[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]
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Part II
Department of Housing and Urban Development
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Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs; Notice
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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).
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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.
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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:
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Program National TA Local TA
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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
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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:
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Local TA Area HOME CHDO (HOME) Homeless
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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
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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
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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
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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.
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Program Eligible applicants
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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
Projects
5.d........................ 12........................ Microenterprise Programs
5.e........................ 12........................ Land Acquisition to
Support New Housing
4.......................... Total...................... 8......................... All Project Types
5.......................... Total...................... 6......................... All Project Types
1.......................... 2......................... All Project Types
2.......................... 4......................... All Project Types
Total...................... ........................... 100....................... Minimum of 70 Points
Required
----------------------------------------------------------------------------------------------------------------
[[Page 11458]]
The first number listed indicates the maximum number of points
available to current ICDBG grantees under this subfactor. The second
number indicates the maximum number of points available to new
applicants.
Rating Factor 1: Capacity of the Applicant (40 points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in accordance with your implementation schedule. If
applicable, past performance in administering previous ICDBG grants
will be taken into consideration. You must address the existence or
availability of these resources for the specific type of activity for
which you are applying. To be eligible for funding you must receive a
minimum of 20 points under this factor for your proposed activity. HUD
will not rate any projects further that do not receive a minimum of 20
points under this factor. If you are funded, the implementation
schedule and/or the Logic Model, form HUD-96010, you submit for this
factor will be measured against actual progress.
1. (20 points for current ICDBG grantees) (40 points for new
applicants) Managerial, Technical, and Administrative Capability.
Your application must include a description demonstrating that you
possess or can obtain managerial, technical, and/or administrative
capability necessary to carry out the proposed project. Your
application must address who will administer the project and how you
plan to handle the technical aspects of executing the project in
accordance with your implementation schedule. Typical documents that
may be submitted include, but are not limited to, written summaries of
qualifications and past experience of proposed staff, descriptions of
staff responsibilities, and references or letters of endorsement from
others who have worked with the proposed staff. Do not submit job
descriptions or resumes.
a. (10 points) Managerial and Technical Staff.
The extent to which your application describes the roles/
responsibilities and the knowledge/experience of your overall proposed
project director and staff, including the day-to-day program manager,
consultants, and contractors in planning, managing, and implementing
projects in accordance with the implementation schedule for which
funding is being requested. Experience will be judged in terms of
recent, relevant, and successful experience of your staff to undertake
eligible program activities. In rating this factor, HUD will consider
experience within the last 5 years to be recent; experience pertaining
to the specific activities being proposed or the specific roles and
responsibilities described in the application to be relevant; and
experience producing specific accomplishments to be successful. The
more recent the experience and the more experience your own staff
members who work on the project have in successfully conducting and
completing similar activities, the greater the number of points you
will receive for this rating factor.
(10 points). The applicant adequately describes the roles/
responsibilities and the knowledge/experience of its overall project
director and staff, including the day-to-day program manager,
consultants, and contractors in planning, managing, and implementing
projects for which funding is being requested. Staff experience as
described in the application is recent (within 5 years), relevant
(pertains to the specific activities being proposed or the specific
roles and responsibilities described in the application) and successful
(has produced specific accomplishments).
(5 points). The applicant adequately describes the roles/
responsibilities and the knowledge/experience of its overall project
director and staff, including the day-to-day program manager,
consultants, and contractors in planning, managing, and implementing
projects for which funding is being requested. However, one of the
following applies: staff experience as described in the application is
not recent (not within 5 years), is not relevant (does not pertain to
the specific activities being proposed or the specific roles and
responsibilities described in the application), or is not successful
(did not produce specific accomplishments).
(0 points). The applicant failed to adequately describe the roles/
responsibilities and the knowledge/experience of its overall project
director and staff, including the day-to-day program manager,
consultants, and contractors in planning, managing, and implementing
projects for which funding is being requested or more than one of the
following applies: staff experience as described in the application is
not recent (not within 5 years), is not relevant (does not pertain to
the specific activity being proposed or the specific roles and
responsibilities described in the application), or is not successful
(did not produce specific accomplishments).
b. (5 points for current ICDBG grantees and 10 points for new
applicants) Project Implementation Plan and Program Evaluation.
The extent to which your project implementation plan identifies the
specific tasks and timelines that you and your partner contractors and/
or sub-grantees will undertake to complete your proposed project on
time and within budget. The Project Implementation Schedule, form HUD-
4125, may serve as this required schedule, provided that it is
sufficiently detailed to demonstrate that you have clearly thought out
your project implementation. The extent to which your project
identifies, measures, and evaluates the specific benchmarks, outputs,
outcomes, and/or goals of your project that enhance community
viability. The Logic Model, form HUD-96010, may serve as the format to
address this information or you may provide a different format that
provides the same information.
(5 points for current ICDBG grantees and 10 points for new
applicants) The applicant submitted a project implementation plan that
clearly specifies project tasks and timelines. The applicant submitted
clear project benchmarks, outputs, outcomes, and/or targets and
identified objectively quantifiable program measures and/or evaluation
process.
(3 points for current ICDBG grantees and 4 points for new
applicants) The applicant submitted a project implementation plan that
specifies project tasks and timelines. The applicant submitted project
benchmarks, outputs, outcomes, and/or targets for each; however, the
applicant did not clearly identify objectively quantifiable program
measures and/or the evaluation process.
(0 points for current ICDBG grantees or new applicants) The
applicant submitted a project implementation schedule that does not
address all project tasks and timelines associated with the project.
Project benchmarks, outputs, outcomes, and/or goals were not submitted,
or if submitted, they did not address either the quantifiable program
measures and/or the evaluation process.
c. (3 points for current ICDBG grantees and 10 points for new
applicants) Financial Management.
This subfactor evaluates the extent to which your application
describes how your financial management systems will facilitate
effective fiscal control over your proposed project and meet the
requirements of 24 CFR part 85 and 24 CFR part 1003. You must also
describe how you will apply your financial
[[Page 11459]]
management systems to the specific project for which you are applying.
The application will also be rated on the seriousness/significance of
the findings related to your financial management system identified in
your current audit. If you are required to have an audit but do not
have a current audit, you must submit a letter from your Independent
Public Accountant (IPA) that is dated within the past 12 months stating
that your financial management system complies with all applicable
regulatory requirements. If you are not required to have an audit, you
will automatically receive points for this portion of the subfactor if
you provide the other information required by this subfactor. For
purposes of this subfactor, a current audit is one which was due to be
submitted to the Federal Audit Clearinghouse (FAC) within the 12-month
period prior to the application due date. To be considered, the audit
must be submitted to the FAC prior to the ICDBG application deadline
date. Do not submit financial management and/or internal control
policies and procedures or your audit with the application.
(3 points for current ICDBG grantees and 10 points for new
applicants).
The applicant clearly described how it will apply its financial
management systems to the proposed project and how the system meets the
requirements of 24 CFR part 85 and 24 CFR part 1003. The applicant's
current audit does not contain any serious or significant findings
related to its financial management system, or if there is no current
audit, the applicant submitted a letter from its Independent Public
Accountant stating that its financial management system complies with
all applicable regulatory requirements.
(2 points for current ICDBG grantees and 5 points for new
applicants) The applicant's current audit does not contain any serious
or significant findings related to its financial management system, or
if there is no current audit, the applicant submitted a letter from its
Independent Public Accountant (IPA) stating that its financial
management system complies with all applicable regulatory requirements.
The applicant did not describe how it would apply its financial
management systems to the proposed project and how the system meets the
requirements of 24 CFR part 85 and 24 CFR part 1003.
(0 points for current ICDBG grantees or new applicants) The
applicant's current audit included serious or significant findings
related to its financial management systems or, if there is no current
audit, the applicant did not submit a letter from its IPA stating its
financial management systems comply with all regulatory requirements.
The applicant did not describe how it would apply its financial
management systems to the proposed project and how the system meets the
requirements of 24 CFR part 85 and 24 CFR part 1003.
d. (2 points for current ICDBG grantees and 10 points for new
applicants) Procurement and Contract Management.
This subfactor evaluates the extent to which your application
describes how your procurement and contract management policies and
procedures will facilitate effective procurement and contract control
over your proposed project and meet the requirements of 24 CFR part 85
and 24 CFR part 1003. You must also describe how you will apply your
procurement and contract management systems to the specific project for
which you are applying. The application will also be rated on the
seriousness of the findings related to procurement and contract
management identified in your current financial audit. If you are
required to have an audit but do not have a current audit, you must
submit a letter from your Independent Public Accountant stating that
your procurement and contract management system complies with all
applicable regulatory requirements. If you are not required to have an
audit, you will automatically receive points for this portion of the
subfactor if you provide the other information required by this
subfactor. Do not submit procurement and contract management policies
and procedures or your audit with the application.
(2 points for current ICDBG grantees and 10 points for new
applicants) The applicant clearly described how its procurement and
contract management policies and procedures will facilitate effective
procurement and contract control over the proposed project, and meet
the requirements of 24 CFR part 85 and 24 CFR part 1003. The applicant
described how it will apply its procurement and management systems to
the specific project for which it is applying. The applicant's current
audit does not contain any serious or significant findings related to
its procurement and contract management system, or if there is no
current audit, the applicant submitted a letter from its Independent
Public Accountant (IPA) stating that its procurement and contract
management system complies with all applicable regulatory requirements.
(1 point for current ICDBG grantees and 5 points for new
applicants) The applicant's current audit does not contain any serious
or significant findings related to its procurement or contract
management system, or if there is no current audit, the applicant
submitted a letter from its Independent Public Accountant stating that
its procurement and contract management system complies with all
applicable regulatory requirements. The applicant did not describe how
it would apply its procurement and contract management systems to the
proposed project and meet the requirements of 24 CFR part 85 and 24 CFR
part 1003.
(0 points for current ICDBG grantees or new applicants) The
applicant's current audit included serious or significant findings
related to its procurement and contract management systems or if there
is no current audit, the applicant did not submit a letter from its IPA
stating its procurement and contract management systems comply with all
regulatory requirements. The applicant did not describe how it would
apply its procurement and contract management systems to the proposed
project and meet the requirements of 24 CFR part 85 and 24 CFR part
1003.
2. (20 points for current ICDBG grantees and 0 points for new
applicants) Past Performance.
HUD will evaluate your experience in producing products and reports
in accordance with regulatory timelines for any previous grant programs
undertaken with HUD funds for the following performance measures. HUD
reserves the right to take into account your past performance in
meeting performance and reporting goals on any previous HUD awards.
Applicants are not required to respond to the subfactors related to
past performance. HUD will rely on information on file.
a. (4 points for current ICDBG grantees and 0 points for new
applicants). You are not more than 90 days behind schedule in meeting
the time frames established in the HUD-approved Implementation Schedule
for the ICDBG program.
(1) (4 points) The applicant is not more than 90 days behind
schedule in meeting the timeframes established in the HUD-approved
implementation schedule.
(2) (2 points) The applicant is not more than 120 days behind
schedule in meeting the timeframes established in the HUD-approved
implementation schedule.
(3) (0 points) The applicant is more than 120 days behind schedule
in meeting timeframes established in the HUD-approved implementation
schedule.
b. (4 points for current ICDBG grantees and 0 points for new
[[Page 11460]]
applicants). Annual Status and Evaluation Reports (ASER) and Federal
Cash Transaction Reports are submitted by the report submission
deadlines. The ASER is due 45 days after the end of the federal fiscal
year on November 15. Federal Cash Transaction Reports are due quarterly
on April 21, July 21, October 20, and January 22.
(1) (4 points) The applicant has submitted both the ASER and
Federal Cash Transaction Reports for ICDBG programs by the report
submission deadlines.
(2) (2 points) The applicant has submitted either the Federal Cash
Transaction Reports or the ASERs for ICDBG programs by the report
submission deadline.
(3) (0 points) The applicant has submitted neither of the required
reports by the report submission deadline.
c. (4 points for current ICDBG grantees and 0 points for new
applicants) You have submitted close-out documents to HUD by the
required deadline. Close-out documents are required for the ICDBG
program within 90 days of the date it is determined that the criteria
for close-out at 24 CFR 1003.508 have been met.
(1) (4 points) The applicant submitted close-out documents to HUD
in accordance with the timeframe and criteria at Sec. 1003.508.
(2) (0 points) The applicant has not submitted close-out documents
to HUD as required by Sec. 1003.508.
d. (4 points for current ICDBG grantees and 0 points for new
applicants) You have submitted annual audits in accordance with OMB
Circular A-133 and its compliance supplements, or if you have received
an extension of the audit submission date, your audit was submitted by
the extended date. If an extension was received, submit a copy of the
extension approval. Do not submit your audit with the application.
(1) (4 points) You have submitted annual audits in accordance with
OMB Circular A-133 and its compliance supplements, or if you have
received an extension of the audit submission date, your audit was
submitted by the extended date. If an extension was received, submit a
copy of the extension approval. If the applicant has not been required
to submit an audit, it will receive 4 points.
(2) (0 points) You have not submitted annual audits in accordance
with OMB Circular A-133 and its compliance supplements or if you have
received an extension of the audit submission date, your audit was not
submitted by the extended date.
e. (4 points for current ICDBG grantees and 0 points for new
applicants) You have resolved ICDBG monitoring findings and controlled
audit findings by the established target date, or there are no findings
in current reports. Do not submit responses to open monitoring or audit
findings with the application.
(1) (4 points) The applicant resolved open ICDBG monitoring
findings and controlled audit findings by the established target date.
If there were no open audit or ICDBG monitoring findings (current
grantees only), the applicant will receive 4 points.
(2) (0 points) The applicant has not resolved open ICDBG monitoring
findings and controlled audit findings by the established target date.
Rating Factor 2: Need/Extent of the Problem (16 Points)
This factor addresses the extent to which there is a need for the
proposed project to address a documented problem among the intended
beneficiaries.
1. (Up to 4 points) Your application includes quantitative
information demonstrating that the proposed project meets an essential
community development need by providing outcomes that are critical to
the viability of the community.
2. (12 points) Your project benefits the neediest segment of the
population, in accordance with the ICDBG program's primary objective
defined at 24 CFR 1003.2. The criteria for this sub-factor vary
according to the type of project for which you are applying. Please
note that you may submit data that are unpublished and not generally
available in order to meet the requirements of this section. However,
to do so, you must submit a demographic data statement along with
supporting documentation as described in Section IV.B. of this NOFA.
For documenting persons employed by the project, you do not need to
submit a demographic data statement and corresponding documentation.
However, you do need to submit information that describes the nature of
the jobs created or retained. Such information includes, but is not
limited to, descriptions of proposed job responsibilities, salaries,
and the number of full-time equivalent positions. If you believe jobs
will be retained as a result of the ICDBG project, include information
that shows clearly and objectively that jobs will be lost without the
ICDBG project. Jobs that are retained only for the period of the grant
will not count under this rating factor.
a. Public Facilities and Improvements and Economic Development Projects
The proposed activities benefit the neediest segment of the
population, as identified below. For economic development projects, you
may consider beneficiaries of the project as persons served by the
project and/or persons employed by the project, and jobs created or
retained by the project.
(1) (12 points) At least 85 percent of the beneficiaries are low-
or moderate-income.
(2) (8 points) At least 75 percent but less than 85 percent of the
beneficiaries are low- or moderate-income.
(3) (4 points) At least 55 percent but less than 75 percent of the
beneficiaries are low- or moderate-income.
(4) (0 points) Less than 55 percent of the beneficiaries are low-or
moderate-income.
b. New Housing Construction, Housing Rehabilitation, Land Acquisition
to Support New Housing, and Homeownership Assistance Projects
The need for the proposed project is determined by utilizing data
from the tribe's 2006 IHBG formula information. The ratio is based on
the dollars allocated to a tribe under the IHBG program for need
divided by the sum of the number of American Indian and Alaskan Native
(AIAN) households in the following categories:
--Annual income less than 30 percent of median income;
--Annual income between 30 percent and 50 percent of median income;
--Annual income between 50 percent and 80 percent of median income;
--Overcrowded or without kitchen or plumbing;
--Housing cost burden greater than 50 percent of annual income;
--Housing shortage (Number of low-income AIAN households less total
number of NAHASDA and Formula Current Assisted Stock).
This ratio is computed for each tribe and posted in the ``Factor 2
Needs Table'' that is available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm
under the ICDBG program.
(1) (12 points) The dollar amount for the Indian tribe is $316-$750
or the tribe's total FY2006 IHBG amount was $100,000 or less and the
Needs Table indicates that the Indian tribe has no AIAN households
experiencing income or housing problems.
(2) (8 points) The dollar amount for the Indian tribe is $751-
$1,250.
(3) (4 points) The dollar amount for the Indian tribe is $1,251-
$1,999.
(4) (0 points) The dollar amount for the Indian tribe is $2,000 or
higher, or
[[Page 11461]]
the Needs Table indicates that the Indian tribe has no AIAN households
experiencing income or housing problems.
c. Microenterprise Programs
A microenterprise is a business that has five or fewer employees,
one or more of whom owns the enterprise. The owner(s) of the
microenterprise must be low- or moderate-income and the majority of the
jobs created or retained will be for low- or moderate-income persons.
To evaluate need, the nature of the jobs created or retained will be
evaluated. The owners of the microenterprises are low- and moderate-
income and:
(1) (12 points) All employees are low- or moderate-income.
(2) (8 points) At least 75 percent but less than 100 percent of the
employees are low- or moderate-income.
(3) (4 points) At least 50 percent but less than 75 percent of the
employees are low- or moderate-income.
(4) (0 points) Less than 50 percent of the employees are low- and
moderate-income.
Rating Factor 3: Soundness of Approach (30 Points)
This factor addresses the quality and anticipated effectiveness of
your proposed project's outcomes in enhancing community viability and
in meeting the needs you have identified in Rating Factor 2 and the
commitment to sustain your proposed project. The populations that were
described in demographics that documented need should be the same
populations that will receive the primary benefit of the proposed
project.
1. (10 points) Description of and Rationale for Proposed Project.
a. (10 points) The proposed project is a viable and cost effective
approach to address the needs outlined under Rating Factor 2 of your
application. The proposed project is described in detail and you
indicate why you believe it will be most effective in addressing the
identified need. In order for an application to receive full credit
under this factor, the application must include clear and sound
measures of the proposed outputs and outcomes for how the community's
viability will be enhanced, as presented in Rating Factor 5. The
application includes a description of the size, type, and location of
the project and a rationale for project design. If your application is
for construction of housing or a public facility building or
rehabilitation project, it must also include anticipated cost savings
related to project development due to innovative program design or
construction methods. For land acquisition to support new housing
projects, you must establish that there is a reasonable ratio between
the number of net usable acres to be acquired and the number of low-
and moderate-income households to benefit from the project.
b. (5 points) The proposed project is a viable and cost-effective
approach to address the needs outlined under Rating Factor 2 of the
application. The project is described in detail and indicates why you
believe the project will be most effective in addressing the identified
need. Proposed outcomes that will enhance the community's viability are
included. The application includes a description of the size, type, and
location of the project, as well as a rationale for project design. For
land acquisition to support new housing projects, the applicant has
established that there is a reasonable ratio between the number of net
usable acres to be acquired and the number of low- and moderate-income
households to benefit from this project. The application (for
construction of housing or a public facility building or rehabilitation
projects) does not include anticipated cost savings due to innovative
program design and/or construction methods.
c. (3 points) The proposed project is a viable and cost-effective
approach to address the needs outlined under Rating Factor 2 of the
application. The project is described and you indicate why you believe
the project will be most effective in addressing the identified need.
Proposed outcomes are included but do not describe how the project will
enhance community viability. The application includes a description of
the size, type, and location of the project. For land acquisition to
support new housing projects, the applicant has established that there
is a reasonable ratio between the number of net usable acres to be
acquired and the number of low- and moderate-income households to
benefit from the project. The application (for construction of housing
or a public facility building or rehabilitation activities) does not
include anticipated cost savings due to innovative program design and/
or construction methods.
d. (0 points) The proposed project is not a viable and cost-
effective approach to address the needs outlined under Rating Factor 2
of the application. The proposed project is not described in detail
with an indication of why the applicant believes the project will be
most effective in addressing the identified need. Proposed outcomes
describing how the project will enhance community viability are not
included. For land acquisition to support new housing projects, the
applicant has not established that there is a reasonable ratio between
the number of net usable acres to be acquired and the number of low-
and moderate-income households to benefit from the project. The
application (for construction of housing or a public facility building
and rehabilitation activities) does not include anticipated cost
savings due to innovative program design and/or construction methods.
2. (5 points) Budget and Cost Estimates.
The quality, thoroughness, and reasonableness of the proposed
project budget are documented. Cost estimates must be broken down by
line item for each proposed activity, including planning and
administration costs, and documented. You must provide a description of
the qualifications of the person who prepared the cost estimate.
3. (1 point) HUD Policy Priorities.
Your application addresses the goals for ``Improving Our Nation's
Communities,'' or ``Energy Star,'' two of HUD's 2007 policy priorities,
as described in Section V. B. of the General Section. You must describe
which one of these two policy priorities you select and describe how
your activity will meet the applicable goals.
4. (2 points) Intent to Meet Section 3 Requirements.
Your application demonstrates how you will apply the Section 3
requirements 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 proposed project. You must demonstrate
how you will incorporate Section 3 principles, with goals for expanding
opportunities for Section 3 residents and business concerns, to your
proposed project. The purpose of Section 3 is to ensure that employment
and other economic opportunities generated by federal financial
assistance for housing and community development programs shall, to the
extent feasible, be directed toward low- and very low-income persons
(but not in derogation of compliance with Section 7(b) of the Indian
Self-Determination and Education Assistance Act (25 U.S.C. 4503(b))).
5. (12 points) Commitment To Sustain Activities.
Your application demonstrates your commitment to your community's
viability by sustaining your proposed activities. The information
provided is sufficient to determine that the project will proceed
effectively.
[[Page 11462]]
The criteria for this sub-factor vary according to the type of
project for which you are applying.
a. Public Facilities and Improvement Projects
(1) (12 points) If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, provide a
written statement that the tribe has adopted the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities. In addition, describe how the operation and
maintenance plan addresses maintenance, repairs, insurance, security,
and replacement reserves and include a cost breakdown for annual
expenses. If an entity other than the tribe commits to pay for
operation and maintenance for the public facilities, a letter of
commitment from the entity is included in the application that
identifies the maintenance responsibilities and, if applicable, the
responsibilities for operations the entity will assume, as well as
necessary funds to provide for these responsibilities. A description of
how the operation and maintenance plan addresses maintenance, repairs,
insurance, security, and replacement reserves is not required when an
entity other then the tribe assumes operation and maintenance
responsibilities. For public facility buildings only, a commitment is
included in the application that identifies the source of and commits
the necessary operating funds for any recreation, social, or other
services to be provided. In addition, letters of commitment from
service providers are included that address both operating expenses and
space needs.
