 4 or 0*................... All Project Types
2.c........................ 4 or 0*................... All Project Types
2.d........................ 4 or 0*................... All Project Types
2.e........................ 4 or 0*................... All Project Types
2.......................... Total...................... 16........................ ..........................
1.......................... 4......................... All Project Types
2.a........................ 12........................ Public Facilities and
Improvements and Economic
Development Projects
2.b........................ 12........................ New Housing Construction,
Housing Rehabilitation,
Land Acquisition to
Support New Housing, and
Homeownership Assistance
Projects
2.c........................ 12........................ Microenterprise Programs
3.......................... Total...................... 30........................ ..........................
1.......................... 10........................ All Project Types
2.......................... 5......................... All Project Types
3.......................... 1......................... All Project Types
4.......................... 2......................... All Project Types
5.a........................ 12........................ Public Facilities and
Improvements
5.b........................ 12........................ New Housing Construction,
Housing Rehabilitation,
and Homeownership
Assistance Projects
5.c........................ 12........................ Economic Development