(2) (8 points) If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, provide a
written statement that the tribe has adopted the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities. In addition, a description was included that shows
that the operation and maintenance plan addresses at least four of the
following items (maintenance, repairs, insurance, security, and
replacement reserves) but a satisfactory cost breakdown for annual
expenses was not included. If an entity other than the tribe commits to
pay for operation and maintenance for the public facilities and
maintenance, a letter of commitment from the entity is included in the
application that identifies the maintenance responsibilities and, if
applicable, the responsibilities for operations the entity will assume,
but no information committing the necessary funds to provide for these
responsibilities is included. A description of how the operation and
maintenance plan addresses maintenance, repairs, insurance, security,
and replacement reserves is not required when an entity other than the
tribe assumes operation and maintenance responsibilities. For community
buildings only, a commitment is included in the application that
identifies the source of and commits the necessary operating funds for
any recreation, social, or other services to be provided. In addition,
letters of commitment from service providers are included that address
both operating expenses and space needs. Information provided is
sufficient to determine that the project will proceed effectively.
(3) (4 points) If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, the
application includes a written statement that the tribe has adopted the
operation and maintenance plan and commits the necessary funds to
provide for these responsibilities, or a description of the operation
and maintenance plan is included that shows that the plan addresses at
least three of the following items (maintenance, repairs, insurance,
security, and replacement reserves). If an entity other than the tribe
commits to pay for operation and maintenance for the public facilities
and maintenance, the maintenance provider is identified and, if
applicable, the responsibilities for operations the entity will assume,
but no letter of commitment is included. For public facility buildings
only, no commitment is included in the application that identifies the
source of and commits the necessary operating funds for any recreation,
social, or other services to be provided. Letters of commitment to
provide services are included but they do not address operating
expenses and space needs. Information provided is sufficient to
determine that the project will proceed effectively.
(4) (0 points) None of the above criteria is met.
b. New Housing Construction, Housing Rehabilitation, and Homeownership
Assistance Projects
(1) (12 points) The ongoing maintenance responsibilities are
clearly identified for the tribe and/or the participants, as
applicable. If the tribe or another entity is assuming maintenance
responsibilities, then the applicant must describe the maintenance
responsibilities and provide a commitment to that effect.
(2) (8 points) Maintenance responsibilities for the tribe and/or
participants are identified and described, but lacking in detail, and
the commitment regarding maintenance responsibilities is submitted.
(3) (4 points) Tribal maintenance responsibilities are identified
but participant responsibilities are either not addressed or do not
exist, or there is no commitment regarding maintenance
responsibilities.
(4) (0 points) None of the above criteria is met.
c. Economic Development Projects
You must include information or documentation that addresses or
provides all of the following in the application: a description of the
organizational system and capacity of the entity that will operate the
business; documents that show that formal provisions exist for
separation of government functions from business operating decisions,
an operating plan for the project, and the feasibility and market
analysis of the proposed business activity and the financial viability
of the project.
(1) Appropriate documents to include in the application to address
these items include:
(a) Articles of incorporation, bylaws, resumes of key management
positions, and board members for the entity who will operate the
business.
(b) Business operating plan.
(c) A market study no more than two years old and which has been
conducted by an independent entity.
(d) Financial analysis and feasibility study no more than two years
old which indicates how the proposed business will capture a fair share
of the market, and which has been conducted by an independent entity.
(e) Detailed cost summary for the development of the project.
(f) For the expansion of an existing business, copies of financial
statements for the most recent three years (or the life of the
business, if less than three years).
(2) The submitted documentation will be evaluated to determine the
project's financial chance for success. The following questions must be
addressed to meet this requirement:
(a) Does the business plan seem thorough and does the organization
structure have quality control and responsibilities built in?
(b) Does the business plan or market analysis indicate that a
substantial market share is likely within five years?
(c) Do the costs appear to be reasonable given projected income and
information about inputs?
[[Page 11463]]
(d) Does the business plan or cash flow analysis indicate that cash
flow will be positive within the first year?
(e) Is the financial statement clean with no indications of concern
by the auditor?
(12 points) All above documents applicable to the proposed project
are included in your application and provide evidence that the
project's chance for financial success is excellent.
(6 points) All or most of the above documents applicable to the
proposed project are included and provide evidence that the project's
chance for financial success is reasonable.
(0 points) Neither of the above criteria is met.
d. Microenterprise Programs
(1) You must include the following information or documentation in
the application that addresses or provides a description of how your
microenterprise program will operate. Appropriate information to
include in the application to address program operations includes:
(a) Program description. A description of your microenterprise
program including the types of assistance offered to microenterprise
applicants and the types of entities eligible to apply for such
assistance.
(b) Processes for selecting applicants. A description of your
processes for analyzing microenterprise applicants' business plans,
market studies, and financial feasibility. For credit programs, you
must describe your process for determining the loan terms (i.e.,
interest rate, maximum loan amount, duration, loan servicing
provisions) to be offered to individual microenterprise applicants.
(2) (12 points) All of the above information or documentation
applicable to the proposed project are thoroughly addressed in the
application and the chances for success are excellent.
(3) (6 points) All or most of the above information or
documentation applicable to the proposed project are addressed in the
application and the chances for success are reasonable.
(4) (0 points) Neither of the above criteria is met.
e. Land Acquisition Projects to Support New Housing.
Submissions must include the results of a preliminary investigation
conducted by a qualified independent entity demonstrating that the
proposed site has suitable soil conditions for housing and related
infrastructure, potable drinking water is accessible for a reasonable
cost, access to utilities, vehicular access, drainage, nearby social
and community services, and no known environmental problems.
(1) (12 points) The submissions include all of the above-mentioned
items and all necessary infrastructure is in place.
(2) (6 points) The submissions demonstrate that the proposed
site(s) is/are suitable for housing but that not all necessary
infrastructure is in place. A detailed description of resources to be
used and a detailed implementation schedule for development of all
necessary infrastructure demonstrates that such infrastructure, as
needed for proposed housing development, will be developed in time for
such development, but no later than two years after site purchase.
(3) (0 points) Neither of the above criteria is met.
Rating Factor 4: Leveraging Resources (8 points)
HUD believes that ICDBG funds can be used more effectively to
benefit a larger number of Native American and Alaska Native persons
and communities if projects are developed that use tribal resources and
resources from other entities in conjunction with ICDBG funds. To
encourage this, HUD will award points based on the percentage of non-
ICDBG resources provided relative to project costs as follows:
------------------------------------------------------------------------
Non-ICDBG resources to project costs Points
------------------------------------------------------------------------
Less than 4 percent........................................ 0
At least 4 percent but less than 11 percent................ 2
At least 11 percent but less than 18 percent............... 4
At least 18 percent but less than 25 percent............... 6
25 percent or more......................................... 8
------------------------------------------------------------------------
Contributions that could be considered as leveraged resources for
point award include, but are not limited to: tribal trust funds, loans
from individuals or organizations, private foundations, businesses,
state or federal loans or guarantees, other grants including IHBG (also
known as NAHBG) funds, donated goods and services needed for the
project, land needed for the project, and direct administrative costs.
With the exception of land acquisition, funds that have been expended
on the project prior to the application deadline date will not be
counted as leverage. Applicants are reminded that environmental review
requirements under 24 CFR part 58 apply to the commitment or use of
both ICDBG and non-ICDBG funds in a leveraged project. See Section
VI.B. of this NOFA for information related to this requirement.
Contributions that will not be considered include, but are not
limited to: indirect administrative costs as identified in OMB Circular
A-87, attachment A, section F; contributions of resources to pay for
anticipated operations and maintenance costs of the proposed project;
and, in the cases of expansions to existing facilities, the value of
the existing facility.
To be considered for point award, letters of firm or projected
commitments, memoranda of understanding, or agreements to participate
from any entity, including the tribe that will be providing a
contribution to the project, must accompany the application. The
documentation must be received by HUD in the paper application package
(if you have received a waiver of the electronic submission
requirement) or for electronically submitted applications, the
documentation must be scanned and submitted as part of the application
documents or sent by facsimile transmittal (see the General Section).
To receive funding consideration, all documents must be received by the
application deadline dates and meet the timely receipt requirements.
To demonstrate the commitment of tribal resources, the application
must contain a written statement that identifies and commits the tribal
resources to the project, subject to approval of the ICDBG assistance.
In the case of IHBG funds, whether the tribe or a TDHE administers
them, an approved Indian Housing Plan (IHP) must identify and commit
the IHBG resources to the project. Do not submit the IHP with your
application. ONAP will rely on the most recently approved IHP on file.
If the tribe/TDHE intends to include the leveraged commitment in a
future IHP, the application must contain a written statement that
identifies and commits the IHBG resources to the project subject to the
same requirements as above.
To demonstrate the commitment of a public agency, foundation, or
other private party resources, a letter of commitment, memorandum of
understanding, and/or agreement to participate, including any
conditions to which the contribution may be subject, must be submitted
with the application. All letters of commitment must include the donor
organization's name, the specific resource proposed, the dollar amount
of the financial or in-kind resource and method for valuation, and the
purpose of that resource within the
[[Page 11464]]
proposed project. An official of the organization legally authorized to
make commitments on behalf of the organization must sign the
commitment.
HUD recognizes that in some cases, firm commitments of non-tribal
resources may not be obtainable by your tribe by the application
deadline. For such projected resources, your application must include a
statement from the contributing entity that describes why the firm
commitment cannot be made at the current time and affirms that your
tribe and the proposed project meets eligibility criteria for receiving
the resource. In addition, a date by which the funding decisions will
be made must be included. This date cannot be more than six months from
the anticipated date of grant approval by HUD. Should HUD not receive
notification of the firm commitment within 6 months of the date of
grant approval, HUD will recapture the grant funds approved and will
use them in accordance with the requirements of 24 CFR 1003.102.
In addition to the above requirements, for all contributions of
goods, services and land, you must demonstrate that the donated items
are necessary to the actual development of the project and include
comparable costs that support the donation. Land valuation must be
established using one of the following methods and the documentation
must be contained in the application: a site-specific appraisal no more
than two years old; an appraisal of a nearby comparable site also no
more than two years old; a reasonable extrapolation of land value based
on current area realtor value guides; or a reasonable extrapolation of
land value based on recent sales of similar properties in the same
area.
Rating Factor 5: Comprehensiveness and Coordination (6 Points)
This factor addresses the extent to which your project planning and
proposed implementation reflect a coordinated, community-based process
of identifying and addressing needs, including assisting beneficiaries
and the program to achieve self-sufficiency/sustainability.
The Logic Model, HUD form 96010, is not required for Rating Factor
5 under the ICDBG program. However, applicants are encouraged to use
this form to address program evaluation requirements under Rating
Factor 1.(1).(b) of this NOFA, and measurable outputs and outcomes in
Section (2) of this factor.
1. (Up to 2 points) The application addresses the extent to which
you have coordinated your proposed ICDBG activities with other
organizations and/or tribal departments that are not providing direct
financial support to your proposed work activities, but with which you
share common goals and objectives and are working toward meeting these
objectives in a holistic and comprehensive manner. For example, your
project is consistent with and, to the extent possible, identified in
the IHP (One-Year Financial Resources Narrative; Table 2, Financial
Resources, Part I., Line 1E; and, Table 2, Financial Resources, Part
II) submitted by you or on your behalf for the IHBG (also known as
NAHBG) program. 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 a written statement
that when submitted, the IHP will specifically reference the proposed
project.
2. (Up to 4 points) Your proposed project will have measurable
outputs and outcomes that will enhance community viability.
Outputs must include, where applicable:
Number of houses rehabilitated;
Number of jobs created;
Square feet for any public facility;
Number of education or job training opportunities
provided;
Number of homeownership units constructed or financed;
Number of businesses assisted (including number of
minority/Native American);
Number of families proposed to be assisted through a drug-
elimination program, or through a program to reduce or eliminate
health-related hazards.
Outcomes must include, where appropriate:
Reduction in the number of families living in substandard
housing;
Increased income resulting from employment generated by
project;
Increased quality of life due to services provided by the
public facility;
Increased economic self-sufficiency of program
beneficiaries;
Increase in homeownership rates;
Reduction of drug-related crime or health-related hazards.
HUD is providing a Master Logic Model as a Microsoft
ExcelTM file with dropdown listings from which applicants
may select the items in each column that reflect their activity outputs
and outcomes. The Master Logic Model listing also identifies the unit
of measure that HUD is interested in collecting for the output and
outcome selected. Applicants can also select the appropriate estimated
number of units of measure to be accomplished and identified for each
output and outcome. The space next to the output and outcome is
intended to capture the anticipated units of measure. Multiple outputs
and outcomes may be selected per project. 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. The Master Logic Model pick is incorporated
into the form available as part of the ICDBG Instructions download from
Grants.gov. Training on use of the dropdown form will be provided via
webcast. The schedule for webcast training can be found at http://www.hud.gov/offices/adm/
grants/fundsavail.cfm.
B. Reviews and Selection Process
1. Application Selection Process. You must meet all of the
applicable threshold requirements listed in Section III.C. Your
application must meet all screening for acceptance requirements and all
identified applicant and project specific thresholds. HUD will review
each application and assign points in accordance with the selection
factors described in this section.
2. Threshold Compliance. The Area ONAP will review each application
that passes the screening process to ensure that each applicant and
each proposed project meets the applicant threshold requirements set
forth in 24 CFR 1003.301(a) and the project specific threshold
requirements set forth in 24 CFR 1003.302 and III.C. of this NOFA.
3. Past Performance. An applicant's past performance is evaluated
under Rating Factor 1. Applicants are encouraged to address all
performance-related criteria prior to the application deadline date. An
applicant must score a minimum of 20 points under Rating Factor 1 in
order to meet the minimum point requirements outlined below in this
NOFA.
4. Rating. The Area ONAP will review and rate each project that
meets the acceptance criteria and threshold requirements.
After the applications are rated, a summary review of all
applications will be conducted to ensure consistency in the application
rating. The summary review will be performed by either the Grants
Management Director (or designee) or by a panel composed of up to three
staff members.
The total points for all rating factors are 100. A maximum of 100
points may be awarded under Rating Factors 1 through 5.
5. Minimum Points. To be considered for funding, your application
must receive a minimum of 20 points under
[[Page 11465]]
Rating Factor 1 and an application score of 70 points.
6. Ranking. All projects will be ranked against each other
according to the point totals they receive, regardless of the type of
project or component under which the points were awarded. Projects will
be selected for funding based on the final ranking to the extent that
funds are available. The Area ONAP will determine individual grant
amounts in a manner consistent with the considerations set forth in 24
CFR 1003.100(b)(2). Specifically, the Area ONAP may approve a grant
amount less than the amount requested. In doing so, the Area ONAP may
take into account the size of the applicant, the level of demand, the
scale of the activity proposed relative to need and operational
capacity, the number of persons to be served, the amount of funds
required to achieve project objectives, and the reasonableness of the
project costs. If the Area ONAP determines that there are not enough
funds available to fund a project as proposed by the applicant, it may
decline to fund that project and may fund the next highest-ranking
project or projects for which adequate funds are available. The Area
ONAP shall select, in rank order, additional projects for funding if
one of the higher-ranking projects is not funded or if additional funds
become available.
7. Tiebreakers. When rating results in a tie among projects and
insufficient resources remain to fund all tied projects, the Area ONAP
will approve projects that can be fully funded over those that cannot
be fully funded. When that does not resolve the tie, the Area ONAP will
use the following factors in the order listed to resolve the tie:
(a) The applicant that has not received an ICDBG over the longest
period of time.
(b) The applicant with the fewest active ICDBGs.
(c) The project that would benefit the highest percentage of low-
and moderate-income persons.
8. Technical Deficiencies and Pre-Award Requirements
a. Technical Deficiencies. If there are technical deficiencies in
successful applications, you must satisfactorily address these
deficiencies before HUD can make a grant award. See the General Section
at V.B.4. for information on curing deficiencies.
b. Pre-award Requirements. Successful applicants may be required to
provide supporting documentation concerning the management,
maintenance, operation, or financing of proposed projects before a
grant agreement can be executed. Such documentation may include
additional specifications on the scope, magnitude, timing or method of
implementing the project; or information to verify the commitment of
other resources required to complete, operate, or maintain the proposed
project. Applicants will be provided thirty (30) calendar days to
respond to these requirements. No extensions will be provided. If you
do not respond within the prescribed time period or you make an
insufficient response, the Area ONAP will determine that you have not
met the requirements and will withdraw the grant offer. You may not
substitute new projects for those originally proposed in your
application and any new information will not affect your project's
rating and ranking. The Area ONAP will award, in accordance with the
provisions of this NOFA, grant amounts that had been allocated for
applicants unable to meet pre-award requirements.
9. Error and Appeals. Judgments made within the provisions of this
NOFA and the program regulations (24 CFR part 1003) are not subject to
claims of error. You may bring arithmetic errors in the rating and
ranking of applications to the attention of the Area ONAPs within 30
days of being informed of your score. Please see Section VI.A. of the
General Section for further information regarding errors.
10. Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance of and order compliance
actions by funding recipients in accordance with the applicable
standards and sanctions of their respective programs.
VI. Award Administration Information
A. Award Notices. HUD expects to announce awards by October 31,
2007. As soon as rating and ranking are completed, the applicant has
complied with any pre-award requirements, and Congressional release has
been obtained, a grant award letter, a grant agreement, and other forms
and certifications will be mailed to the recipient for signature and
return to the Area ONAP. The grant agreement, which is signed by HUD
and the recipient, establishes the conditions by which both the Area
ONAP and the recipient must abide during the life of the grant. All
grants are conditioned on the completion of all environmental
obligations and approval of release of funds by the Area ONAP in
accordance with the requirements of 24 CFR part 58. HUD may impose
other grant conditions if additional actions or approvals are required
before the use of funds.
B. Administrative and National Policy Requirements
1. Statutory and Regulatory Requirements
a. Environmental Requirements. As required by 24 CFR 1003.605,
ICDBG grantees must perform environmental reviews of ICDBG activities
in accordance with 24 CFR part 58 (as amended September 29, 2003).
Grantees and other participants in the development process may not
commit or expend any ICDBG or nonfederal funds on project activities
(other than those listed in 24 CFR 58.22(f), 58.34, or 58.35(b)) until
HUD has approved a Request for Release of Funds and the grantee has
submitted an environmental certification. The expenditure or commitment
of ICDBG or nonfederal funds for such activities prior to HUD approval
may result in the denial of assistance for the project or activities
under consideration.
b. Indian Preference. HUD has determined that the ICDBG program is
subject to Section 7(b) of the Indian Self-Determination and Education
Assistance Act (25 U.S.C. 450e(b)). The provisions and requirements for
implementing this section are in 24 CFR 1003.510.
c. Anti-discrimination Provisions. Under the authority of Section
107(e)(2) of the CDBG statute, HUD waived the requirement that
recipients comply with the anti-discrimination provisions in Section
109 of the CDBG statute with respect to race, color, and national
origin. You must comply with the other prohibitions against
discrimination in Section 109 (HUD's regulations for Section 109 are in
24 CFR part 6) and with the Indian Civil Rights Act.
d. Conflict of Interest. In addition to the conflict-of-interest
requirements with respect to procurement transactions found in 24 CFR
85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply
to such activities as the provision of assistance by the recipient or
sub-recipients to businesses, individuals, and other private entities
under eligible activities that authorize such assistance.
e. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Section 3 requirements apply to the ICDBG program, but as
stated in 24 CFR 135.3(c), the procedures and requirements of 24 CFR
part 135 apply to the maximum extent consistent with, but not in
derogation of, compliance with Indian Preference.
[[Page 11466]]
2. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. The policies, guidance and requirements
of OMB Circular A-87 (Cost Principles Applicable to Grants, Contracts,
and other Agreements with State and Local Governments); OMB Circular A-
122 (Cost Principles for Nonprofit Organizations); OMB Circular A-133
(Audits of State and Local Governments, and Nonprofit Organizations);
and the regulations at 24 CFR part 85 (Administrative Requirements for
Grants and Cooperative Agreements to State, Local and Federally
Recognized Indian Tribal Governments) apply to the award, acceptance,
and use of assistance under the ICDBG program and to the remedies for
noncompliance, except when inconsistent with the provisions of the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5,
approved February 15, 2007) or the ICDBG program regulations at 24 CFR
part 1003. Copies of the OMB Circulars may be obtained from EOP
publications, Room 22000, New Executive Office Building, Washington, DC
20503, telephone (202) 395-3080 (this is not a toll-free number) or
(800) 877-8339 (TTY Federal Information Relay Service). Information may
also be obtained from the OMB Web site at http://www.whitehouse.gov/omb/circulars/index.html
.
C. Reporting
1. Post-Award Reporting Requirements
a. Quarterly Financial Reports. Grant recipients must submit to the
Area ONAP a quarterly SF-272, Federal Cash Transaction Report. The
report accounts for funds received and disbursed by the recipient.
b. Annual Status and Evaluation Report. Recipients are required to
submit this report in narrative form annually. The report is due 45
days after the end of the federal fiscal year and at the time of grant
close-out. The report must include:
(1) The narrative report must address the progress made in
completing approved activities and include a list of work remaining,
along with a revised implementation schedule, if necessary. This report
should include progress on any outputs or outcomes specified in Rating
Factor 5 and incorporated into the final award document (applicants can
use the Logic Model (HUD-96010) to address all or some of the narrative
requirements). Further information regarding the Return on
Investment(s) will be issued in a subsequent notice by HUD (see section
V.A.2., Rating Factor 5 of this NOFA for further information);
(2) A breakdown of funds spent on each major project activity or
category; and
(3) If the project has been completed, an evaluation of the
effectiveness of the project in meeting the community development needs
of the grantee, as well as the final outputs and outcomes.
c. Minority Business Enterprise Report. Recipients must submit this
report on contract and subcontract activity during the first half of
the fiscal year by April 10 and, by October 10 for the second half of
the fiscal year.
d. A close-out report must be submitted by the recipient within 90
days of completion of grant activities. The report consists of the
final Financial Status Report (forms SF 269 or 269A), the final Status
and Evaluation Report including outputs and outcomes agreed upon in the
final award document relating to Rating Factor 5 and the Close-Out
Agreement.
More information regarding these requirements may be found at 24
CFR 1003.506 and 1003.508.
VII. Agency Contact(s)
A. General Questions. You should direct general program questions
to the Area ONAP serving your area. A list identifying each Area ONAP
is provided at http://www.hud.gov/offices/pih/ih/onap/area_onap.cfm.
Persons with speech or hearing impairments may call HUD's TTY number
202 708-0770, or 1-800-877-8339 (the Federal Information Relay Service
TTY). Other than the ``800'' numbers, these numbers are not toll-free.
You should direct questions concerning downloading the electronic
application, registering with Grants.gov, or other questions regarding
the electronic application to the Grants.gov support desk at 800-518-
GRANTS. You may also send an e-mail to Support@Grants.gov.
B. Technical Assistance. Before the application deadline date, HUD
staff will be available to provide you with general guidance and
technical assistance about the requirements in the General Section and
this NOFA. However, HUD staff is not permitted to assist in preparing
your application. Following selection of applicants, but before awards
are made, HUD staff is available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award.
VIII. Other Information
A. NOFA Training. Training for potential applicants on the
requirements of the General Section, this NOFA, the Logic Model, and
Grants.gov registration, will be provided by HUD via broadcast and
webcast. Information on the training can be found in the General
Section. The training schedule can be found on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm
.
B. Paperwork Reduction Act Statement. The information collection
requirements in this NOFA 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 number 2577-0191. 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 valid OMB control number.
Public reporting burden for the collection of information is estimated
to average 43 hours per annum 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.
[[Page 11467]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.006
[[Page 11468]]
Historically Black Colleges and Universities (HBCU) Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Historically Black Colleges and
Universities (HBCU) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: FR-5100-N-10; OMB Approval Number
is 2528-0235.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.520.
F. Dates: The application deadline date is May 23, 2007.
Application must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. Please be sure to read the
General Section for electronic application submission and receipt
requirements.
G. Additional Overview Content Information:
1. Purpose of the Program: To assist Historically Black Colleges
and Universities (HBCU) to expand their role and effectiveness in
addressing community development needs in their localities, including
neighborhood revitalization, housing and economic development,
principally for persons of low- and moderate-income consistent with the
purposes of Title I of the Housing and Community Development Act of
1974, as amended.
2. Award Information: In Fiscal Year (FY) 2007, approximately $8.9
million has been made available by the Revised Continuing
Appropriations Resolution, 2007 (Pub. L. 110-5; approved February 15,
2007), of which up to $1 million has been allocated to provide
technical assistance and an additional $22,275 in carryover funds. An
applicant can request up to $600,000 for a three-year (36 months) grant
performance period. In order to ensure that institutions that have
never received a HUD HBCU Program grant (First Time HBCU applicants)
receive awards in this competition, approximately $1.8 million will be
made available to fund First Time HBCU applicants. In addition,
approximately, $6.1 million will be made available to fund Previously
Funded HBCU applicants. If funding designated for First Time HBCU
applicants remains after all eligible First Time HBCU applicants are
awarded, the remaining funds will be made available to fund eligible
Previously Funded HBCU applicants.
3. Eligible Applicants: Historically Black Colleges and
Universities that meet the definition of Historically Black Colleges
and Universities as determined by the Department of Education in 34 CFR
608.2 in accordance with that Department's responsibilities under
Executive Order 13256, dated February 12, 2002. Applicants must be
institutions of higher education accredited by a national or regional
accrediting agency recognized by the U.S. Department of Education.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of the Historically Black Colleges and Universities
(HBCU) Program is to expand their role and effectiveness in addressing
community development needs in their localities, including neighborhood
revitalization, housing, and economic development, principally for
persons of low- and moderate-income, consistent with the purpose of the
Title I of Housing and Community Development Act of 1974, as amended.
For the purposes of this program NOFA, the term ``locality''
includes any city, county, township, parish, village, or other general
political subdivision of a state, or the U.S. Virgin Islands where the
institution is located and the term ``target area'' is the area within
the locality in which the institution will implement its proposed HBCU
grant. If an institution wants to provide services/activities in a
location other than the target area of that institution an applicant
must provide justification for why they want to do so.
A. Authority
HUD's authority for making funding available under this NOFA is the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). This program is being implemented through
this NOFA and the policies governing its operation are contained
herein.
B. Modifications
Listed below are major modifications from the Fiscal Year (FY) 2006
program-funding announcement:
1. In FY 2007, there is only one category of funding. In FY 2006,
there were two categories, one of which exclusively funded activities
related to Hurricanes Katrina and Rita. No funding is being set aside
for this purpose this year.
2. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application, but the
originals must be on file at the time of application submission. HUD
will require applicants chosen to proceed to the next step in the
selection process to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven calendar days after initial contact from the Office of University
Partnerships (OUP). OUP will provide specific instructions on how these
documents must be submitted at that time. HUD will only request and
consider the resources/organizations outlined in the application. If
OUP does not receive those documents with the required information and
within the allotted timeframe, an applicant will not receive points
under this factor.
3. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the institution's name and should be numbered. HUD will
not consider the information on any excess pages.
4. Applicants must budget for travel costs to attend at least one
HUD sponsored HBCU conference/workshop every year of the three-year
grant performance period.
II. Award Information
In Fiscal Year (FY) 2007, approximately $8.9 million is made
available for this program, of which up to $1 million has been
allocated to provide technical assistance and an additional $22,275 in
carryover funds. An applicant can request up to $600,000 for a three-
year (36 months) grant performance period.
In order to ensure that institutions that have never received a HUD
HBCU Program grant (First Time HBCU applicants) receive awards in this
competition, approximately $1.8 million will be made available to fund
First Time HBCU applicants. In addition, approximately $6.1 million
will be made available to fund Previously Funded HBCU applicants. If
funding designated for First Time HBCU applicants remains after all
eligible First Time HBCU applicants are awarded, the remaining funds
will be made available to fund eligible Previously Funded HBCU
applicants.
III. Eligibility Information
A. Eligible Applicants
Historically Black Colleges and Universities as determined by the
U.S. Department of Education in 34 CFR
[[Page 11469]]
608.2 in accordance with that Department's responsibilities under
Executive Order 13256, dated February 12, 2002. All applicants must be
institutions of higher education accredited by a national or regional
accrediting agency recognized by the U.S. Department of Education.
B. Cost Sharing or Matching
None Required.
C. Other
1. Eligible Activities. Eligible activities are listed in 24 CFR
part 570, subpart C, particularly Sec. Sec. 570.201 through 570.206.
Information regarding these activities can be found at:
http://www.hudclips.org (click on the Code of Federal Regulations for detailed
information). The 15 percent cap on the total grant amount that can be
used on public service activities that benefit low- and moderate-income
persons can be waived. Institutions seeking to devote more than 15
percent of the grant funds to public service activities must include a
written request in their application addressed to Darlene F. Williams,
Assistant Secretary for Policy Development and Research. The written
request must include the following information: 1) the basis for the
request; 2) a description of the proposed public service activities; 3)
the dollar amount dedicated to the proposed public service activities;
and 4) a statement describing how the proposed activities meet the
Community Development Block Grant eligibility requirements and at least
one national objective. This letter must be included in the
application. If an applicant devotes more than 15 percent of their
grant funds to public service activities and the letter is not included
and/or does not include the information requested above those
activities may not be considered fundable and this exclusion may result
in a lower score.
a. Examples of eligible activities include, but are not limited to:
(1) Acquisition of real property;
(2) Clearance and demolition;
(3) Rehabilitation of residential structures including lead-based
paint hazard evaluation and reduction and making accessibility and
visitabilty modifications in accordance with the requirements of
Section 504 of the Rehabilitation Act of 1973;
(4) Public facilities and improvements, such as water and sewer
facilities and streets compliance with accessibility requirements
including Section 504 of the Rehabilitation Act of 1973, the Fair
Housing Act, and the American with Disabilities Act of 1990;
(5) Special economic development activities described at 24 CFR
570.203 and assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(6) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation projects, in accordance with 24 CFR
570.204. This could include activities in support of a HUD-approved
local entitlement grantee, CDBG Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG Community Revitalization Strategy
(CRS);
(7) Public service activities such as those general support
activities that can help to stabilize a neighborhood and contribute to
sustainable redevelopment of the area, including but not limited to
such activities as those concerned with employment, crime prevention,
child care, health care services, drug abuse, education, fair housing
counseling, energy conservation, homebuyer down payment assistance,
establishment of Neighborhood Network centers in federally assisted or
insured housing, job training and placement, and recreational needs;
(8) Payments of reasonable grant administrative costs related to
planning and execution of the project (e.g., preparation/submission of
HUD reports). Detailed explanations of these costs are provided in the
OMB circular (A-21 Cost Principals for Educational Institutions) that
can be accessed at the White House Web site, http://www.whitehouse.gov/omb/circulars/index.html
; and
(9) Fair housing services designed to further the civil rights
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them.
b. Eligible activities funded under this program meet both the
Community Development Block Grant (CDBG) Program eligibility
requirements and at least one of the national objectives.
c. The three national objectives of the Community Development Block
Grant program are listed in Rating Factor 3 in Section V.A.3 of this
NOFA.
Criteria for determining whether an activity addresses one or more
national objective are provided at 24 CFR 570.208. The CDBG publication
entitled ``Community Development Block Grant Program Guide to National
Objectives and Eligible Activities for Entitlement Communities''
describes the CDBG regulations, and a copy can be obtained from HUD's
NOFA Information Center at 800-HUD-8929. Individuals with hearing or
speech impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
2. Threshold Requirements Applicable to all Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below. Applications
that do not meet these requirements will be considered ineligible for
funding and will be disqualified.
a. The applicant must meet the eligibility requirements as defined
in Section III.A.
b. The maximum amount an applicant can request is $600,000 for a
three-year (36 months) grant performance period.
c. An applicant must have a DUNS number to receive HUD grant funds.
(See the General Section). Only one application can be submitted per
institution. If multiple applications are submitted all will be
disqualified. However, different campuses of the same university system
are eligible to apply as long as they have separate DUNS number, an
administrative and budgeting structure independent of the other
campuses in the system.
d. Applicants must receive a minimum score of 75 points to be
considered for funding.
e. Electronic applications must be received and validated by
grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. Program Requirements. In addition to the threshold requirements
listed in Section III C. of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Applicants must ensure that not less than 51 percent of the
aggregated expenditures of the grant benefit low- and moderate-income
persons under the criteria specified in 24 CFR 570.208(a) or
570.208(d)(5) or (6).
c. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction an applicant must demonstrate site
control. Funds may be recaptured or deobligated from recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
d. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of
[[Page 11470]]
properties proposed for assistance in accordance with 24 CFR part 50.
The results of the environmental review may require that proposed
activities be modified or proposed sites be rejected. Applicants are
particularly cautioned not to undertake or commit funds for acquisition
or development of proposed properties prior to HUD approval of specific
properties or areas. An application constitutes an assurance that the
institution will assist HUD to comply with part 50; will supply HUD
with all available and relevant information to perform an environmental
review for each proposed property; will carry out mitigating measures
required by HUD or select alternate property; and will not acquire,
rehabilitate, convert, demolish, lease, repair, or construct property,
and not commit or expend HUD or local funds for these program
activities with respect to any eligible property until HUD's written
approval of the property is received. In supplying HUD with
environmental information, applicants should use the same guidance as
provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental
Review Processing for Rural Housing and Economic Development (RHED)
Grants'' issued August 30, 2005. Further information and assistance on
HUD's environmental requirements is available at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf
.
e. Labor Standards. Institutions and their sub-grantees,
contractors and subcontractors must comply with the labor standards
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
f. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training, employment, contracting and other
economic opportunities to Section 3 residents and Section 3 business
concerns. Regulations are located at 24 CFR part 135.
IV. Application and Submission Information
A. Addresses To Request Application Package
Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.grants.gov/applicants/apply_for_grants.jsp.
If you have difficulty accessing the information you
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail
your questions to Support@Grants.gov. Hearing- and speech-challenged
individuals may access this number through TTY by calling the toll-free
Federal Information Relay Service at 800-877-8339. See the General
Section for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.grants.gov/applicants/apply_for_grants.jsp
.
a. SF-424, Application for Federal Assistance;
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, ``Grant Application Detailed Budget'' (``HUD
Detailed Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-96010, Program Logic Model;
h. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
i. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
j. HUD-40076, Response Sheet Performance Narrative, Previously
Funded HBCU Applicant Only.
k. HUD-40076, Budget-By-Activity;
l. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form if you have received a waiver to the electronic application
submission requirement. Applicants are not required to include this
form;
m. HUD-2994-A, You Are Our Client Grant Applicant Survey.
Applicants are not required to complete this form; and
n. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. Applicants are advised to download the application
package, complete the SF-424 first and it will pre-populate the
Transmittal Cover page. The Transmittal Cover page will contain a
unique identifier embedded in the page that will help HUD associate
your faxed materials to your application. Please do not use your own
fax sheet. HUD will not read any faxes that are sent without the HUD-
96011 fax transmittal cover page.
2. Certifications and Assurances. Please read the General Section
for detailed information on all Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount requested from HUD (entire three-years)
should be entered, not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact. This is the
person who will receive all correspondence, therefore, please ensure
the accuracy of the information;
(3) The Employer Identification/Tax ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.520;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who by virtue of submitting an application via Grants.gov has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a legally binding agreement with HUD.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants that receive a waiver of the electronic application
submission requirement must include a copy of the checklist in their
application submission. Applicants submitting an electronic application
should not submit the
[[Page 11471]]
checklist. The checklist can be located in Appendix A.
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A brief description of each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
community and institution;
(2) A statement that the institution is an eligible institution
because it is a fully accredited institution, the name of the
accrediting agency and an assurance that the accrediting agency is
recognized by the U.S. Department of Education;
(3) The designated contact person, including phone number,
facsimile number, and e-mail address (This is the person who will
receive all correspondence; therefore, please ensure the accuracy of
the information);
(4) The project director, if different from the designated contact
person, for the project, including phone number, facsimile number, and
e-mail address.
d. Narrative statement addressing the Factors. HUD will use the
narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. PLEASE DO NOT REPEAT
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are
subfactors each subfactor must be presented separately, with the short
title of the subfactor presented. Make sure to address each subfactor
and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top,
bottom, and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the institution's name and should be numbered. Note that although
submitting pages in excess of the page limit will not disqualify an
applicant, HUD will not consider the information on any excess pages.
This exclusion may result in a lower score or failure to meet a
threshold requirement. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This form
shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately. Applicants must also budget
for travel costs (airfare, lodging and per diem) for two individuals to
attend at least one HUD sponsored HBCU conference/workshop every year
of the three-year grant performance period. To calculate travel
expenses, applicants located in Eastern and Central time zones or the
U.S. Virgin Islands should use San Francisco, CA as the site of all
conferences/meetings. Applicants located in Mountain and Pacific time
zones should use Washington, DC as the site of all conferences/
workshops.
Applicants must also submit this form to reflect the total cost
(summary) for the entire grant performance period (Grand Total).
(2) HUD-40076-HBCU, ``Response Sheet, Budget-By-Activity'' The form
should include a listing of each activity and task necessary to be
performed to implement the program, the overall costs for each
activity, and the cost from each funding source. The budget-by-activity
should clearly indicate the HUD grant amount and identify the source
and dollar amount of the leveraged resources, if any.
Make sure that the amounts shown on the SF-424, HUD-424-CB, HUD-
40076-HBCU and all other required program forms are consistent and the
budget totals are correct. Remember to check addition in totaling the
categories on all forms so that all items are included in the total. If
there is an inconsistency between any of the required budget forms, the
HUD-424-CB will be used. All budget forms must be completed fully. If
an application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(3) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item over
$5,000 cumulative. For example, an applicant proposes to construct a
building using HUD funding totaling $200,000. The following costs
estimate reflects this total. Foundation cost $75,000, electrical work
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping
$10,000. The proposed cost estimates should be reasonable for the work
to be performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used (please make sure they are kept on file and are
available for review by HUD at any time). When an applicant proposes to
use a consultant, the applicant must indicate whether there is a formal
written agreement. For each consultant, please provide the name, if
known, hourly or daily rate, and the estimated time on the project.
Applicants must use a cost estimate based on historical data from the
institution, and/or from a qualified firm (e.g., Architectural or
Engineering firm), vendor, and/or qualified individual (e.g.,
independent architect or contractor) other than the institution for
projects that involve rehabilitation of residential, commercial and/or
industrial structures, and/or acquisition, construction, or
installation of public facilities and improvements. Such an entity must
be involved in the business of housing rehabilitation, construction
and/or management. Equipment and contracts cannot be presented as a
total estimated costs. For equipment, applicants must provide a list by
type and cost for each item. Applicants using contracts must provide an
individual description and cost estimate for each contract.
Construction costs must be broken down to indicate how funds will be
utilized (e.g., demolition, foundation, exterior walls, roofing,
electrical work, plumbing, finishing work, etc.).
(4) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file and submit to HUD, if selected for funding, a copy of
their indirect cost rate agreement. Applicants who are selected for
funding that do not have an approved indirect cost rate agreement,
established by the cognizant federal agency, will be required to
establish a rate. In such cases, HUD will issue an award with a
provisional rate and assist applicants in having a rate established.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all required forms in this section. The appendix section of
an application must not exceed 15 pages in length (excluding forms,
budget narrative and assurances). An applicant SHOULD
[[Page 11472]]
NOT submit resumes, commitment letters, memoranda of understanding and/
or agreements, or other back-up materials. If this information is
included, it will not be considered during the review process. Each
page must include the applicant's name and should be numbered. HUD will
not consider the information on any excess pages. The additional items
will also slow the transmission of your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the applications deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the submission
deadline in the event Grants.gov rejects the application. Please see
the General Section for further instructions. Electronic faxes using
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the
electronic application must be received no later than 11:59:59 p.m.
eastern time on the application submission deadline date.
D. Intergovernmental Review
This program is excluded from an Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed at 24 CFR 570.207. Ineligible
activities include but are not limited to:
1. Curriculum development and/or expansion of an institution's
existing curriculum;
2. General government expenses; and
3. Political activities.
F. Other Submission Requirements
1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the submission and receipt
procedures for all applications because failure to comply may
disqualify your application.
2. Waiver of Electronic Submission Requirements. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to: Susan Brunson,
Office of University Partnerships, E-mail: Susan_S._Brunson@hud.gov,
FAX: (202) 708-0309. Paper applications will not be accepted from
applicants that have not been granted a waiver. If an applicant is
granted a waiver, the Office of University Partnerships will provide
instructions for submission. All applicants submitting applications in
paper format must have received a waiver to the electronic application
submission requirement and the application must be received by HUD on
or before the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant
Experience (25 Points). This factor addresses the extent to which the
institution has the resources necessary to successfully implement the
proposed activities in a timely manner.
a. Knowledge and Experience For First Time Applicants (25 Points)
For Previously Funded Applicants (10 Points). In rating this subfactor,
HUD will consider the extent to which the applicant clearly addresses
the following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager,
consultants (including technical assistance providers), and contractors
in planning and managing the type of project for which funding is being
requested; and
(2) Clearly identify the following: key project team members,
titles (e.g., project manager/coordinator, etc.), respective roles for
the project staff, and a brief description of their relevant
experience.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
Experience will be judged in terms of recent and relevant knowledge
and skills of the staff to undertake the proposed eligible program
activities. HUD will consider experience within the last five (5) years
to be recent and experience pertaining to similar activities to be
relevant.
b. Past Performance (15 points) for Previously Funded Grant
Applicants Only. This subfactor will evaluate how well an applicant has
performed successfully under HUD/HBCU grants. Applicants must
demonstrate this by addressing the following information on the HUD-
40076-HBCU ``Response Sheet'' (Performance Narrative) for all
previously completed and open HUD/HBCU grants:
(1) A list of all HUD/HBCU grants received, including the dollar
amount awarded and the amount expended as of the date of this
application. The HUD-40076-HBCU ``Response Sheet'' (Performance
Narrative) form is located at the following Web site: http://www.grants.gov/applicants/apply_for_grants.jsp.
The form should be
filled out completely;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved
timeline/work plan;
(3) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged;
(4) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement; and
(5) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed why (including when it was or will be completed);
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: the ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities; timely submission of
required progress reports and receipt of promised leveraged resources.
In evaluating past performance, HUD reserves the right to deduct up to
five (5) points from this rating score as a result of the information
obtained from HUD's records (i.e., progress and financial reports,
monitoring reports, Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (15 Points). This
factor addresses the extent to which there is a need for funding the
proposed program activities and an indication of the importance of
meeting the need(s). In addressing this factor, applicants should
provide, at a minimum, the following and must cite statistics and/or
analyses contained in one or more current data sources that are sound
and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed project activities will be
carried out.
[[Page 11473]]
Sources for localized data can be found at: http://www.ffiec.gov.
HUD will also consider data collected within the last five (5)
years to be current. To the extent that the targeted community's Five
Year Consolidated Plan and Analysis of Impediments to Fair Housing
Choice (AI) identify the level of the problem and the urgency in
meeting the need, applicants should include references to these
documents in response to this factor.
Other reliable data sources include, but are not limited to, Census
reports, HUD Continuum of Care gap analysis and its E-MAP (to find
additional information go to HUD's Web site: http://www.hud.gov/emaps),
law enforcement agency crime reports, Public Housing Agencies'
Comprehensive Plans, community needs analyses such as provided by the
United Way, the applicant's institution, and other sound, reliable and
appropriate sources. Needs in terms of fulfilling court orders or
consent decrees, settlements, conciliation agreements, and voluntary
compliance agreements may also be addressed.
3. Rating Factor 3: Soundness of Approach (40 Points). This factor
addresses the quality and effectiveness of the proposed work plan and
the commitment of the institution to sustain the proposed project
activities.
a. (33 Points) Quality of the Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project activities, anticipated
accomplishments, and the impact they will have on the target population
at the end of the project.
(1) (25 Points) Specific activities. The work plan must describe
all proposed project activities and major tasks required to
successfully implement them. The work plan must also identify the
anticipated accomplishments and impact these activities will have on
the targeted population. In addressing this subfactor, applicants must
provide a clear description of each proposed project activity and
address the following:
(a) Describe each proposed project activity in measurable terms
(e.g., the number of persons to be trained and employed; houses to be
rehabilitated; or minority-owned businesses to be started, etc.);
(b) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income persons;
Aid in the prevention or elimination of slums or blight;
or
Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
objectives are provided at 24 CFR 570.208;
(c) Describe the measurable impact that implementing each activity
(by the end of the grant period) will have on the target population;
(d) Identify the major tasks required (in sequential order) to
successfully implement and complete each proposed project activity.
Include target completion dates for each task (in 6 month intervals, up
to thirty-six (36) months); and
(e) Identify the key staff, as described in Factor 1, who will be
responsible and accountable for completing each task.
(2) (8 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative efforts will be acceptable only if an applicant can
demonstrate through documentation that there is a population in need
that is not being served; and
(d) Involve citizens of the target area in the planning and
implementation of the proposed project activity (e.g., development of
an advisory committee that is representative of the target community).
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into proposed project activities.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities that help the Department achieve its
goals and objectives in FY2008, when the majority of grant recipients
will be reporting programmatic results and achievements. In addressing
this subfactor, HUD will evaluate the extent to which a program will
further and support HUD's priorities. The quality of the responses
provided to one or more of HUD's priorities will determine the score an
applicant can receive. Applicants must describe how each policy
priority selected will be addressed. Applicants that just list a
priority will receive no points. Please refer to the General Section
for additional information about HUD's policy priorities.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority addressed has a point value
of one (1) point with the exception of the policy priority to remove
regulatory barriers to affordable housing, which has a point value of
up to two (2) points. To receive these two (2) points, an applicant
must: (1) Complete either Part A or Part B (not both), (2) include
appropriate documentation, (3) identify a point of contact, (4)
indicate how this priority will be addressed and (5) submit the
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of
Regulatory Barriers'' found in the General Section. It is up to the
applicant to determine which of the policy priorities they elect to
address to receive the available two (2) points.
d. (2 Points) Economic Opportunities for Low- and Very-Low Income
Persons (Provision of Section 3). This subfactor will be evaluated on
the extent to which an applicant describes how it proposes to:
(1) Provide opportunities to train and employ Section 3 residents;
and/or
(2) Award contracts to Section 3 contractors (see the regulations
at 24 CFR 135). Regulations regarding the provision of Section 3 of the
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be
located at 24 CFR Part 135.
4. Rating Factor 4: Leveraging Resources (8 Points). This factor
addresses the ability of the applicant to secure resources and develop
partnerships that can be combined with HUD's grant funds to achieve the
program's purpose.
In evaluating this factor, HUD will consider how well the applicant
has established partnerships with other entities to secure additional
resources to increase the effectiveness of the proposed project
activities. Resources may include funding or in-kind contributions,
such as services or equipment, allocated for the purpose(s) of the
proposed project activities. Resources may be provided by governmental
entities, public or private nonprofit organizations, for-profit private
organizations, or other entities. Applicants may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area. Overhead and other institutional
costs (e.g., salaries, indirect costs, etc.) that the institution has
waived may be counted.
[[Page 11474]]
Examples of potential sources for outside assistance include:
Federal, state, and local governments;
Local or national nonprofit organizations;
Financial institutions and/or private businesses;
Foundations;
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original written commitment letters, memoranda
of understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (only applicable to the
narrative section)
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (if a dollar amount and its use is not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(5) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(6) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services (only applicable to
the written documentation).
DO NOT submit commitment letters, memoranda of understanding and/or
agreements at the time of application submission but have the originals
on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT
WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to
proceed to the next step in the selection process will be required to
submit the signed commitment letters, memoranda of understanding and/or
agreements outlined in the application, within seven (7) calendar days
after initial contact from the Office of University Partnerships (OUP).
Letters, memoranda of understanding, or agreements must be submitted on
the provider's letterhead and should be addressed to Sherone Ivey,
Associate Deputy Assistant Secretary for University Partnerships. The
date of the letter, memorandum of understanding, or agreement from the
CEO of the provider organization must be dated no earlier than nine
months prior to this published NOFA. OUP will provide specific
instructions on how these documents must be submitted when contact is
made with the applicant. HUD will only request and consider the
resources/organizations that are listed in the outline submitted in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved by using the Logic Model. The Logic Model is a summary of the
narrative statements presented in Factors 1-4. Therefore, it should be
consistent with the information contained in the narrative statements.
``Outcomes'' are benefits accruing to the community during or after
participation in the HBCU program. Applicants must clearly identify the
outcomes to be measured and achieved. Examples of outcomes include
increased employment opportunities in the target community by a certain
percentage, increased incomes/wages or other assets for persons
trained, or enhanced family stability through the creation of
affordable housing opportunities (e.g., increased assets to families
and communities through the development of affordable housing).
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new affordable housing units, the number of
homes that have been renovated, and the number of facilities that have
been constructed or rehabilitated. Outputs should produce outcomes for
the program. At a minimum, an applicant must address the following
activities in the evaluation plan:
a. Measurable outputs to be accomplished (e.g., the number of
persons to be trained and employed; houses to be built pursuant to 24
CFR 570.207 or rehabilitated; minority-owned businesses to be started);
b. Measurable outcomes the grant will have on the community in
general and the target area or population; and
c. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
The information must be placed on a HUD-96010, Program Outcome
Logic Model form. HUD has developed a new approach to completing this
form. Please carefully read the General Section for instructions;
training is available. If an applicant utilizes ``other'' from the
Logic Model categories, then the applicant should describe briefly this
``other'' category within the Rating Factor 5 narrative. If a narrative
is provided, those pages will be included in the page count. (Form HUD-
96010 will be excluded from the page count.)
B. Review and Selection Process
1. Application Selection Process
Two types of reviews will be conducted:
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors''
listed in Section V.A. Only those applications that pass the threshold
review will receive a technical review.
2. Rating Panels. To review and rate applications HUD may establish
panels, which may include experts or consultants not currently employed
by HUD to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be considered for
funding, an applicant must receive a minimum score of 75 points out of
a possible 100 points for Factors 1 through 5; plus up to two bonus
points that may be awarded for activities conducted in the RC/EZ/EC-II
communities, as described in the General Section. If two or more
applications have the same number of points, the application with the
most points for Factor 3 shall be selected. If there is still a tie,
the application with the most points for Factor 1 shall be selected. If
there is still a tie, the application with the most points for Factors
2, 4 and then 5 shall be selected in that order until the tie is
broken. HUD reserves the right to make selections out of rank order to
provide for geographic distribution of grantees.
[[Page 11475]]
HUD also reserves the right to reduce the amount of funding requested
in order to fund as many highly ranked applications as possible.
Additionally, if funds remain after funding the highest ranked
applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down an award offer, HUD will make
an award to the next highest-ranking application. If funds remain after
all selections have been made, the remaining funds will be carried over
to the next funding cycle's competition.
4. Correction to Deficient Applications. See the General Section.
C. Anticipated Announcement and Award Dates
Announcements of awards are anticipated on or before September 30,
2007.
VI. Award Administration Information
A. Award Notice
After all selections have been made, HUD will notify all winning
applications in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further discussion on this matter, please refer to the
General Section.
B. Administrative and National Policy Requirements
Refer to the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing to: Ophelia Wilson, Office of University Partnerships,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Room 8106, Washington, DC 20410-6000.
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion on this matter.
4. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
5. Procurement of Recovered Materials. The General Section provides
further discussion on the matter.
6. Code of Conduct. See the General Section for further discussion.
C. Reporting
All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary of costs
incurred during the reporting.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model form (HUD-96010),
which identifies output and outcome achievements.
For FY2007, 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
Applicants may contact Ophelia Wilson at (202) 708-3061, extension
4390 or Susan Brunson at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service (TTY) at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. mail to: Applicants may also reach Ms.
Wilson via e-mail at
Ophelia_Wilson@hud.gov, and/or Ms. Brunson at Susan_S._Brunson@hud.gov.
VIII. Other Information
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 number 2528-0235. 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 356 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting the data for the application, quarterly, semi-annual and
final reports. 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.
Appendix A--Application Checklist--HBCU
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. Applicants
submitting an electronic application do not have to submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement must include a copy of the checklist
in their application.
Check off to ensure these items have been included in the
application:
----SF-424 ``Application For Federal Assistance''
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the Factors are located:
Narrative Statement Addressing the Rating Factors.
The narrative section of an application must not exceed 50 pages in
length (excluding forms, budget narrative and abstract). This
information must be submitted on 8\1/2\ by 11-inch paper, double-spaced
on one side of the paper, with one-inch margins (from the top, bottom,
left, and right sides of the documents) and printed in standard Times
New-Roman 12-point font. [Applicants that submit applications via
Grants.gov should review the General Section for information about file
names and extensions. File names should not contain spaces or special
characters.]
----Factor I
----Factor II
----HUD-40076, ``Response Sheet Performance Narrative'' (If applicable)
----Factor III
----Factor IV
----Factor V
---- HUD-96010 ``Logic Model''
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed
Budget Form'' on Grants.gov)
[[Page 11476]]
----HUD-40076-HBCU ``Budget-By-Activity''
----Budget Narrative (No form provided and must be submitted for the
total three-year grant period)
Appendix B (All Required Forms)
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424)
----Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov)
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget Form'' on Grants.gov)
----Disclosure of Lobbying Activities (SF-LLL), if applicable
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300),
(``HUD Communities Initiative Form'' on Grants.gov), if applicable
----Applicant/Recipient Disclosure/Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable
----Certification of Consistency with the Consolidated Plan (HUD-2991)
if applicable
----Acknowledgement of Applicant Receipt (HUD-2993) Only applicants
that submit paper applications
----You Are Our Client Grant Applicant Survey (HUD-2994-A)
----Response Sheet Performance Narrative (HUD-40076) if applicable
----Budget-By-Activity (HUD-40076)
----Program Logic Model (HUD-96010)
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov) required as the cover
page to third party documents transmitted by facsimile to HUD. See the
General Section.
[[Page 11477]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.007
[[Page 11478]]
Hispanic-Serving Institutions Assisting Communities (HSIAC) Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Hispanic-Serving Institutions
Assisting Communities (HSIAC) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: FR-5100-N-13; OMB Approval Number
is 2528-0198.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CDFA
Number for this program is 14.514.
F. Dates: The application deadline date is May 23, 2007.
Applications must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. Please be sure to read the
General Section for electronic application submission and receipt
requirements.
G. Additional Overview Content Information:
1. Purpose of the Program: To assist Hispanic-Serving Institutions
(HSI) expand their role and effectiveness in addressing community
development needs in their localities, including neighborhood
revitalization, housing, and economic development, principally for
persons of low- and moderate-income, consistent with the purposes of
Title I of the Housing and Community Development Act of 1974, as
amended.
2. Award Information: In Fiscal Year (FY) 2007, approximately $5.9
million has been made available for this program by the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved
February 15, 2007) and an additional $111,226 in carryover funds. An
applicant can request up to $600,000 for a three-year (36 months) grant
performance period.
3. Eligible Applicants: Nonprofit Hispanic-serving institutions
that meet the definition of an HSI of higher education established in
Title V of the Higher Education Act of 1965 (20 U.S.C. 1101), as
amended. In order to meet this definition, at least 25 percent of the
full-time undergraduate students enrolled in an institution must be
Hispanic. In addition, all applicants must be institutions of higher
education granting two-or four-year degrees that are fully accredited
by a national or regional accrediting agency recognized by the U.S.
Department of Education. Institutions are not required to be on the
list of eligible HSIs prepared by the U.S. Department of Education.
However, an institution that is not on the list is required to provide
a statement in the application that the institution meets the U.S.
Department of Education's statutory definition of an HSI as cited
above. If an applicant is one of several campuses of the same
institution, the applicant may apply separately from the other campuses
as long as the campus has a separate DUNS number, administrative
structure and budget, and meets the enrollment requirements outlined
above.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of the Hispanic-Serving Institutions Assisting
Communities (HSIAC) Program is to assist Hispanic-Serving Institutions
(HSI) of higher education expand their role and effectiveness in
addressing community development needs in their localities, including
neighborhood revitalization, housing and economic development,
principally for persons of low- and moderate-income consistent with the
purpose of the Title I of the Housing and Community Development Act of
1974, as amended.
For the purpose of this program NOFA, the term ``locality''
includes any city, county, township, parish, village, or other general
political subdivision of a state, Puerto Rico, or the U.S. Virgin
Islands where the institution is located.
A ``target area'' is the area within the locality in which the
institution will implement its proposed HSIAC grant.
A. Authority
HUD's authority for making this funding available under this NOFA
is the Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-
5; approved February 15, 2007). This program is being implemented
through this NOFA and the policies governing its operation are
contained herein.
B. Modifications
Listed below are major modifications from the Fiscal Year (FY) 2006
program-funding announcement:
1. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application, but the
originals must be on file at the time of application submission. HUD
will require applicants chosen to proceed to the next step in the
selection process to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven (7) calendar days after initial contact from the Office of
University Partnerships (OUP). OUP will provide specific instructions
on how these documents must be submitted at that time. HUD will only
request and consider the resources/organizations outlined in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
2. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and should be numbered. HUD will not
consider the information on any excess pages.
3. Applicants must budget for travel costs to attend at least one
HUD sponsored HSIAC conference/workshop every year of the three-year
grant performance period.
4. Public Law 109-242 (approved September 30, 2006) revised the
definition of Hispanic-serving institution found in Title V of the
Higher Education Act of 1965 (20 U.S.C. 1101). The revision removed the
requirement that not less than 50 percent of the institution's Hispanic
students are low-income individuals.
II. Award Information
In Fiscal Year (FY) 2007, approximately $5.9 million is made
available for this program and an additional $111,226 in carryover
funds. An applicant can request up to $600,000 for a three-year (36
months) grant performance period.
III. Eligibility Information
A. Eligible Applicants
Nonprofit Hispanic-serving institutions that meet the definition of
an HSI of higher education established in Title V of the Higher
Education Act of 1965 (20 U.S.C. 1101), as amended. In order to meet
this definition, at least 25 percent of the full-time undergraduate
students enrolled in an institution must be Hispanic. In addition, all
applicants must be institutions of higher education granting two- or
four-year degrees that are fully accredited by a national or regional
accrediting agency recognized by the U.S. Department of Education.
Institutions are not required to be on the list of eligible HSIs
prepared by the U.S. Department of Education. However, an institution
that is not on the list is required to provide a statement in the
application that the institution meets
[[Page 11479]]
the U.S. Department of Education's statutory definition of an HSI as
cited above. If an applicant is one of several campuses of the same
institution, the applicant may apply separately from the other campuses
as long as the campus has a separate DUNS number, administrative
structure and budget, and meets the enrollment requirements outlined
above.
B. Cost Sharing or Matching
None Required.
C. Other
1. Eligible Activities. Eligible activities are listed in 24 CFR
part 570, subpart C, particularly Sec. Sec. 570.201 through 570.206.
Information regarding these activities can be found at:
http://www.hudclips.org (click on the Code of Federal Regulations for detailed
information).
a. Examples of eligible activities include, but are not limited to:
(1) Acquisition of real property;
(2) Clearance and demolition;
(3) Rehabilitation of residential structures including lead-based
paint hazard evaluation and reduction and making accessibility and
visitabilty modifications in accordance with the requirements of
Section 504 of the Rehabilitation Act of 1973;
(4) Public facilities and improvements, such as water and sewer
facilities and streets, compliance with accessibility requirements,
including Section 504 of the Rehabilitation Act of 1973, the Fair
Housing Act, and the American with Disabilities Act of 1990;
(5) Relocation payments and other assistance for permanently and
temporarily relocated individuals, families, businesses, nonprofit
organizations, and farm operations where the assistance is:
(a) Required under the provisions of 24 CFR 570.606(b) or (c); or
(b) Determined by the grantee to be appropriate under the
provisions of 24 CFR 570.606(d);
(6) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(7) Special economic development activities described at 24 CFR
570.203 and assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(8) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD-approved
local entitlement grantee, CDBG Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG Community Revitalization Strategy
(CRS);
(9) Public service activities such as general support activities
that can help to stabilize a neighborhood and contribute to sustainable
redevelopment of the area, including but not limited to such activities
as those concerned with employment, crime prevention, child care,
health care services, drug abuse, education, housing counseling, energy
conservation, homebuyer down payment assistance, establishing and
maintaining Neighborhood Network centers in federally assisted or
insured housing, job training and placement and recreational needs;
(10) Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD reports). Detailed
explanations of these costs are provided in OMB circular A-21 Cost
Principals for Educational Institutions that can be accessed at the
White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html;
(11) Fair housing services designed to further civil rights
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them; and
b. Each activity proposed for funding must meet the Community
Development Block Grant (CDBG) program eligibility requirements and at
least one of the three CDBG national objectives. The three national
objectives of the CDBG program are listed in Rating Factor 3 in Section
V.A.3 of this NOFA.
Criteria for determining whether an activity addresses one or more
national objectives are provided at 24 CFR 570.208.
c. The CDBG publication entitled ``Community Development Block
Grant Program Guide to National Objectives and Eligible Activities for
Entitlement Communities'' describes the CDBG regulations, and a copy
can be obtained from HUD's NOFA Information Center at 800-HUD-8929.
Individuals with hearing or speech impairments may access this number
via the toll-free Federal Information Relay Service at 800-877-8339.
2. Threshold Requirements Applicable to all Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below. Applications
that do not meet these requirements will be considered ineligible for
funding and will be disqualified.
a. The applicant must meet the eligibility requirements as defined
in Section III.A.
b. The applicant may request up to $600,000.
c. An applicant must have a DUNS number to receive HUD grant funds
(See the General Section). Only one application can be submitted per
campus. If multiple applications are submitted, all will be
disqualified. However, different campuses of the same university system
are eligible to apply as long as they have a separate DUNS number and
an administrative and budgeting structure independent of the other
campuses in the system.
d. Institutions that received an HSIAC grant in FY2006 are not
eligible to submit an application under this NOFA. If an institution
received an HSIAC grant in FY2003, FY2004, or FY2005, the institution
may apply under this NOFA as long as it proposes a different activity
(activities), which has not been previously undertaken in their current
project location, or proposes replicating their current project in a
new location.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. Program Requirements. In addition to the program requirements
listed in Section III.C of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Applicants must ensure that not less than 51 percent of the
aggregated expenditures of a grant award are used to benefit low- and
moderate-income persons under the criteria specified in 24 CFR
570.208(a) or 570.208(d)(5) or (6).
c. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction, an applicant must demonstrate site
control. Funds may be recaptured or deobligated from recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
d. Environmental Requirements. Selection for award does not
constitute
[[Page 11480]]
approval of any proposed sites. Following selection for award, HUD will
perform an environmental review of properties proposed for assistance
in accordance with 24 CFR Part 50. The results of the environmental
review may require that proposed activities be modified or proposed
sites be rejected. Applicants are particularly cautioned not to
undertake or commit funds for acquisition or development of proposed
properties prior to HUD approval of specific properties or areas. An
application constitutes an assurance that the institution will assist
HUD to comply with part 50; will supply HUD with all available and
relevant information to perform an environmental review for each
proposed property; will carry out mitigating measures required by HUD
or select alternate property; and will not acquire, rehabilitate,
convert, demolish, lease, repair, or construct property, and not commit
or expend HUD or local funds for these program activities with respect
to any eligible property until HUD's written approval of the property
is received. In supplying HUD with environmental information,
applicants should use the same guidance as provided in the HUD Notice
CPD-05-07 entitled, ``Field Environmental Review Processing for Rural
Housing and Economic Development (RHED) grants'' issued August 30,
2005. The General Section provides further discussion of the
environmental requirements. Further information and assistance on HUD's
environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf
.
e. Labor Standards. Institutions and their sub-grantees,
contractors, and subcontractors must comply with the labor standards
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
f. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training, employment, contracting and other
economic opportunities to Section 3 residents and Section 3 business
concerns. Regulations are located at 24 CFR Part 135.
IV. Application and Submission Information.
A. Addresses To Request Application Package
Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov/applicants/apply_for_grants.jsp.
If you have difficulty accessing the information, you
may call the Grants.gov Support Desk toll free at 800-518-GRANTS or e-
mail your questions to Support@Grants.gov. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.Grants.gov/applicants/apply_for_grants.jsp
.
a. SF-424, Application for Federal Assistance;
b. SF-424, Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-96010, Program Logic Model;
h. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
i. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
j. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form;
k. HUD-2994-A, You Are Our Client Grant Applicant Survey.
Applicants are not required to complete this form.
l. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. Applicants are advised to download the application
package, complete the SF-424 first and it will pre-populate the
Transmittal Cover page. The Transmittal Cover page will contain a
unique identifier embedded in the page that will help HUD associate
your faxed materials to your application. Please download the cover
page and then make multiple copies to provide to any of the entities
responsible for submitting faxed materials to HUD on your behalf.
Please do not use your own fax sheet. HUD will not read any faxes that
are sent without the HUD-96011 fax transmittal cover page.
2. Certifications and Assurances. Please read the General Section
for detailed information on all Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount requested from HUD (entire three years)
should be entered, not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact. This is the
person who will receive all correspondence; therefore, please ensure
the accuracy of the information;
(3) The Employer Identification/Tax ID;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.514;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who, by virtue of submitting an application via Grants.gov, has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a binding legal agreement with HUD.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants submitting an electronic application should not submit the
checklist.
[[Page 11481]]
Applicants that receive a waiver of the electronic application
submission must include a copy of the checklist in their application
submission. The checklist can be located in Appendix A.
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A clear description of each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
community and institution;
(2) A statement that the institution is an eligible institution
because it is a two- or four-year fully accredited institution, the
name of the accrediting agency and an assurance that the accrediting
agency is recognized by the U.S. Department of Education;
(3) A statement that the institution meets the definition of an
Hispanic Serving Institution: at least 25 percent of the full-time
undergraduate students enrolled in an institution must be Hispanic.
(4) The designated contact person, including phone number,
facsimile number, and e-mail address (This is the person who will
receive all correspondence from HUD; therefore please ensure the
accuracy of the information);
(5) The project director, if different from the designated contact
person, for the project, including phone number, facsimile number, and
e-mail address.
d. Narrative Statement Addressing the Factors. HUD will use the
narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. PLEASE DO NOT REPEAT
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are
subfactors, each subfactor must be presented separately, with the short
title of the subfactor presented. Make sure to address each subfactor
and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top,
bottom and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the applicant's name and should be numbered. Note that although
submitting pages in excess of the page limit will not disqualify an
applicant, HUD will not consider the information on any excess pages.
This exclusion may result in a lower score or failure to meet a
threshold requirement. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``HUD Detailed Budget Form.'' This form shows the
total budget by year and by line item for the program activities to be
carried out with the proposed HUD grant. Each year of the program
should be presented separately. Applicants must also budget for travel
costs (airfare, lodging and per diem) for two individuals to attend at
least one HUD sponsored HSIAC conference/workshop every year of the
three-year grant performance period. To calculate travel expenses,
applicants located in Eastern and Central time zones or the U.S. Virgin
Islands should use San Francisco, CA as the site of all conferences/
workshops. Applicants located in Mountain and Pacific time zones or
Puerto Rico should use Washington, DC as the site of all conferences/
meetings.
Applicants must also submit this form to reflect the total cost for
the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, the HUD-424-CB, and
on all other required program forms are consistent and the budget
totals are correct. Remember to check addition in totaling the
categories on all forms so that all items are included in the total. If
there is an inconsistency between any of the required budget forms, the
HUD-424-CB will be used. All budget forms must be fully completed. If
an application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item over
$5,000 cumulative. For example, an applicant proposes to construct a
building using HUD funding totaling $200,000. The following costs
estimate reflects this total. Foundation cost $75,000, electrical work
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping
$10,000. The proposed cost estimates should be reasonable for the work
to be performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used (please make sure they are kept on file and are
available for review by HUD at any time). All direct labor or salaries
must be supported with mandated city/state pay scales, the Davis-Bacon
rate, (if applicable) or other documentation. When an applicant
proposes to use a consultant, the applicant must indicate whether there
is a formal written agreement. For each consultant, please provide the
name, if known, hourly or daily rate, and the estimated time on the
project. Applicants must use cost estimates based on historical data
from the institution and/or from a qualified firm (e.g., Architectural
or Engineering firms), vendor, and/or qualified individual (e.g.,
independent architect or contractor) other than the institution for
projects that involve rehabilitation of residential, commercial and/or
industrial structures, and/or acquisition, construction, or
installation of public facilities and improvements. Such an entity must
be involved in the business of housing rehabilitation, construction
and/or management. Equipment and contracts cannot be presented as a
total estimated cost. For equipment, applicants must provide a list by
type and cost for each item. Applicants using contracts must provide an
individual description and cost estimate for each contract.
Construction costs must be broken down to indicate how funds will be
utilized (e.g., demolition, foundation, exterior walls, roofing,
electrical work, plumbing, finishing work, etc.).
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file, and submit to HUD if selected for award, a copy of their
indirect cost rate agreement. Applicants who are selected for funding
that do not have an approved indirect cost rate agreement, established
by the cognizant federal agency, will be required to establish a rate.
In such cases, HUD will issue an award with a provisional rate and
assist applicants with the process of establishing a final rate.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all required forms in this section. The appendix section of
an application must
[[Page 11482]]
not exceed 15 pages in length (excluding forms, budget narrative and
assurances). An applicant SHOULD NOT submit resumes, commitment
letters, memoranda of understanding and/or agreements, or other back-up
materials. If this information is included, it will not be considered
during the review process. Each page must include the applicant's name
and should be numbered. HUD will not consider the information on any
excess pages. The additional items will also slow the transmission of
your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the submission
deadline in the event Grants.gov rejects the application. Please see
the General Section for further instructions. Electronic faxes using
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the
electronic application must be received no later than 11:59:59 p.m.
eastern time on the application deadline date.
D. Intergovernmental Review
This program is excluded from an Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed at 24 CFR 570.207. Ineligible
activities include but are not limited to:
a. Curriculum development and/or expansion of an institution's
existing curriculum;
b. General government expenses;
c. Political activities; and
d. Planning and administrative activities that would result in a
grantee exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports).
F. Other Submission Requirements
1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the submission and receipt
procedures for all applications because failure to comply may
disqualify your application.
2. Waiver of Electronic Submission Requirements. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to: Susan Brunson,
Office of University Partnerships, E-mail: Susan_S._Brunson@hud.gov,
FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant
Experience (25 Points). This factor addresses the extent to which the
applicant has the resources necessary to successfully implement the
proposed project in a timely manner.
a. Knowledge and Experience For First Time Applicants (25 Points);
For Previously Funded Applicants (10 Points). In rating this subfactor,
HUD will consider how well an applicant clearly addresses the
following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers),
and contractors in planning and managing the type of project for which
funding is being requested; and
(2) Clearly identify the following: key project team members,
titles (e.g., project manager/coordinator, etc.), respective roles for
the project staff, and a brief description of their relevant
experience.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
Experience will be evaluated in terms of recent and relevant
knowledge and skills of the staff to undertake eligible program
activities. HUD will consider experience within the last five (5) years
to be recent and experience pertaining to similar activities to be
relevant.
b. Past Performance (15 Points) For Previously Funded Grant
Applicants Only. This subfactor will evaluate how well an applicant has
performed successfully under HUD/HSIAC grants. Applicants must
demonstrate this by addressing the following information for all
previously completed and open HUD/HSIAC grants:
(1) A list of all HUD/HSIAC grants received, including the dollar
amount awarded and the amount expended and obligated as of the date of
this application;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved project
management plan;
(3) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed, why (including when it was or will be completed);
(4) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged; and
(5) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: the ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities; timely submission of
required progress reports and receipt of promised leveraged resources.
In evaluating past performance, HUD reserves the right to deduct up to
five (5) points from this rating score as a result of the information
obtained from HUD's records (i.e, progress and financial reports,
monitoring reports, Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (10 Points). This
factor addresses the extent to which there is a need for funding the
proposed program activities and an indication of the importance of
meeting the need(s) in the target area. The need(s) described must be
relevant to the activities for which funds are being requested. In
addressing this factor, applicants should provide, at a minimum, the
following and must cite statistics and/or analyses contained in at
least one or more current data sources that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed
[[Continued on page 11483]]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
]
[[pp. 11483-11532]] Fiscal Year 2007 SuperNOFA for HUD's Discretionary Programs
[[Continued from page 11482]]
[[Page 11483]]
project activities will be carried out. Sources for localized data can
be found at: http://www.ffiec.gov.
HUD will consider data collected within the last five (5) years to
be current. To the extent that the targeted community's Five Year
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI) identify the level of the problem and the urgency in meeting the
need, applicants should include references to these documents in the
response to this factor.
Other reliable data sources include, but are not limited to, Census
reports, HUD Continuum of Care gap analysis and its E-MAP (http://www.hud.gov/emaps
), law enforcement agency crime reports, Public Housing Agencies'
Comprehensive Plans, community needs analyses such as those provided by
the United Way, the applicant's institution, and other sound, reliable
and appropriate sources. Needs in terms of fulfilling court orders or
consent decrees, settlements, conciliation agreements, and voluntary
compliance agreements may also be addressed.
3. Rating Factor 3: Soundness of Approach (44 Points). This factor
addresses the quality and effectiveness of the proposed work plan and
the commitment of the institution to sustain the proposed activities.
a. (37 Points) Quality of the Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project activities, anticipated
accomplishments and the impact they will have on the target population
at the end of the project.
(1) (32 Points) Specific Activities. The work plan must describe
all proposed activities and major tasks required to successfully
implement them. The work plan must also identify the anticipated
measurable accomplishments and impact these activities will have on the
targeted population. In addressing this subfactor, applicants must
provide a clear description of each proposed activity and address the
following:
(a) Describe each proposed project activity in measurable terms
(e.g., the number of persons to be trained and employed; houses to be
built or rehabilitated; or minority owned businesses to be started,
etc.);
(b) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income persons;
Aid in the prevention or elimination of slums or blight;
or
Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
objective are provided at 24 CFR 570.208;
(c) Describe the measurable impact that implementing each activity
(by the end of the grant period) will have on the target population;
(d) Identify the major tasks required (in sequential order) to
successfully implement and complete each proposed project activity.
Include target completion dates for these tasks (in 6 month intervals,
up to 36 months);
(e) Identify the key staff, as described in Factor 1, who will be
responsible for completing each task; and
(f) Describe how the project director will work with the partners
and citizens to accomplish the proposed project activities.
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative efforts will be acceptable only if an applicant can
demonstrate through documentation that there is a population in need
that is not being served; and
(d) Involve citizens of the target area in the planning and
implementation of the proposed project activity (e.g., development of
an advisory committee that is representative of the target community).
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into proposed project activities.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that will help the Department
achieve its goals and objectives in FY2008, when the majority of grant
recipients will be reporting programmatic results and achievements. In
rating this subfactor, HUD will evaluate the extent to which a program
will further and support HUD's priorities. The quality of the responses
provided to one or more of HUD's priorities will determine the score an
applicant can receive. Applicants must describe how each policy
priority selected will be addressed. Applicants that just list a
priority will receive no points.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority addressed has a point value
of one (1) point with the exception of the policy priority to remove
regulatory barriers to affordable housing, which has a point value of
up to two (2) points. To receive these two (2) points, an applicant
must: (1) Complete either Part A or Part B (not both), (2) include
appropriate documentation, (3) identify a point of contact, (4)
indicate how this priority will be addressed and (5) submit the
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of
Regulatory Barriers Communities Initiative'' found in the General
Section. It is up to the applicant to determine which of the policy
priorities they elect to address to receive the available two (2)
points.
d. (2 Points) Economic Opportunities for Low- and Very-Low Income
Persons (Provision of Section 3). This subfactor will be evaluated on
the extent to which an applicant describes how it proposes to:
(1) Provide opportunities to train and employ Section 3 residents;
and/or
(2) Award contracts to Section 3 contractors (See the regulations
at 24 CFR 135.). Regulations regarding the provision of Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) can be
located at 24 CFR Part 135.
4. Rating Factor 4: Leveraging Resources (9 Points). This factor
addresses the ability of the applicant to secure resources and develop
partnerships that can be combined with HUD's grant funds to achieve the
program's purpose.
HUD will consider how well an applicant has established
partnerships with other entities to secure additional resources to
increase the effectiveness of the proposed project activities.
Resources may include funding or in-kind contributions, such as
services or equipment, allocated for the purpose(s) of the proposed
project activities. Resources may be provided by governmental entities,
public or private nonprofit organizations, for-profit private
organizations, or other entities. Applicants may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area. Overhead and other institutional
costs (e.g., salaries, indirect costs, etc.) that the institution has
waived may be counted.
Examples of potential sources for outside assistance
include:
[[Page 11484]]
Federal, state, and local governments
Local or national nonprofit organizations
Financial institutions and/or private businesses
Foundations
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original written commitment letters, memoranda
of understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (Only applicable to the
narrative section);
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and its use are not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) A description of the current and/or past working relationship
that the institution has with the organization contributing the
resources and the involvement it will have with this proposed project.
(5) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(6) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(7) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services (Only applicable to
the written documentation).
Do not submit commitment letters, memoranda of understanding and/or
agreements are not required at the time of application submission but
have the originals on file at the time of submission. IF THIS
INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW
PROCESS. Applicants chosen to proceed to the next step in the selection
process will be required to submit the signed commitment letters,
memoranda of understanding and/or agreements outlined in the
application, within seven (7) calendar days after initial contact from
the Office of University Partnerships (OUP). Letters, memoranda of
understanding, or agreements must be submitted on the provider's
letterhead and should be addressed to Sherone Ivey, Associate Deputy
Assistant Secretary for University Partnerships. The date of the
letter, memorandum of understanding, or agreement from the CEO of the
provider organization must be dated no earlier than nine months prior
to this published NOFA. OUP will provide specific instructions on how
these documents must be submitted when contact is made with the
applicant. HUD will only request and consider the resources/
organizations that are listed in the outline submitted in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
In scoring this factor, HUD will award
Nine (9) points to an applicant that provides properly
documented leveraging resources as listed in their application that are
15 percent or more of the amount requested under this program;
Seven (7) to eight (8) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Five (5) to six (6) points to applicants that provide
documentation that includes at least four of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Three (3) to four (4) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program;
One (1) to two (2) points to applicants that provide
documentation that includes at least three of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program; and
Zero (0) points to applicants that provide documented
leveraging resources as listed above that are less than 5 percent of
the amount requested.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points)
This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved by using the HUD Logic Model. The Logic Model is a summary of
the narrative statements presented in Factors 1-4. Therefore, the
information submitted on the Logic Model should be consistent with the
information contained in the narrative statements. ``Outcomes'' are
benefits accruing to institutions and/or communities during or after
participation in the HSIAC program. Applicants must clearly identify
the outcomes to be measured and achieved. Examples of outcomes include
increased employment opportunities in the target community by a certain
percentage, or enhanced family stability through the creation of
affordable housing opportunities.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new affordable housing units, the number of
homes that have been renovated, and the number of community facilities
that have been constructed or rehabilitated. Outputs should produce
outcomes for the program. At a minimum an applicant must address the
following activities in the evaluation plan:
a. Measurable outputs to be accomplished, e.g., the number of
persons to be trained and employed; houses to be built (pursuant to 24
CFR 570.207) or rehabilitated; minority-owned businesses to be started;
b. Measurable outcomes the grant will have on the community in
general and the target area or population; and
c. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
The information must be placed on a HUD-96010, Program Outcome
Logic Model form. HUD has developed a new approach to completing this
form. Please carefully read the General Section for instructions,
training is available. (Form HUD-96010 will be excluded from the page
count.) If an applicant utilizes ``other'' from the Logic Model
categories, then the applicant should describe briefly this ``other''
category within the Rating Factor 5 narrative. If a narrative is
provided, those pages will be included in the page count.
B. Review and Selection Process
1. Application Selection Process
Two types of reviews will be conducted:
[[Page 11485]]
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors''
listed in Section V, A. Only those applications that pass the threshold
review will receive a technical review and be rated and ranked.
2. Rating Panels. To review and rate applications, HUD may
establish panels, which may include experts or consultants not
currently employed by HUD to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be considered for
funding, an applicant must receive a minimum score of 75 points out of
a possible 100 points; plus up to two bonus points that may be awarded
for activities conducted in the RC/EZ/EC-II communities, as described
in the General Section. If two or more applications have the same
number of points, the application with the most points for Factor 3
shall be selected. If there is still a tie, the application with the
most points for Factor 1 shall be selected. If there is still a tie,
the application with the most points for Factors 2, 4 and then 5 shall
be selected, in that order, until the tie is broken. HUD reserves the
right to make selections out of rank order to provide for geographic
distribution of grantees. HUD also reserves the right to reduce the
amount of funding requested in order to fund as many highly ranked
applications as possible. Additionally, if funds remain after funding
the highest ranked applications, HUD may fund part of the next highest-
ranking application. If an applicant turns down an award offer, HUD
will make an award to the next highest-ranking application. If funds
remain after all selections have been made, the remaining funds will be
carried over to the next funding cycle's competition.
4. Correction to Deficient Applications. See the General Section.
C. Anticipated Announcement and Award Dates. Announcements of
awards are anticipated on or before September 30, 2007.
VI. Award Administration Information
A. Award Notice
After all selections have been made, HUD will notify all winning
applicants in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further discussion on this matter, please refer to the
General Section.
B. Administrative and National Policy Requirements
Refer to Section in the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing to: Madlyn Wohlman-Rodriguez, Office of University
Partnerships, Department of Housing and Urban Development, 451 Seventh
Street, SW., Room 8106, Washington, DC 20410-6000. Applicants may also
write to Ms. Wohlman-Rodriguez via e-mail at
Madlyn_Wohlmanrodriguez@hud.gov.
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion.
4. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors Labor Relations on
Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
5. Procurement of Recovered Materials. The General Section provides
further information.
6. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). See the General Section for
further discussion.
7. Code of Conduct. See the General Section for further discussion.
C. Reporting
All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line items, as well as a cumulative summary of costs
incurred during the reporting period.
For each reporting period, 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 FY2007, 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
Applicants may contact Madlyn Wohlman-Rodriguez at (202) 708-3061,
extension 5939 or Susan Brunson, at (202) 708-3061, extension 3852.
Persons with speech or hearing impairments may call the Federal
Information Relay Service (TTY) at (800) 877-8339. Except for the
``800'' number, these numbers are not toll-free. mail to: Applicants
may also reach Ms. Rodriguez via e-mail at
Madlyn_Wohlmanrodriguez@hud.gov and/or Ms. Brunson at Susan--S.--
Brunson@hud.gov.
VIII. Other Information
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 number 2528-0198. 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 59 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application semi-annual and final reports.
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.
Appendix A--Application Checklist--HSIAC
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. Applicants
submitting an electronic application do not have to submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement must include a copy of the checklist
in their application.
Check off to ensure these items have been included in the
application:
----SF-424 ``Application For Federal Assistance''
[[Page 11486]]
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the Factors is located:
----Narrative Statement Addressing the Rating Factors. The narrative
section of an application must not exceed 50 pages in length (excluding
forms, budget narrative and abstract). This information must be
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the
paper, with one-inch margins (from the top, bottom, left, and right
sides of the documents) and printed in standard Times New-Roman 12-
point font. [Applicants that submit applications via Grants.gov should
review the General Section for information about file names and
extensions. File names should not contain spaces or special
characters.]
----Factor I
----Factor II
----Factor III
----Factor IV
----Factor V
----HUD-96010 ``Logic Model''
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget Form'' on Grants.gov).
----Budget Narrative (No form provided, but must be submitted for the
total three-year grant period.
Appendix B (All Required Forms)
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424);
----Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
----Disclosure of Lobbying Activities (SF-LLL), if applicable;
----Grant Application Detailed Budget (HUD-424-CB) (``HUD Detailed
Budget'' on Grants.gov);
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300)
(``HUD Communities Initiative Form'' on Grants.gov), if applicable;
----Applicant Recipient Disclosure Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable;
----Certification of Consistency with the Consolidated Plan (HUD-2991),
if applicable;
----Acknowledgement of Applicant Receipt (Only applicants who submit
paper applications (HUD-2993);
----You Are Our Client! Grant Applicant Survey (HUD-2994-A);
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov), to be used as the cover
page to transmit third party documents via facsimile, if applicable
(See General Section); and
----Logic Model (HUD-96010)
[[Page 11487]]
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[[Page 11488]]
Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/
NHIAC) Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Alaska Native/Native Hawaiian
Institutions Assisting Communities (AN/NHIAC) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: FR-5100-N-12; OMB Approval Number
is 2528-0206.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.515.
F. Dates: The application deadline date is May 23, 2007.
Applications must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. Please be sure to read the
General Section for electronic application submission and receipt
requirements.
G. Additional Overview Content Information:
1. Purpose of the Program. To assist Alaska Native/Native Hawaiian
Institutions (AN/NHI) of higher education expand their role and
effectiveness in addressing community development needs in their
localities, including neighborhood revitalization, housing, and
economic development, principally for persons of low and moderate
income, consistent with the purposes of Title I of the Housing and
Community Development Act of 1974, as amended.
2. Award Information. In Fiscal Year (FY) 2007, approximately $2.9
million has been made available for this program by the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved
February 15, 2007) and an additional $36,048 in carryover funds. An
applicant can request up to $800,000 for a three-year (36 months) grant
performance period.
3. Eligible Applicants. Nonprofit Alaska Native and Native Hawaiian
Institutions of Higher Education that meet the definitions of Alaska
Native and Native Hawaiian Institutions of Higher Education established
in Title III, Part A, Section 317 of the Higher Education Act of 1965,
as amended by the Higher Education Amendments of 1998 (Pub. L. 105-244;
enacted October 7, 1998). Institutions are not required to be on the
list of eligible AN/NHIs prepared by the U.S. Department of Education.
However, an institution that is not on the list is required to provide
a statement in the application that the institution meets the U.S.
Department of Education's statutory definition of an AN/NHI
institution. In order to meet the definition of an Alaska Native
Institution, at least 20 percent of the undergraduate headcount
enrollment must be Alaska Native students. If an applicant is a Native
Hawaiian institution, at least 10 percent of the undergraduate
headcount enrollment must be Native Hawaiian students in order to meet
this definition. In addition, all applicants must be a two-or four-year
institution, fully accredited by a national or regional accrediting
agency recognized by the U.S. Department of Education. If an applicant
is one of several campuses of the same institution, the applicant may
apply separately from the other campuses as long as the campus has a
separate DUNS number, administrative structure and budget, and meets
the enrollment requirements outlined above.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of the Alaska Native/Native Hawaiian Institutions
Assisting Communities (AN/NHIAC) Program is to assist Alaska Native/
Native Hawaiian Institutions (AN/NHI) of higher education expand their
role and effectiveness in addressing community development needs in
their localities, including neighborhood revitalization, housing, and
economic development, principally for persons of low and moderate
income, consistent with the purposes of Title I of the Housing and
Community Development Act of 1974, as amended.
A. Authority
HUD's authority for making funding available under this NOFA is the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). This program is being implemented through
this NOFA and the policies governing its operation are contained
herein.
B. Modifications
Listed below are major modifications from the FY2006 program-
funding announcement:
1. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application but the originals
must be on file at the time of application submission. HUD will require
applicants chosen to proceed to the next step in the selection process
to submit the signed commitment letters, memoranda of understanding
and/or agreements outlined in the application within seven (7) calendar
days after initial contact from the Office of University Partnerships
(OUP). OUP will provide specific instructions on how these documents
must be submitted at that time. HUD will only request and consider the
resources/organizations outlined in the application. If OUP does not
receive those documents with the required information and within the
allotted timeframe, an applicant will not receive points under this
factor.
2. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and should be numbered. HUD will not
consider the information on any excess pages.
3. Applicants must budget for travel costs to attend at least one
HUD sponsored AN/NHIAC conference/workshop every year of the three-year
grant performance period.
II. Award Information
In Fiscal Year (FY) 2007, approximately $2.9 million is made
available for this program with an additional $36,048 in carryover
funds. HUD will award grants under this program to Alaska Native
Institutions (ANI) and Native Hawaiian Institutions (NHI). An applicant
can request up to $800,000 for a three-year (36 months) grant
performance period.
III. Eligibility Information
A. Eligible Applicants
Nonprofit Alaska Native and Native Hawaiian Institutions of Higher
Education that meet the definitions of Alaska Native and Native
Hawaiian Institutions of Higher Education established in Title III,
Part A, Section 317 of the Higher Education Act of 1965, as amended by
the Higher Education Amendments of 1998 (Pub. L. 105-244; enacted
October 7, 1998). Institutions are not required to be on the list of
eligible AN/NHIs prepared by the U.S. Department of Education. However,
an institution that is not on the list is required to provide a
statement in the application that the institution meets the U.S.
Department of Education's statutory definition of an AN/NHI
institution. In order to meet the definition of an Alaska Native
Institution, at least 20 percent of the
[[Page 11489]]
undergraduate headcount enrollment must be Alaska Native students. If
an applicant is a Native Hawaiian institution, at least 10 percent of
the undergraduate headcount enrollment must be Native Hawaiian students
in order to meet this definition. In addition, all applicants must be a
two-or four-year institution, fully accredited by a national or
regional accrediting agency recognized by the U.S. Department of
Education. If an applicant is one of several campuses of the same
institution, the applicant may apply separately from the other campuses
as long as the campus has a separate DUNS number, administrative
structure and budget, and meets the enrollment requirements outlined
above.
B. Cost Sharing or Matching
None required.
C. Other
1. Eligible Activities: Eligible activities are listed in 24 CFR
Part 570, subpart C, particularly Sec. 570.201 through Sec. 570.206.
Information regarding these activities can be found at:
http://www.hudclips.org (click on the Code of Federal Regulations for detailed
information).
Eligible activities include, but are not limited to:
a. Acquisition of real property;
b. Clearance and demolition;
c. Rehabilitation of residential structures and compliance with the
accessibility requirements contained in Section 504 of the
Rehabilitation Act of 1973;
d. Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets; including lead-based paint hazard
evaluation and reduction and compliance with the accessibility
requirements contained in Section 504 of the Rehabilitation Act of 1973
and Americans with Disabilities Act of 1990;
e. Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a) (25) of the Housing and
Community Development Act of 1974;
f. Special economic development activities described at 24 CFR
570.203 and assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
g. Assistance to community-based development organizations (CBDO)
to carry out neighborhood revitalization, community economic
development, or energy conservation projects, in accordance with 24 CFR
570.204. This could include activities in support of a HUD-approved
local entitlement grantee, CDBG Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG Community Revitalization Strategy
(CRS);
h. Public service activities such as general support activities
that can help to stabilize a neighborhood and contribute to sustainable
redevelopment of the area, including but not limited to such activities
as those concerned with employment, crime prevention, child care,
health care services, drug abuse, education, housing counseling, energy
conservation, homebuyer down payment assistance, establishing and
maintaining Neighborhood Network centers in federally assisted or
insured housing, job training and placement and recreational needs;
i. Fair housing services designed to further the civil rights
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status, and/or disability aware of the range of housing
opportunities available to them;
j. Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD reports, etc.).
Detailed explanations of these costs are provided in the OMB circulars
that can be accessed at the White House Web site at:
http://www.whitehouse.gov/omb/circulars/index.html; and
Each activity proposed for funding must meet the Community
Development Block Grant (CDBG) program are listed in Rating Factor 3 in
Section V.A.3 of this NOFA.
Criteria for determining whether an activity addresses one or more
of these objectives are provided at 24 CFR 570.208.
The CDBG publication entitled ``Community Development Block Grant
Program Guide to National Objectives and Eligible Activities for
Entitlement Communities'' describes the CDBG regulations, and a copy
can be obtained online at http://www.hud.gov/offices/cpd/communitydevelopment/library/deskguid.cfm
, or from HUD's NOFA
Information Center at 800-HUD-8929. Individuals with hearing or speech
impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
2. Threshold Requirements Applicable to all Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below. Applications
that do not meet these requirements will be considered ineligible for
funding and will be disqualified.
a. The applicant must meet the eligibility requirements as defined
in Section III.A
b. The applicant may request up to $800,000.
c. An applicant must have a separate DUNS number to receive HUD
grant funds (See the General Section). Only one application can be
submitted per campus. If multiple applications are submitted, all will
be disqualified. However, different campuses of the same university
system are eligible to apply as long as they have a separate DUNS
number and an administrative and budgeting structure independent of the
other campuses in the system.
d. Institutions that received grants in FY2006 are not eligible to
submit an application under this NOFA.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. Program Requirements. In addition to the program requirements
listed in Section III.C of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Applicants must ensure that not less than 51 percent of the
aggregated expenditures of a grant award are used to benefit low- and
moderate-income persons under the criteria specified in 24 CFR
570.208(a) or 570.208(d)(5) or (6).
c. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction, an applicant must demonstrate site
control. Funds may be recaptured or deobligated from recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
d. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of properties proposed
for assistance in accordance with 24 CFR part 50. The results of the
environmental review may require that proposed activities be modified
or proposed sites be rejected. Applicants are particularly cautioned
not to undertake or commit funds for acquisition or development of
proposed
[[Page 11490]]
properties prior to HUD approval of specific properties or areas. An
application constitutes an assurance that the institution will assist
HUD to comply with part 50; will supply HUD with all available and
relevant information to perform an environmental review for each
proposed property; will carry out mitigating measures required by HUD
or select alternate property; and will not acquire, rehabilitate,
convert, demolish, lease, repair, or construct property, and not commit
or expend HUD or local funds for these program activities with respect
to any eligible property until HUD's written approval of the property
is received. In supplying HUD with environmental information,
applicants should use the same guidance as provided in the HUD Notice
CPD-05-07 entitled, ``Field Environmental Review Processing for Rural
Housing and Economic Development (RHED) grants'' issued August 30,
2005. The General Section provides further discussion of the
environmental requirements. Further information and assistance on HUD's
environmental requirements is available at: http://hudstage.hud.gov/utilities/intercept.cfm?/offices/cpd/lawsregs/notices/2005/05-07.pdf
.
e. Labor Standards. Institutions and their subgrantees,
contractors, and subcontractors must comply with the labor standards
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
f. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training, employment, contracting and other
economic opportunities to Section 3 residents and Section 3 business
concerns. Regulations are located at 24 CFR Part 135.
IV. Application and Submission Information
A. Address To Request Application Package
Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov./applicants/apply_for_grants.jsp.
If you have difficulty accessing the information you
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail
your questions to Support@Grants.gov. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.grants.gov/applicants/apply_for_grans.jsp
.
a. SF-424, Application for Federal Assistance;
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative'' on Grants.gov), if applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
h. HUD-96010, Program Logic Model;
i. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form;
j. HUD-2994-A, You Are Our Client Grant Applicant Survey.
Applicants are not required to complete this form.
k. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. Applicants are advised to download the application
package, complete the SF-424 first and it will pre-populate the
Transmittal Cover page. The Transmittal Cover page will contain a
unique identifier embedded in the page that will help HUD associate
your faxed materials to your application. Please download the cover
page and then make multiple copies to provide to any of the entities
responsible for submitting faxed materials to HUD on your behalf.
Please do not use your own fax sheet. HUD will not read any faxes that
are sent without the HUD-96011 fax transmittal cover page; and
2. Certifications and Assurances. Please read the General Section
for detailed information on all Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount requested from HUD (entire three years)
should be entered, not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact; this is the
person who will receive all correspondence; therefore, please ensure
the accuracy of the information;
(3) The Employer Identification/Tax ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.515;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who, by virtue of submitting an application via Grants.gov, has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a legally binding agreement with HUD.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants submitting an electronic application should not submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement must include a copy of the checklist
in their application submission. The checklist can be located in
Appendix A.
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A clear description of each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
community and institution;
(2) A statement that the institution is an eligible institution
because it is a
[[Page 11491]]
two-or four-year fully accredited institution, the name of the
accrediting agency and an assurance that the accrediting agency is
recognized by the U.S. Department of Education;
(3) A statement that the institution meets the definition of an
Alaska Native Institution, or a Native Hawaiian Institution, as
appropriate;
(4) The designated contact person, including phone number,
facsimile number, and e-mail address. (This is the person who will
receive all correspondence; therefore, please ensure the accuracy of
the information.);
(5) The project director, if different from the designated contact
person, for the project, including phone number, facsimile number, and
e-mail address.
d. Narrative statement addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. PLEASE DO NOT REPEAT
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are
subfactors, each subfactor must be presented separately, with the short
title of the subfactor presented. Make sure to address each subfactor
and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top,
bottom and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the applicant's name and should be numbered. Note that although
submitting pages in excess of the page limit will not disqualify an
applicant, HUD will not consider the information on any excess pages.
This exclusion may result in a lower score or failure to meet a
threshold requirement. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This form
shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately. Applicants must also budget
for travel cost (airfare, lodging and per diem) for two individuals to
attend at least one HUD sponsored AN/NHIAC conference/workshop every
year of the three-year grant performance period. To calculate travel
expenses, applicants should use Washington, DC as the site of all
conferences/workshops. Applicants must also submit this form to reflect
the total cost for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, the HUD-424-CB and
on all other required program forms are consistent and the budget
totals are correct. Remember to check addition in totaling the
categories on all forms so that all items are included in the total. If
there is any inconsistency between any of the required budget forms,
the HUD-424-CB will be used. All budget forms must be fully completed.
If an application is selected for award, the applicant may be required
to provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item over
$5,000 cumulative. For example, an applicant proposes to construct a
building using HUD funding totaling $200,000. The following costs
estimate reflects this total. Foundation cost $75,000, electrical work
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping
$10,000. The proposed cost estimates should be reasonable for the work
to be performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used (please make sure they are kept on file and are
available for review by HUD at any time). When an applicant proposes to
use a consultant, the applicant must indicate whether there is a formal
written agreement. For each consultant, please provide the name, if
known, hourly or daily rate, and the estimated time on the project.
Applicants must use cost estimates based on historical data from the
institution and/or from a qualified firm (e.g., Architectural or
Engineering firm), vendor, and/or qualified individual (e.g.,
independent architect or contractor) other than the institution for
projects that involve rehabilitation of residential, commercial and/or
industrial structures, and/or acquisition, construction, or
installation of public facilities, and improvements. Such an entity
must be involved in the business of housing rehabilitation,
construction, and/or management. Equipment and contracts cannot be
presented as a total estimated cost. For equipment, applicants must
provide a list by type and cost for each item. Applicants using
contracts must provide an individual description and cost estimate for
each contract. Construction costs must be broken down to indicate how
funds will be utilized (e.g., demolition, foundation, exterior walls,
roofing, electrical work, plumbing, finishing work, etc.)
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file, and submit to HUD if selected for award, a copy of their
indirect cost rate agreement. Applicants who are selected for funding
that do not have an approved indirect cost rate agreement, established
by the cognizant federal agency, will be required to establish a rate.
In such cases, HUD will issue an award with a provisional rate and
assist applicants with the process of establishing a final rate.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all required forms in this section. The appendix section of
the an application must not exceed 15 pages in length (excluding forms,
budget narrative and assurances) An applicant SHOULD NOT submit
resumes, commitment letters, memoranda of understanding and/or
agreements, or other back-up materials. If this information is
included, it will not be considered during the review process. Each
page must include the applicant's name and should be numbered. HUD will
not consider the information on any excess pages. The additional items
will also slow the transmission of your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your applications,
applicants are strongly encouraged to submit their applications at
least 48 to 72 hours prior to the application deadline. This will allow
an applicant enough time to make the necessary
[[Page 11492]]
adjustments to meet the submission deadline in the event Grants.gov
rejects the application. Please see the General Section for further
instructions. Electronic faxes using the Facsimile Transmittal Cover
Sheet (Form HUD-96011) contained in the electronic application must be
received no later than 11:59:59 p.m. eastern time on the application
deadline date.
D. Intergovernmental Review
This program is excluded from an Intergovernmental Review.
E. Funding Restrictions
Ineligible CDBG Activities are listed at 24 CFR 570.207. Ineligible
activities include but are not limited to:
1. New construction of public housing;
2. General government expenses;
3. Political activities;
4. Planning and administrative activities that would result in a
grantee exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports);
5. Development and/or expansion of an institution's existing
curriculum when it is primarily to enhance the institution rather than
to achieve the specific goals/objectives of the proposed project; and
6. Construction, renovation, expansion of an institution's own
facilities.
F. Other Submission Requirements
1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the submission and receipt
procedures for all applications because failure to comply may
disqualify your application.
2. Waiver of Electronic Submission Requirements. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to:
Susan Brunson, Office of University Partnerships, E-mail:
Susan_S._Brunson@hud.gov, FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant Experience
(25 Points)
This factor addresses the extent to which the applicant has the
resources necessary to successfully implement the proposed project in a
timely manner.
a. Knowledge and Experience. For First Time Applicants (25 Points)
For Previously Funded Applicants (13 Points). In rating this subfactor,
HUD will consider the extent to which the applicant clearly addresses
the following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers),
and contractors in planning and managing the type of project for which
funding is being requested; and
(2) Clearly identify the following: key project team members,
titles (e.g., project manager/coordinator, etc.), respective roles for
the project staff, and a brief description of their relevant
experience.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
Experience will be judged in terms of recent and relevant knowledge
and skills of the staff to undertake eligible program activities. HUD
will consider experience within the last five (5) years to be recent
and experience pertaining to similar activities to be relevant.
b. Past Performance (12 Points) For Previously Funded Applicants
Only. This subfactor will evaluate how well an applicant has performed
successfully under HUD/AN/NHIAC grants. Applicants must demonstrate
this by addressing the following information for all previously
completed and open HUD/AN/NHIAC grants:
(1) A list of all HUD/AN/NHIAC grants received, including the
dollar amount awarded and the amount expended and obligated as of the
date of this application;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved project
management plan;
(3) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed, why (including when it was or will be completed);
(4) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged; and
(5) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: The ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities. In evaluating past
performance, HUD reserves the right to deduct up to five (5) points
from this rating score as a result of the information obtained from
HUD's records (i.e., progress and financial reports, monitoring
reports, Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (10 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
importance of meeting the need(s) in the target area. The need(s)
described must be relevant to the activities for which funds are being
requested. In addressing this factor, applicants should provide, at a
minimum, the following and must cite statistics and/or analyses
contained in at least one or more current data sources that are sound
and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed project activities will be
carried out. Sources for localized data can be found at: http://www.ffiec.gov.
HUD will consider data collected within the last five (5) years to
be current. To the extent that the targeted community's Five (5) Year
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI) identify the level of the problem and the urgency in meeting the
need, applicants should include references to these documents in the
response to this factor.
Other reliable data sources include, but are not limited to, Census
reports, HUD Continuum of Care gap analysis and its E-MAP (http://www.hud.gov/emaps
), law enforcement agency crime reports, Public
Housing Agencies' Comprehensive Plans, community
[[Page 11493]]
needs analyses such as provided by the United Way, the applicant's
institution, and other sound, reliable and appropriate sources. Needs
in terms of fulfilling court orders or consent decrees, settlements,
conciliation agreements, and voluntary compliance agreements may also
be addressed.
3. Rating Factor 3: Soundness of Approach (44 Points)
This factor addresses the quality and effectiveness of the proposed
work plan and the commitment of the institution to sustain the proposed
project activities.
a. (37 Points) Quality of the Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project activities, anticipated
accomplishments and the impact they will have on the target population
at the end of the project.
(1) (32 Points) Specific Activities. The work plan must describe
all proposed project activities and major tasks required to
successfully implement them. The work plan must also identify the
anticipated accomplishment and impact these activities will have on the
target population. In addressing this subfactor applicants must provide
a clear description of each proposed activity and address the
following:
(a) Describe each proposed project activity in measurable terms
(e.g., the number of homes that will be renovated, the number of jobs
created, etc.);
(b) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income person;
Aid in the prevention or elimination of slums or blight;
or
Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
objectives are provided at 24 CFR 570.208;
(c) Describe the measurable outcomes that will be realized as a
result of implementing each activity (by the end of the grant period)
will have or expect to have on the target population;
(d) Identify the major tasks required (in sequential order) to
successfully implement and complete each proposed project activity.
Include the target completion dates for these tasks (in 6 month
intervals, up to 36 months);
(e) Identify key staff, as described in Factor 1, who will be
responsible and accountable for completing each task; and
(f) Describe how the project director will work with partners and
citizens to accomplish the proposed project activities.
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expands the role of the institution in the community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative efforts will be acceptable only if an applicant can
demonstrate through documentation that there is a population in need
that is not being served; and
(d) Involve citizens of the target area in the planning and
implementation of the proposed project activity (e.g., development of
an advisory committee that is representative of the target community).
b. (3 Points) Involvement of the faculty and students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into the proposed project activities.
c. (2 Points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that help the Department achieve
its goals and objectives in FY2008, when the majority of grant
recipients will be reporting programmatic results and achievements. In
rating this subfactor, HUD will evaluate the extent to which a program
will further and support HUD's priorities. The quality of the responses
provided to one or more of HUD's priorities will determine the score an
applicant can receive. Applicants must describe how each policy
priority selected will be addressed. Applicants that just list a
priority will receive no points.
The total number of points an applicant can receive under this
subfactor is two (2). Each policy priority addressed has a point value
of one (1) point with the exception of the policy priority to remove
regulatory barriers to affordable housing, which has a point value of
up to two (2) points. To receive these two (2) points, an applicant
must: (1) complete either Part A or Part B (not both), (2) include
appropriate documentation, (3) identify a point of contact, (4)
indicate how this priority will be addressed and (5) submit the
completed questionnaire, (HUD-27300) ``HUD's Initiative on Removal of
Regulatory Barriers'' found in the General Section along with required
documentation. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available two
(2) points.
d. (2 Points) Economic Opportunities for Low- and Very-Low Income
Persons (Provision of Section 3). This subfactor will be evaluated on
the extent to which an applicant describes how it proposes to:
(1) Provide opportunities to train and employ Section 3 residents;
and/or
(2) Award contracts to Section 3 contractors (See the regulations
at 24 CFR).
Regulations regarding the provision of Section 3 of the Housing and
Urban Development Act of 1968 (12 U.S.C. 1701u) can be located at 24
CFR Part 135.
4. Rating Factor 4: Leveraging Resources (9 Points)
This factor addresses the ability of the applicant to secure
resources and develop partnerships that can be combined with HUD's
grant funds to achieve the program's purpose.
HUD will consider the extent to which the applicant established
partnerships with other entities to secure additional resources to
increase the effectiveness of the proposed project activities.
Resources may include funding or in-kind contributions, such as
services or equipment, allocated for the purpose(s) of the project
activities. Resources may be provided by governmental entities, public
or private nonprofit organizations, for-profit private organizations,
or other entities. Applicants may also establish partnerships with
other program funding recipients to coordinate the use of resources in
the target area. Overhead and other institutional costs (e.g.,
salaries, indirect costs, etc.) that the institution has waived may be
counted.
Examples of potential sources for outside assistance include:
Federal, state, and local governments
Public Housing Agencies
Local or national nonprofit organizations
Financial institutions and/or private businesses
Foundations
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original commitment letters, memoranda of
[[Page 11494]]
understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (only applicable to the
narrative section);
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and its use is not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) A description of the current and/or past working relationship
that the institution has with the organization contributing the
resources and the involvement they will have with this proposed
project.
(5) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(6) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(7) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. (Only applicable to
the written documentation) Please remember that only items eligible for
funding under this program can be counted.
Do not submit commitment letters, memoranda of understanding and/or
agreements at the time of application submission but have the originals
on file at the time of submission. IF THIS INFORMATION IS INCLUDED, IT
WILL NOT BE CONSIDERED DURING THE REVIEW PROCESS. Applicants chosen to
proceed to the next step in the selection process for award will be
required to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven (7) calendar days after initial contact from the Office of
University Partnerships (OUP). Letters, memoranda of understanding, or
agreements must be submitted on the provider's letterhead and should be
addressed to Sherone Ivey, Associate Deputy Assistant Secretary for
University Partnerships. The date of the letter, memorandum of
understanding, or agreement from the CEO of the provider organization
must be dated no earlier than nine months prior to this published NOFA.
OUP will provide specific instructions on how these documents must be
submitted when contact is made with the applicant. HUD will only
request and consider the resources/organizations that are listed in the
outline submitted in the application. If OUP does not receive those
documents with the required information and within the allotted
timeframe, an applicant will not receive points under this factor.
In scoring this factor, HUD will award:
Nine (9) points to an applicant that provides properly
documented leveraging resources as listed in their application that are
15 percent or more of the amount requested under this program;
Seven (7) to eight (8) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Five (5) to six (6) points to applicants that provide
documentation that includes at least four of the seven required items
outlined above and that represents 10 to 14 percent of the amount
requested under this program;
Three (3) to four (4) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program;
One (1) to two (2) points to applicants that provide
documentation that includes at least three of the seven required items
outlined above and that represents 5 to 9 percent of the amount
requested under this program; and
Zero (0) points to applicants that provide documentation
of leveraging resources as listed above that are less than 5 percent of
the amount requested.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points)
This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved by using the Logic Model. The Logic Model is a summary of the
narrative statements presented in Factors 1-4. Therefore, the
information submitted on the Logic Model should be consistent with the
information contained in the narrative statements.
``Outcomes'' are benefits accruing to institutions of higher
education and/or communities during or after participation in the AN/
NHIAC program. Applicants must clearly identify the outcomes to be
measured and achieved. Examples of outcomes include increased community
development in the target community by a certain percentage, increased
employment opportunities in the target community by a certain
percentage, increased incomes/wages or other assets for persons
trained, and or enhanced family stability through the creation of
affordable housing opportunities.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new affordable housing units, the number of
homes that have been renovated, and the number of facilities that have
been constructed or rehabilitated. Outputs should produce outcomes for
the program. At a minimum, an applicant must address the following
activities in the evaluation plan:
a. Measurable outputs to be accomplished (e.g., the number of
persons to be trained and employed; houses to be built pursuant to 24
CFR 570.207 or rehabilitated; minority-owned businesses to be started);
b. Measurable outcomes the grant will have on the community in
general and the target area or population; and
c. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
The information must be placed on a HUD-96010, Program Logic Model
form. HUD has developed a new approach to completing this form. Please
carefully read the General Section for instructions, training is
available. (Form HUD-96010 will be excluded from the page count.) If an
applicant utilizes ``other'' from the Logic Model categories, then the
applicant should describe briefly this ``other'' category within the
Rating Factor 5 narrative. If a narrative is provided, those pages will
be included in the page count.
B. Review and Selection Process
1. Application Selection Process
Two types of reviews will be conducted:
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application
[[Page 11495]]
based on the ``Rating Factors'' listed in Section V.A.
Only those applications that pass the threshold review will receive
a technical review and be rated and ranked.
2. Rating Panels
To review and rate applications, HUD may establish panels, which
may include experts or consultants not currently employed by HUD to
obtain certain expertise.
3. Ranking
HUD will fund applications in rank order, until all available
program funds are awarded. In order to be considered for funding, an
applicant must receive a minimum score of 75 points out of a possible
100 points for Factors 1 through 5, plus up to two bonus points that
may be awarded for activities conducted in the RC/EZ/EC-II communities,
as described in the General Section. If two or more applications have
the same number of points, the application with the most points for
Factor 3 shall be selected. If there is still a tie, the application
with the most points for Factor 1 shall be selected. If there is still
a tie, the application with the most points for Factors 2, 4 and then 5
shall be selected, in that order, until the tie is broken. HUD reserves
the right to make selections out of rank order to provide for
geographic distribution of grantees.
HUD also reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funds remain after funding the highest
ranked applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down an award offer, HUD will make
an award to the next highest-ranking application. If funds remain after
all selections have been made, the remaining funds will be carried over
to the next funding cycle's competition.
4. Correction to Deficient Applications
See the General Section.
C. Anticipated Announcement and Award Dates
Announcements of awards are anticipated on or before September 30,
2007.
VI. Award Administration Information
A. Award Notices
After all selections have been made, HUD will notify all winning
applicants in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further discussion on this matter, please refer to the
General Section.
B. Administrative and National Policy Requirements
Refer to the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing to: Sherone Ivey, Office of University Partnerships, Department
of Housing and Urban Development; 451 Seventh Street, SW., Room 8106;
Washington, DC 20410-6000. Applicants may also write to Ms. Ivey via e-
mail at Sherone_E._Ivey@hud.gov.
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion.
4. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors Labor Relations on
Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
5. Procurement of Recovered Materials. See Section the General
Section for further discussion.
6. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). See the General Section for
further discussion.
7. Code of Conduct. See the General Section for further discussion.
C. Reporting
All grant recipients under this NOFA are required to submit
quarterly progress reports.
The progress reports shall consist of two components, a narrative
that must reflect the activities undertaken during the reporting period
and a financial report that reflects costs incurred by budget line
item, as well as a cumulative summary of cost incurred during the
reporting period.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model form (HUD-96010),
which identifies output and outcome achievements.
For FY2007, 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
Applicants may contact Sherone Ivey at (202) 708-3061, extension
4200 or Susan Brunson at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service TTY at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. Applicants may also reach Ms. Ivey via e-
mail at
Sherone_E._Ivey@hud.gov, and/or Ms. Brunson at Susan_S._Brunson@hud.gov.
VIII. Other Information: 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 number 2528-0206. 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 59 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, quarterly, and final reports.
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.
Appendix A--Application Checklist--AN/NHIAC
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. Applicants
submitting an electronic application do not have to submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement should include a copy of the
checklist in their application.
Check off to ensure these items have been included in the
application:
[[Page 11496]]
----SF-424 ``Application for Federal Assistance''
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the ----Factors is located:
----Narrative Statement Addressing the Rating Factors. The narrative
section of an application must not exceed 50 pages in length (excluding
forms, budget narrative and abstract). This information must be
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the
paper, with one-inch margins (from the top, bottom, left, and right
sides of the documents) and printed in standard Times New-Roman 12-
point font. [Applicants that submit applications via Grants.gov should
review the General Section for information about file names and
extensions.
File names should not contain spaces or special characters.
----Factor I
----Factor II
----Factor III
----Factor IV
----Factor V
---- HUD-96010 ``Logic Model''
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov)
----Budget Narrative (No form provided, but must be submitted for the
total three-year grant period)
Appendix B (All Required Forms)
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424)
----Supplement, Survey on Ensuring Equal Opportunities for Applicants
(SF-424 Supplement) (``Faith Based EEO Survey (SF-424 SUPP)'' on
Grants.gov)
----Disclosure of Lobbying Activities (SF-LLL)
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300)
(``HUD Communities Initiative Form'' on Grants.gov), if applicable
----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov)
----Acknowledgement of Applicant Receipt (Only applicants who submit
paper applications (HUD-2993)
----You Are Our Client Grant Applicant Survey (HUD-2994-A)
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov), if applicable
----Logic Model (HUD-96010)
[[Page 11497]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.009
[[Page 11498]]
Tribal Colleges and Universities Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Tribal Colleges and Universities
Program (TCUP).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: FR-5100-N-11; OMB Approval Number:
2528-0215.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.519.
F. Dates: The application deadline date is May 23, 2007.
Applications must be received and validated by Grants.gov by 11:59:59
p.m. eastern time on the deadline date. Please be sure to read the
General Section for electronic application submission and receipt
requirements.
G. Additional Overview Content Information:
1. Purpose of the Program. To assist Tribal Colleges and
Universities (TCU) to build, expand, renovate, and equip their own
facilities, and to expand the role of the TCUs into the community
through the provision of needed services such as health programs, job
training, and economic development activities.
2. Award Information: In Fiscal Year (FY) 2007, approximately $2.5
million has been made available for this program by the Revised
Continuing Appropriations Resolution, 2007 (Pub. L. 110-5; approved
February 15, 2007), and approximately $217,190 in carryover funds has
been made available. An applicant can request up to $600,000 for a
three-year (36 months) grant performance period.
3. Eligible Applicants: Tribal Colleges and Universities that meet
the definition of a TCU established in Title III of the 1998 Amendments
to the Higher Education Act of 1965 (Pub. L. 105-244, approved October
7, 1998). Applicants must be a two- or four-year, fully accredited
institution or provide a statement in the abstract of the application
that states the institution is a candidate for accreditation by a
regional institutional accrediting association recognized by the U.S.
Department of Education. If an applicant is one of several campuses of
the same institution, the applicant may apply separately from the other
campuses as long as the campus has a separate DUNS number,
administrative structure and budget, and meets the definition of a TCU
outlined above.
Full Text of Announcement
I. Funding Opportunity Description
The purpose of this program is to assist Tribal Colleges and
Universities (TCU) to build, expand, renovate, and equip their own
facilities, and to expand the role of the TCUs into the community
through the provision of needed services such as health programs, job
training, and economic development activities.
A. Authority
HUD's authority for making funding available under this NOFA is the
Revised Continuing Appropriations Resolution, 2007 (Pub. L. 110-5;
approved February 15, 2007). This program is being implemented through
this NOFA and the policies governing its operation are contained
herein.
B. Modifications
Listed below are major modifications from the Fiscal Year (FY) 2006
program-funding announcement.
1. Commitment letters, memoranda of understanding and/or agreements
are not required to be submitted with the application, but the
originals must be on file at the time of application submission. HUD
will require applicants chosen to proceed to the next step in the
selection process to submit the signed commitment letters, memoranda of
understanding and/or agreements outlined in the application, within
seven (7) calendar days after initial contact from the Office of
University Partnerships (OUP). OUP will provide specific instructions
on how these documents must be submitted at that time. HUD will only
request and consider the resources/organizations outlined in the
application. If OUP does not receive those documents with the required
information and within the allotted timeframe, an applicant will not
receive points under this factor.
2. The appendix section of an application must not exceed 15 pages
in length (excluding forms, budget narrative and assurances). An
applicant SHOULD NOT submit resumes, commitment letters, memoranda of
understanding and/or agreements, or other back-up material. Each page
must include the applicant's name and should be numbered. HUD will not
consider the information on any excess page.
3. Applicants must budget for travel costs to attend at least one
HUD sponsored TCUP conference/workshop every year of the three-year
grant performance period.
II. Award Information
In Fiscal Year (FY) 2007, approximately $2.5 million is made
available by the Revised Continuing Appropriations Resolution, 2007
(Pub. L. 110-5; approved February 15, 2007) with approximately $217,190
in additional carryover funds. An applicant can request up to $600,000
for a three-year (36 months) grant performance period.
III. Eligibility Information
A. Eligible Applicants
Tribal Colleges and Universities that meet the definition of a TCU
established in Title III of the 1998 Amendments to the Higher Education
Act of 1965 (Pub. L. 105-244, enacted October 7, 1998). Applicants must
be two- or four-year, fully accredited, or provide a statement in their
application that verifies the institution is a candidate for
accreditation, by a regional institutional accrediting association
recognized by the U.S. Department of Education. If an applicant is one
of several campuses of the same institution, the applicant may apply
separately from the other campuses as long as the campus has a separate
DUNS number, administrative structure and budget, and meets the
definition of a TCU outlined above.
B. Cost Sharing or Matching
None Required.
C. Other
1. Eligible Activities. Eligible activities include building,
expanding, renovating, and equipping facilities owned by the
institution (a long-term lease for five years or more in duration is
considered an acceptable form of ownership under this program).
Buildings for which TCUP funding is used that also serve the community
are eligible; however, the facilities must be predominantly (at least
51 percent of the time) for the use of the institution (e.g., students,
faculty, and staff). In addition, public services and program delivery
activities for the community such as health programs, job training and
economic development are eligible activities. Examples of eligible
activities include, but are not limited to:
a. Building a new facility (e.g., classrooms, administrative
offices, health and cultural centers, gymnasium, technology centers,
etc.);
b. Renovating an existing or acquired facility;
c. Expanding an existing or acquired facility;
[[Page 11499]]
d. Equipping university facilities (e.g., lab equipment, library
books, furniture, etc.);
e. Property acquisition;
f. Health screening;
g. Homeownership counseling/training;
h. Technical assistance to establish, expand or stabilize micro-
enterprises;
i. Crime, alcohol and/or drug-abuse prevention activities;
j. Youth leadership development programs/activities;
k. Tutoring/mentoring programs;
l. Child care/development programs;
m. Cultural activities/programs; and
n. Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD reports, etc.). A
detailed explanation of these costs is provided in the OMB circulars
that can be accessed at the White House Web site at: http://www.whitehouse.gov/omb/circulars/index.html
.
Each activity proposed for funding must meet at least one of the
Community Development Block Grant (CDBG) Program national objectives as
described in Rating Factor 3 in Section V.A.3 of this NOFA.
Criteria for determining whether an activity addresses one or more
objectives are provided at 24 CFR 570.208. The CDBG publication
entitled ``Community Development Block Grant Program Guide to National
Objectives and Eligible Activities for Entitlement Communities''
describes the CDBG regulations, and a copy can be obtained from HUD's
NOFA Information Center at 800-HUD-8929. Individuals with hearing or
speech impairments may access this number via the toll-free Federal
Information Relay Service at 800-877-8339.
2. Threshold Requirements Applicable to All Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below. Applications
that do not meet these requirements will be considered ineligible for
funding and will be disqualified.
a. The applicant must meet the eligibility requirements as defined
in Section III.A.
b. The applicant may request up to $600,000.
c. An applicant must have a separate DUNS number to receive HUD
grant funds (See General Section). Only one application can be
submitted per campus. If multiple applications are submitted, all will
be disqualified. However, different campuses of the same university
system are eligible to apply as long as they have a separate DUNS
number and an administrative and budgeting structure independent of the
other campuses in the system.
d. Institutions that received grants in FY2006 are not eligible to
apply under this NOFA.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
deadline date.
3. Program Requirements. In addition to the standard requirements
listed in Section III.C. of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. While community-wide use of a facility (that is purchased,
equipped, leased, renovated or built) is permissible under this
program, the facility must be predominantly for the use of the
institution (i.e., it must be used by the staff, faculty, and/or
students at least 51 percent of the time).
c. If a TCU is a part or instrumentality of a federally recognized
tribe, the applicant must comply with the Indian Civil Rights Act (25
U.S.C. 1301 et seq.) and all other applicable civil rights statutes and
authorities as set forth in 24 CFR 1000.12. If the TCU is not a part or
instrumentality of a federally recognized tribe the applicant must
comply with the Fair Housing Act (42 U.S.C. 3601-19) and implementing
regulations at 24 CFR part 100 et seq., Title VI of the Civil Rights
Act of 1964 (42 U.S.C. 2000d-2000d-4) (Nondiscrimination in Federally
Assisted Programs) and implementing regulations at 24 CFR part 1,
Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C.
794) and implementing regulation at 24 CFR Part 8, and Section 109 of
Title One of the Housing and Community Development Act of 1974 (HCDA),
as amended, with respect to nondiscrimination on the basis of age, sex,
religion, or disability and implementing regulations at 24 CFR part 6.
d. Labor Standards. Institutions and their subgrantees, contractors
and subcontractors must comply with the labor standards (Davis-Bacon)
requirements referenced in 24 CFR 570.603. However, in accordance with
HCDA section 107(e)(2), the Secretary waives the provisions of HCDA
section 110 with respect to the TCUP program for grants to a TCU that
is part of a tribe, i.e., a TCU that is legally a department or other
part of a tribal government, but not a TCU that is established under
tribal law as an entity separate from the tribal government. If a TCU
is not part of a tribe, the labor standards of HCDA section 110, as
referenced in 24 CFR 570.603, apply to activities under the grant to
the TCU.
e. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of activities proposed
for assistance in accordance with 24 CFR part 50. The results of the
environmental review may require that proposed activities be modified
or proposed sites be rejected. Applicants are particularly cautioned
not to undertake or commit funds for acquisition or development of
proposed properties prior to HUD approval of specific properties or
areas. An application constitutes an assurance that the institution
will assist HUD to comply with part 50; will supply HUD with all
available and relevant information to perform an environmental review
for each proposed property; will carry out mitigating measures required
by HUD or select alternate property; and will not acquire,
rehabilitate, convert, demolish, lease, repair, or construct property
and not commit or expend HUD or local funds for these program
activities with respect to any eligible property until HUD's written
approval of the property is received. In supplying HUD with
environmental information, applicants should use the same guidance as
provided in the HUD Notice CPD-05-07 entitled, ``Field Environmental
Review Processing for Rural Housing and Economic Development (RHED)
grants'' issued August 30, 2005. The General Section provides further
discussion of the environmental requirements. Further information and
assistance on HUD's environmental requirements is available at: http://www.hud.gov/offices/cpd/environment/index.cfm
.
f. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction, an applicant must demonstrate site
control. Funds may be recaptured or deobligated from recipients that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
g. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. One of
the purposes of the assistance is to give, to the greatest extent
feasible, and consistent with existing federal, state, and local laws
and regulations, job training,
[[Page 11500]]
employment, contracting and other economic opportunities to Section 3
residents and Section 3 business concerns. Regulations are located at
24 CFR part 135.
IV. Application and Submission Information
A. Address To Request Application Package
Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov./applicants/apply_
for--grants.jsp. If you have difficulty accessing the information you
may call the Grants.gov Support Desk toll free 800-518-GRANTS or e-mail
your questions to Support@Grants.gov. See the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk.
B. Content and Form of Application Submission
1. Forms. The following forms are required for submission. Copies
of these forms are available on line at http://www.grants.gov/applicants/apply_for_grants.jsp
.
a. SF-424, Application for Federal Assistance.
b. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
c. HUD-424-CB, Grant Application Detailed Budget (``HUD Detailed
Budget Form'' on Grants.gov);
d. SF-LLL, Disclosure of Lobbying Activities, if applicable;
e. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
f. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
g. HUD-2993, Acknowledgement of Applicant Receipt. Complete this
form only if you have received a waiver to the electronic application
submission requirement. Applicants submitting electronically are not
required to include this form;
h. HUD-2994-A, You Are Our Client Survey (Optional);
i. HUD-96010, Program Logic Model;
j. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
k. HUD-96011, Third Party Documentation Facsimile Transmittal
(``Facsimile Transmittal Form'' on Grants.gov). This form must be used
as the cover page to transmit third party documents and other
information. Applicants are advised to download the application
package, complete the SF-424 first and it will pre-populate the
Transmittal Cover page. The Transmittal Cover page will contain a
unique identifier embedded in the page that will help HUD associate
your faxed materials to your application. Please download the cover
page and then make multiple copies to provide to any of the entities
responsible for submitting faxed materials to HUD on your behalf.
Please do not use your own fax cover sheet. HUD will not read any faxes
that are sent without the HUD-96011 fax transmittal cover page; and
2. Certifications and Assurances. Please read the General Section
for detailed information on all the Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount requested from HUD (entire three-years)
should be entered, not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact. This person will
receive all correspondence from HUD; therefore, please ensure the
accuracy of the information;
(3) The Employer Identification/Tax ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.519;
(6) The project's proposed start and completion dates. For the
purpose of this application the program start date should be December
1, 2007; and
(7) The signature of the Authorized Organization Representative
(AOR) who, by virtue of submitting an application via Grants.gov, has
been authenticated by the credential provider to submit applications on
behalf of the Institution and approved by the eBusiness Point of
Contact to submit an application via Grants.gov. The AOR must be able
to make a legally binding agreement with HUD.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants submitting an electronic application should not submit the
checklist in their application. Applicants receiving a waiver of the
electronic application submission requirement should include a copy of
the checklist in their application submission. The checklist is located
in Appendix A.
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A clear description of each proposed project activity, where it
will take place (be located), the target population that will be
assisted, and the impact this project is expected to have on the
institution;
(2) A statement that the institution is an eligible institution
because it is a two- or four-year fully accredited institution, the
name of the accrediting agency and an assurance that the accrediting
agency is recognized by the U.S. Department of Education; or the
applicant is a candidate for accreditation by a regional instructional
accrediting association recognized by the U.S. Department of Education,
including the name of the accrediting agency;
(3) The designated contact person, including phone number,
facsimile number, and e-mail address (This is the person who will
receive all correspondence from HUD; therefore, please ensure the
accuracy of the information);
(4) The project director, if different from the designated contact
person for the project, including phone number, facsimile number, and
e-mail address.
d. Narrative statement addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address the factor fully. PLEASE DO NOT REPEAT
MATERIAL IN RESPONSE TO THE FIVE FACTORS; INSTEAD, FOCUS ON HOW WELL
THE PROPOSAL RESPONDS TO EACH OF THE FACTORS. Where there are
subfactors, each subfactor must be presented separately, with the short
title of the subfactor presented. Make sure to address each subfactor
and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
[[Page 11501]]
abstract) and must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one inch margins (from the top,
bottom and left to right side of the document) and printed in standard
Times New Roman 12-point font. Each page of the narrative must include
the institution's name and should be numbered. Note that although
submitting pages in excess of the page limit will not disqualify an
applicant, HUD will not consider the information on any excess pages.
This exclusion may result in a lower score or failure to meet a
threshold requirement. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
5 as one attachment. PLEASE DO NOT ATTACH YOUR RESPONSE TO EACH FACTOR
SEPARATELY. Please follow the instructions on file extension and file
names in the General Section.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``HUD Detailed Budget.'' This form shows the total
budget by year and by line item for the program activities to be
carried out with the proposed HUD grant. Each year of the program
should be presented separately. Applicants must also budget for travel
cost (airfare, lodging and per diem) for two individuals to attend at
least one HUD sponsored TCUP conference/workshop every year of the
three-year grant performance period. To calculate travel expenses,
applicants should use Washington, DC as the site of all conference/
workshop. Applicants must also submit this form to reflect the total
cost for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, HUD-424-CB, and all
other required program forms are consistent and the budget totals are
correct. Remember to check the addition in totaling the categories on
all forms so that all items are included in the total. If there is any
inconsistency between any of the required budget forms, the HUD-424-CB
will be used. All budget forms must be fully completed. If an
application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. Applicants must submit a narrative that
explains how the applicant arrived at the cost estimates for any line
item over $5,000 cumulative. For example, an applicant proposes to
construct an addition to an existing building, which will cost
approximately $200,000. The following cost estimate reflects this
total: Foundation cost $75,000, electrical work $40,000, plumbing work
$40,000, interior finishing work $35,000 and landscaping $10,000. The
proposed cost estimates should be reasonable for the work to be
performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used (please make sure they are kept on file and are
available for review by HUD at any time). All direct labor or salaries
must be supported with mandated city/state pay scales, Davis-Bacon wage
rates/tribally designated wage rate (as appropriate) or other
documentation. When an applicant proposes to use a consultant, the
applicant must indicate whether there is a formal written agreement.
For each consultant, please provide the name, if known, hourly or daily
fee, and the estimated time on the project. Applicants must use cost
estimates based on historical data from the institution and/or from a
qualified firm (e.g., Architectural or Engineering firm), vendor and/or
qualified individual (e.g., independent architect or contractor) other
than the institution for projects that involve rehabilitation of
residential, commercial and/or industrial structures, and/or
acquisition, construction, or installation of public facilities and
improvements. Such an entity must be involved in the business of
rehabilitation, construction, and/or management. Equipment and
contracts cannot be presented as a total estimated figure. For
equipment, applicants must provide a list by type and cost for each
item. Applicants using contracts must provide an individual description
and cost estimate for each contract. Construction costs must be broken
down to indicate how funds will be utilized (e.g., demolition,
foundation, exterior walls, roofing, electrical work, plumbing,
finishing work, etc.).
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants must
have on file, and submit to HUD if selected for award, a copy of their
indirect cost rate agreement. Applicants who are selected for funding
that do not have an approved indirect cost rate agreement, established
by the cognizant federal agency, will be required to establish a rate.
In such cases, HUD will issue an award with a provisional rate and
assist applicants with the process of establishing a final rate.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all required forms in this section. The appendix section of
an application must not exceed 15 pages in length (excluding forms,
budget narrative and assurances). An applicant SHOULD NOT submit
resumes, commitment letters, memoranda of understanding and/or
agreements, or other back-up materials. If this information is
included, it will not be considered during the review process. Each
page must include the applicant's name and should be numbered. HUD will
not consider the information on any excess pages. The additional items
will also slow the transmission of your application.
C. Submission Dates and Times
A complete application package must be received and validated
electronically by the Grants.gov portal no later than 11:59:59 p.m.
eastern time on or before the application deadline date. In an effort
to address any issues with transmission of your application, applicants
are strongly encouraged to submit their applications at least 48 to 72
hours prior to the application deadline. This will allow an applicant
enough time to make the necessary adjustments to meet the submission
deadline in the event Grants.gov rejects the application. Please see
the General Section for further instructions. Electronic faxes using
the Facsimile Transmittal Cover Sheet (Form HUD-96011) contained in the
electronic application must be received no later than 11:59:59 p.m.
eastern time on the application deadline date.
D. Intergovernmental Review
This program is excluded for an Intergovernmental Review.
E. Funding Restrictions
Ineligible activities for funding under this program include, but
are not limited to the following:
1. Renovation of a facility in which the facility is not used at
least 51 percent of the time by the institution;
2. Rental space to another entity that operates a small business
assistance center;
3. Building of a new facility, where the activities are for non-
students or the activities are run primarily by an outside entity;
4. Planning and administrative activities that would result in an
applicant exceeding the 20 percent cost limitations (e.g., preparation/
submission of HUD reports); and
5. Curriculum development and/or expansion on an institution's
existing curriculum.
[[Page 11502]]
F. Other Submission Requirements
1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the electronic submission
and receipt procedures for all applications because failure to comply
may disqualify your application.
2. Waiver of Electronic Submission Requirements. Applicants should
submit their waiver requests in writing using e-mail or fax. Waiver
requests must be submitted no later than 15 days prior to the
application deadline date and should be submitted to:
Susan Brunson, Office of University Partnerships. E-mail:
Susan_S._Brunson@hud.gov. FAX: (202) 708-0309.
Paper applications will not be accepted from applicants that have
not been granted a waiver. If an applicant is granted a waiver, the
Office of University Partnerships will provide instructions for
submission. All applicants submitting applications in paper format must
have received a waiver to the electronic application submission
requirement and the application must be received by HUD on or before
the application deadline date.
V. Application Review Information
A. Criteria
1. Rating Factor 1: Capacity of the Applicant and Relevant
Experience (25 points). This factor addresses the extent to which the
applicant has the resources necessary to successfully implement the
proposed activities in a timely manner.
a. Knowledge and Experience. For First Time Applicants (25 points),
For Previously Funded Applicants (15 points). In rating this subfactor,
HUD will consider the extent to which the applicant clearly addresses
the following:
(1) Describe the knowledge and experience of the proposed project
director and staff, including the day-to-day program manager/
coordinator, consultants (including technical assistance providers),
and contractors in planning and managing the type of project for which
funding is being requested; and
(2) Clearly identify the following: key project team members,
titles (e.g., project manager/coordinator, etc.), respective roles for
the project staff, and a brief description of their relevant
experience.
If key personnel have not been hired, applicants must identify the
position title, provide a description of duties and responsibilities,
and describe the qualifications to be considered in the selection of
personnel, including subcontractors and consultants.
Experience will be judged in terms of recent and relevant knowledge
and skills of the staff to undertake eligible program activities. HUD
will consider experience within the last five (5) years to be recent
and experience pertaining to similar activities to be relevant.
b. Past Performance (10 points) For Previously Funded Grant
Applicants Only. This subfactor will evaluate how well an applicant has
performed successfully under HUD/TCUP grants. Applicants must
demonstrate this by addressing the following information for all
previously completed and open HUD/TCUP grants:
(1) A list of all HUD/TCUP grants received, including the dollar
amount awarded and the amount expended and obligated as of the date of
this application;
(2) A description of the achievement of specific tasks, measurable
objectives, and specific outcomes consistent with the approved project
management plan;
(3) A list detailing the date the project(s) was completed, was it
completed in the original three-year grant performance period; if not
completed, why (including when it was or will be completed);
(4) A comparison of the amount of proposed leveraged funds and/or
resources to the amount that was actually leveraged; and
(5) A detailed description of compliance with all reporting
requirements, including timeliness of submission, whether reports were
complete and addressed all information (both narrative and financial)
as required by the grant agreement.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: the ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities. In evaluating past
performance, HUD reserves the right to deduct up to five (5) points
from this rating score as a result of the information obtained from
HUD's records (i.e., progress and financial reports, monitoring
reports, Logic Model submission, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (10 points). This
factor addresses the extent to which there is a need for funding the
proposed project activities and an indication of the importance of
meeting the need(s). The need(s) described must be relevant to
activities for which funds are being requested. In addressing this
factor, applicants should provide, at a minimum, the following and must
cite statistics and/or analyses contained in at least one or more
current data sources that are sound and reliable.
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
In rating this factor, HUD will consider only current data that is
specific to the area where the proposed project activities will be
carried out. Reliable sources of data may include information that
describes the need, such as a need to have a building renovated because
it is 50 years old and is deteriorating; a new computer lab has been
built, but the computers are obsolete; a library has been expanded, but
the books are outdated, local/Tribal crime statistics, Indian Housing
Plans, etc. When presenting data, include the source and date of the
information.
3. Rating Factor 3: Soundness of Approach (44 points). This factor
addresses the quality and effectiveness of the proposed work plan and
the commitment of the institution to sustain the proposed project
activities.
a. (40 Points) Quality of Work Plan. HUD will evaluate this
subfactor based on the extent to which an applicant provides a clear
detailed description of the proposed project activities, anticipated
accomplishments and the impact they will have on the target population
at the end of the project.
(1) (35 points) Specific Activities. The work plan must describe
all proposed project activities and major tasks required to
successfully implement them. The work plan must also identify the
anticipated accomplishments and impact these activities will have on
the targeted population. In addressing this subfactor, applicants must
provide a clear description of each proposed project activity and
address the following:
(a) Describe each proposed project activity in measurable terms
(e.g., fifty or more students will be receiving computer literacy
training, the number of new classes that will be taught as a result of
building a new structure);
(b) Identify the major tasks in sequential order necessary to
successfully implement and complete each proposed project activity.
Include the target completion dates for the tasks (6 month intervals,
up to 36 months);
(c) List and describe how each activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
Benefit low- and moderate-income persons;
Aid in the prevention or elimination of slums or blight;
or
Meet other community development needs having a particular
[[Page 11503]]
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
objective are provided at 24 CFR 570.208;
(d) Describe the measurable objectives/outcomes that will be
realized as a result of implementing the proposed project; and
(e) Identify the key staff, as described in Factor 1, who will be
responsible for completing each task.
(2) (5 points) Describe clearly how each proposed project activity
will:
(a) Address the needs identified in Factor 2; and
(b) Relate to and not duplicate other activities in the target
area.
b. (2 points) Involvement of the Faculty and Students. The
applicant must describe how it proposes to integrate the institution's
students and faculty into the proposed project activities.
c. (2 points) HUD Policy Priorities. As described in the General
Section, to earn points under this subfactor, HUD requires applicants
to undertake specific activities that will assist the Department in
implementing its policy priorities and that help the Department achieve
its goals and objectives in FY 2008, when the majority of grant
recipients will be reporting programmatic results and achievement. In
addressing this subfactor, HUD will evaluate the extent to which a
program will further and support HUD priorities. The quality of the
responses provided to one or more of HUD's priorities will determine
the score an applicant can receive. Applicants must describe how each
policy priority is addressed. Applicants that just list a priority will
receive no points.
The total number of points an applicant can receive under this
subfactor is two . Each policy priority addressed has a point value of
one point, with the exception of the policy priority related to removal
of regulatory barriers to affordable housing, which has a value of up
to two points. To receive these two (2) points, an applicant must: (1)
Complete either Part A or Part B (not both), (2) include appropriate
documentation, (3) identify a point of contact, (4) indicate how this
priority will be addressed, and (5) submit the completed questionnaire,
(HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers''
found in the General Section along with required documentation. It is
up to the applicant to determine which of the policy priorities they
elect to address to receive the available two (2) points.
4. Rating Factor 4: Leveraging Resources (9 points). This factor
addresses the ability of the applicant to secure resources that can be
combined with HUD's grant funds to achieve the program's purpose.
HUD will consider the extent to which the applicant established
partnerships with other entities to secure additional resources to
increase the effectiveness of the proposed program activities.
Resources may include funding or in-kind contributions, such as
services or equipment, allocated for the purpose(s) of the proposed
project. Resources can be provided by governmental entities (e.g.,
Tribal, federal, and/or state governments), public or private nonprofit
organizations, for-profit private organizations, or other entities.
Overhead and other institutional costs (e.g., salaries, indirect costs)
that the institution has waived can be counted. Examples of potential
sources for outside assistance include:
Tribal, federal, state, and local governments
Tribally Designated Housing Entities
Local or national nonprofit organizations
Banks and/or private businesses
Foundations
Faith-based and other community-based organizations.
To address this factor, an applicant must provide an outline in the
application and have the original written commitment letters, memoranda
of understanding and/or agreements that show the extent and firm
commitment of all proposed leveraged resources (including any
commitment of resources from the applicant's own institution) that
address the following information for each leveraged resource/fund on
file at the time of application submission:
(1) The name of the organization and the executive officer
authorizing the funds/goods and/or services (Only applicable to the
narrative section)
(2) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and its use is not
shown, the value of the contribution will not be scored for award);
(3) A specific description of how each contribution is to be used
toward the proposed activities;
(4) A description of the current and/or past working relationship
that the institution has with the organization contributing the
resources and the involvement it will have with this proposed project.
(5) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(6) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(7) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. (Only applicable to
the written documentation) Please remember that only items eligible for
funding under this program can be counted.
DO NOT submit commitment letters, memoranda of understanding and/or
agreements are not required at the time of application submission but
have the originals on file at the time of submission. IF THIS
INFORMATION IS INCLUDED, IT WILL NOT BE CONSIDERED DURING THE REVIEW
PROCESS. Applicants chosen to proceed to the next step in the selection
process will be required to submit the signed commitment letters,
memoranda of understanding and/or agreements outlined in the
application, within seven (7) calendar days after initial contact from
the Office of University Partnerships (OUP). OUP will provide specific
instructions on how these documents must be submitted at that time.
Letters, memoranda of understanding, or agreements must be submitted on
the provider's letterhead and should be addressed to Sherone Ivey,
Associate Deputy Assistant Secretary for University Partnerships. The
date of the letter, memorandum of understanding, or agreement from the
CEO of the provider organization must be dated no earlier than nine
months prior to this published NOFA. OUP will provide specific
instructions on how these documents must be submitted when contact is
made with the applicant. HUD will only request and consider the
resources/organizations outlined in the application. If OUP does not
receive those documents with the required information and within the
allotted timeframe, an applicant will not receive points under this
factor.
In scoring this factor, HUD will award:
Nine (9) points to an applicant that provides properly
documented leveraging resources as listed in their application that are
10 percent or more of the amount requested under this program;
Seven (7) to eight (8) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 7 to 9 percent of the amount
requested under this program;
[[Page 11504]]
Five (5) to six (6) points to applicants that provide
documentation that includes at least four of the seven required items
outlined above and that represents 7 to 9 percent of the amount
requested under this program;
Three (3) to four (4) points to applicants that provide
documentation that includes at least five of the seven required items
outlined above and that represents 4 to 6 percent of the amount
requested under this program;
One (1) to two (2) points to applicants that provide
documentation that includes at least three of the required seven items
outlined above and that represents 4 to 6 percent of the amount
requested under this program; and
Zero (0) points to applicants that provide document
leveraging resources as listed above that are less than 4 percent of
the amount requested.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved by using the Logic Model. The Logic Model is a summary of the
narrative statements presented in Factors 1-4. Therefore, the
information submitted on the Logic Model should be consistent with the
information contained in the narrative statements.
``Outcomes'' are benefits accruing to institutions of higher
education during or after participation in the TCUP program. Applicants
must clearly identify the outcomes to be measured and achieved.
Examples of outcomes include an increased number of campus facilities
(e.g., newly built or renovated), an increased number of classroom
spaces available, or an increased student enrollment and graduation
rate.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the project 's activities. Examples of
outputs are the number of new facilities renovated, or the number of
new dormitories built. Outputs should produce outcomes for the project.
At a minimum, an applicant must address the following activities in the
evaluation plan:
a. Short- and long-term objectives to be achieved;
b. Measurable outcomes the grant will have on the university or the
target population;
This information must be included under this section on a HUD-
96010, Program Logic Model form. HUD has developed a new approach to
completing this form. Please carefully read the General Section for
instructions, training is available. (Form HUD-96010 will be excluded
from the page count.) If an applicant utilizes ``other'' from the Logic
Model categories, then the applicant should describe briefly this
``other'' category within the Rating Factor 5 narrative. If a narrative
is provided, those pages will be included in the page count.
B. Review and Selection Process
1. Application Selection Process
Two types of reviews will be conducted:
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors
`` listed in Section V.A. above.
Only those applications that pass the threshold review will receive
a technical review and be rated and ranked.
2. Rating Panels. To review and rate applications, HUD may
establish panels that may include experts or consultants not currently
employed by HUD to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be considered for
funding, an applicant must receive a minimum score of 75 points out of
a possible 100 points; plus up to two bonus points that may be awarded
for activities conducted in the RC/EZ/EC-II communities, as described
in the General Section. If two or more applications have the same
number of points, the application with the most points for Factor 3
shall be selected. If there is still a tie, the application with the
most points for Factor 1shall be selected. If there is still a tie, the
application with the most points for Factor 2, 4, and then 5 shall be
selected in that order, until the tie is broken. HUD reserves the right
to select out of rank order to provide for geographic distribution of
grantees.
HUD also reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funds remain after funding the highest
ranked applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down the award offer, HUD will make
an award to the next highest-ranking application. If funds remain after
all selections have been made, the remaining funds will be carried over
to the next funding cycle's competition.
4. Corrections to Deficient Applications. See the General Section.
C. Anticipated Announcement and Award Dates.
Announcements of awards are anticipated on or before September 30,
2007.
VI. Award Administration Information
A. Award Notice
After all selections have been made, HUD will notify all winning
applicants in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further discussion on this matter, please refer to the
General Section.
B. Administrative and National Policy Requirements
Refer to the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing to: Sherone Ivey, Office of University Partnerships, Department
of Housing and Urban Development, 451 Seventh Street, SW, Room 8106;
Washington, DC 20410-6000. Applicants may also write to Ms. Ivey via e-
mail at Sherone_E._Ivey@hud.gov.
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The General Section provides discussion
of OMB circulars and governmentwide regulations.
4. Code of Conduct. See the General Section for further discussion.
5. Procurement of Recovered Materials. See the General Section for
further discussion.
6. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Toward
[[Page 11505]]
Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects. See the General Section for further discussion
if applicable.
7. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). See the General Section for
further discussion.
C. Reporting
All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary report
during the reporting period.
For each reporting period, 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 FY2007, 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
Applicants may contact Sherone Ivey at (202) 708-3061, extension
4200, or Susan Brunson at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service TTY at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. Applicants may also reach Ms. Ivey via e-
mail at
Sherone_E._Ivey@hud.gov, and Ms. Brunson at Susan_S._Brunson@hud.gov.
VIII. Other
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 number 2528-0215. 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 68 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, quarterly and final report. 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.
Appendix A--Application Checklist--TCUP
This checklist identifies application submission requirements.
Applicants are requested to use this checklist when preparing an
application to ensure submission of all required elements. Applicants
submitting an electronic application do not have to submit the
checklist. Applicants that receive a waiver of the electronic
application submission requirement should include a copy of the
checklist in their application.
Check off to ensure these items have been included in the
application:
----SF-424 ``Application For Federal Assistance''
----Application Checklist (Applicants that submit paper applications
must include the checklist in their applications)
----Abstract (must include no more than a two-page summary of the
proposed project)
Indicate the page number where each of the Factors is located:
Narrative Statement Addressing the Rating Factors. The narrative
section of an application must not exceed 50 pages in length (excluding
forms, budget narrative and abstract). This information must be
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the
paper, with one-inch margins (from the top, bottom, and left and right
sides of the documents) and printed in standard Times New-Roman 12-
point font. Applicants that submit applications via Grants.gov should
review the General Section for information about file names and
extensions. File names should not contain spaces or special characters.
----Factor-I
----Factor-II
----Factor-III
----Factor-IV
----Factor-V
----HUD-96010 Logic Model
Check off to ensure these items have been included in the
application:
----Appendix. The appendix section of an application must not exceed 15
pages in length (excluding forms, budget narrative and assurances).
----Budget
----HUD 424-CB ``Grant Application Detailed Budget'' (``HUD Detailed
Budget Form'' on Grants.gov).
----Budget Narrative (No form provided, but must be submitted for the
total three-year grant period.
Appendix B--All Required Forms
The following forms are required for submission. All required forms
are contained in the electronic application package.
----Application for Federal Assistance (SF-424);
----Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement); (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov).
----Disclosure of Lobbying Activities (SF-LLL); if applicable
----Questionnaire for HUD's Removal of Regulatory Barriers (HUD-27300)
(``HUD Communities Initiative Form'' on Grants.gov), if applicable;
----Applicant/Recipient Disclosure Update Report (HUD-2880) (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
----Certification of Consistency with RC/EZ/EC-II Strategic Plan (HUD-
2990), if applicable;
----Acknowledgement of Applicant Receipt (Only applicants who submit
paper applications (HUD-2993);
----Client Comments and Suggestions (HUD-2994);
----You Are Our Client Survey (HUD-2994-A); and
----Logic Model (HUD-96010).
----Third Party Documentation Facsimile Transmittal (HUD-96011)
(``Facsimile Transmittal Form'' on Grants.gov) required as the cover
page to third party documents transmitted by facsimile to HUD.
[[Page 11506]]
[GRAPHIC] [TIFF OMITTED] TN13MR07.010
[[Page 11507]]
Fair Housing Initiatives Program
Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Fair Housing and Equal Opportunity
B. Funding Opportunity Title: Fair Housing Initiatives Program
(FHIP)
C. Announcement Type: Initial Announcement
D. Funding Opportunity Number: The OMB Approval Number is 2529-
0033. The Federal Register number for this NOFA is FR-5100-N-24.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Private
Enforcement Initiative (PEI); Education and Outreach Initiative (EOI)
14.408.
F. Dates: The application deadline date shall be on or before May
3, 2007. Applications must be received and validated by Grants.gov no
later than 11:59:59 pm on the application deadline date. Please see the
General Section of the SuperNOFA (the General Section) for information
on electronic deadline and timeliness requirements.
G. Optional, Additional Overview Content Information:
1. Funding Breakdown. This year there are two initiatives, Private
Enforcement and Education and Outreach Initiatives. The following is a
breakdown of each Initiative:
a. Private Enforcement Initiative (PEI)
(1) General Component, and
(2) Performance Based Funding Component
b. Education and Outreach Initiative (EOI)
(1) Regional/Local/Community-Based
(a) General Component
(b) Clinical Law School Component. This Component is being
established to train and develop legal practitioners in the fair
housing arena. Applicants are Minority Serving Institution agencies (as
determined by the Department of Education's Web site) with an
accredited American Bar Association law school and is geared to the
development and implementation of a legal curriculum as it relates to
fair housing.
(2) National-Based Media Campaign Component.
2. Electronic Applications. For FY2007, FHIP electronic
applications will be available on http://www.Grants.gov//Fand_grant_opportunities.jsp and http://www.grants.gov//Apply_for_grants.jsp.
s.gov//Apply_for_grants.jsp.
For further instructions on electronic application submission
requirements using Grants.gov, please read the General Section.
3. Fair Housing Initiatives Program (FHIP) Funding. FHIP funds are
used to increase compliance with the Fair Housing Act (the Act) and
with substantially equivalent State and local fair housing laws.
Approximately $18.1 million in FY 2007 funds and any potential
recapture is allocated to two (2) initiatives as follows:
a. Private Enforcement Initiative (PEI) $14 million;
b. Education and Outreach Initiative (EOI) $4.1 million.
4. Award Agreements. HUD expects to award a cost reimbursable
cooperative agreement or grant agreement to each applicant selected for
award. Upon completion of negotiations, HUD reserves the right to use
the funding instrument it determines is most appropriate.
5. Eligible Applicants. Eligible applicants are Qualified Fair
Housing Enforcement Organizations (QFHOs) and Fair Housing Enforcement
Organizations (FHOs), see 24 CFR 125.103; public or private, for-profit
or not-for-profit organizations or institutions and other public or
private entities that are formulating or carrying out programs to
prevent or eliminate discriminatory housing practices (including
entities that will be established as a result of receiving an award
under this FHIP NOFA); agencies of State or local governments; and
agencies that participate in the Fair Housing Assistance Program
(FHAP).
6. Private Enforcement Initiative--Performance-Based Funding
Component. Applicants awarded funding under the PEI-(PBFC) for FY 2007
will not be eligible to submit applications for additional FHIP funding
for FY2008 and FY 2009. Applicants awarded funding under this component
will be eligible to apply for additional PEI funding in FY2010.
Applicants awarded PBFC funding in FY 2005 and 2006 are not eligible to
submit applications for additional PEI funding for a three-year period.
Should the grantee's performance for FY2007 be assessed by your HUD
Government Technical Representative (GTR) as anything less than an
``Excellent'' then the grantee will be ineligible to receive PBFC
funding in the second year (FY2008). The same applies if the grantee
receives less than an ``Excellent'' performance assessment in FY2008
then they will be ineligible to receive PBFC funding in the third year
(FY2009), but may apply for FHIP funds under another component as
appropriate.
7. Start Date. For planning purposes, assume a start date no later
than October 19, 2007.
Full Text of Announcement
I. Funding Opportunity Description
Authority. Section 561 of the Housing and Community Development Act
of 1987, as amended, (42 U.S.C. 3616) established the FHIP. The
implementing regulations are found at 24 CFR Part 125. If you are
interested in applying for funding under the FHIP, please review
carefully the General Section of the SuperNOFA (hereafter, the General
Section), the FHIP Authorizing Statute (Sec. 561 of the Housing and
Community Development Act of 1987, as amended), and the FHIP
Regulations (24 CFR 125.103-501).
A. FHIP Initiatives and Components
The FHIP assists fair housing activities that increase compliance
with the Act and with substantially equivalent fair housing laws
administered by State and local government agencies under the Fair
Housing Assistance Program (FHAP).
1. Private Enforcement Initiative (PEI). This Initiative assists
private, tax-exempt fair housing enforcement organizations in the
investigation and enforcement of alleged violations of the Act and
substantially equivalent State and local fair housing laws. Under this
Initiative, there are two Components, the General Component and the
Performance-Based Funding Component.
2. Education and Outreach Initiative (EOI). This Initiative assists
organizations that inform the public about their rights and obligations
under the Act and substantially equivalent State and local fair housing
laws. Applications are solicited for this Initiative under the EOI-
Regional/Local/Community-Based Program (R/L/C-B) and the EOI--National-
Based Program in which activities are conducted on a nationwide basis.
Applicants who apply under EOI R/L/C-B may apply under one or more
of the following Components, as follows: EOI General Component and the
EOI Clinical Law School Component. Applicants who apply under EOI-
National-Based Program may apply under the Media Campaign Component.
All applications submitted under EOI are required to describe a
referral process that will result in referrals of fair housing
complaints to HUD or Fair Housing Assistance Program (FHAP)
substantially equivalent agencies. If funded, you will be required to
develop your complaint referral process.
[[Page 11508]]
B. Other
1. Program Definitions. The definitions that apply to this FHIP
section of the NOFA are as follows:
a. Broad-based proposals are those that address more than one type
of housing transaction covered under the Act. Examples of covered
housing transactions include the: rental, sales, or financing of
housing. (See also Full Service Projects below).
b. Complainant means the person, including the Assistant Secretary
for Fair Housing and Equal Opportunity at HUD, who files a complaint
under Section 810 of the Fair Housing Act.
c. Disability Advocacy Groups means organizations that
traditionally have provided for the civil rights of persons with
disabilities. This would include organizations such as Independent
Living Centers and cross-disability legal services groups. Such
organizations must be experienced in providing services to persons with
a broad range of disabilities, including physical, cognitive, and
psychiatric/mental disabilities. Such organizations must demonstrate
actual involvement of persons with disabilities throughout their
activities, including on staff and board levels.
d. Enforcement proposals are potential complaints under the Act
that are timely, jurisdictional, and well-developed, that could
reasonably be expected to become enforcement actions if an impartial
investigation found evidence supporting the allegations and the case
proceeded to a resolution with HUD or FHAP agency involvement.
e. Fair Housing Act means Title VIII of the Civil Rights Act of
1968 as amended by the Fair Housing Amendments Act of 1988 (42 U.S.C.
3600-3620).
f. Fair Housing Assistance Program (FHAP) agencies mean State and
local fair housing enforcement government agencies that receive FHAP
funds because they administer laws deemed substantially equivalent to
the Act, as described in 24 CFR 115.
g. Fair Housing Enforcement Organization (FHO) means an
organization engaged in fair housing activities as defined in 24 CFR
125.103.
h. Full-service projects must include the following enforcement-
related activities in the project application: interviewing potential
victims of discrimination; taking complaints; testing; evaluating
testing results; conducting preliminary investigations; conducting
mediation; enforcing meritorious claims through litigation or referral
to administrative enforcement agencies; and disseminating information
about fair housing laws.
i. Grassroots organizations (See General Section).
j. Jurisdiction means that the complaint must be timely filed; the
complainant must have standing; the respondent and the dwelling
involved (where the complaint involves a provision or denial of a
dwelling) must be covered by the Act; and the subject matter and the
basis of the alleged discrimination, must constitute illegal practices
as defined by the Act.
k. Meritorious claims means enforcement activities by an
organization that resulted in lawsuits, consent decrees, legal
settlements, HUD or substantially equivalent agency (under 25 CFR
115.6) conciliations and organization initiated settlements with the
outcome of monetary awards for compensatory and/or punitive damages to
plaintiffs or complaining parties, or other affirmative relief,
including the provision of housing (24 CFR 125.103).
l. Mortgages with unacceptable terms or conditions or resulting
from unacceptable practices means a mortgage or a group or category of
mortgages with one or more of the terms and conditions as specified
under 24 CFR Part 81.2.
m. Operating budget means an organization's total planned budget
expenditures from all sources, including the value of in-kind and
monetary contributions, in the period for which funding is requested.
n. Qualified Fair Housing Enforcement Organization (QFHO) means an
organization engaged in fair housing activities as defined in 24 CFR
125.103.
o. Regional/Local/Community-Based Activities are defined at 24 CFR
125.301(a) and (d).
p. Rural Areas means the following:
(1) A non-urban place having fewer than 2,500 inhabitants (within
or outside of the metropolitan areas).
(2) A county or parish with an urban population of 20,000
inhabitants or less.
(3) Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
q. Traditional Civil Rights Organizations mean non-profit
organizations or institutions and/or private entities with a history
and primary mission of securing Federal civil rights protection for
groups and individuals protected under the Act or substantially
equivalent State or local laws and that are engaged in programs to
reduce discriminatory housing practices.
r. Underserved Areas mean jurisdictions where there are no Fair
Housing Initiatives Program or Fair Housing Assistance Program agencies
and where either no public or private fair housing enforcement
organizations exist or the jurisdiction is not sufficiently served by
one or more public or private enforcement fair housing organizations
and there is a need for service.
s. Underserved Populations mean groups of individuals who fall
within one or more of the categories protected under the Act and who
are:
(1) of an immigrant population (especially racial and ethnic
minorities who are not English-speaking or limited English proficient);
(2) in rural populations,
(3) the homeless,
(4) persons with disabilities (i.e., physical) who can be
historically documented to have been subject to discriminatory
practices not having been the focus of Federal, State or local fair
housing enforcement efforts, or
(5) areas that are heavily impacted with minorities and there is
inadequate protection and ability to provide service from the State or
local government or private fair housing organizations.
II. Award Information
For Fiscal Year 2007, $20 million is appropriated for the Fair
Housing Initiatives Program (FHIP). This appropriated amount may be
supplemented by recaptured funds. Of this amount, approximately $18.1
million is being made available on a competitive basis to eligible
organizations responding to this FHIP NOFA. See the chart in Section
III.A. for a breakdown by Initiative/Component.
A. Award Instrument. The type of funding instrument HUD may offer a
successful applicant which sets forth the relationship between HUD and
the grantee will be a grant or cooperative agreement, where the
principal purpose is the transfer of funds, property, services, or
anything of value to the applicant to accomplish a public purpose. The
agreement will identify the eligible activities to be undertaken,
financial controls, and special conditions, including sanctions for
violations of the agreement. HUD will determine the type of instrument
under which the award will be made and monitor progress to ensure that
the grantee has achieved the objectives set out in the agreement.
Failure to meet such objectives may be the basis for HUD determining
the agreement to be in default and exercising available sanctions,
including suspension, termination, and/or the recapture of funds. Also,
HUD may refer violations or suspected violations to enforcement offices
within HUD, the Department of
[[Page 11509]]
Justice, or other enforcement authorities.
If funds are awarded as a Cooperative Agreement, HUD will also
exercise the right to have substantial involvement by: conducting
quarterly reviews and approval of all proposed deliverables documented
in the applicant's Work Plan or Statement of Work (SOW), and
determining whether the agency meets all certification and assurance
requirements. HUD will conduct this performance assessment, in part, by
using the Logic Model (HUD-96010) submitted by the applicant and
approved by HUD in the award agreement (rating Factor 5). If upon
completion of this assessment by the Government Technical
Representative (GTR) a determination is made that the quarterly
requirements have not been met, the grantee will be obligated to
provide additional information or make modifications to its work plan
and activities, as necessary, in a timeframe to be established by the
GTR.
B. Project Starting Period. For planning purposes, assume a start
date no later than October 19, 2007.
III. Eligibility Information
A. Eligible Applicants and Activities
The following chart details each FHIP Initiative/Component and the
approximate Funding Available along with Eligible Applicants and
Activities:
----------------------------------------------------------------------------------------------------------------
Allocation Applicant
Initiative/component amount Applicant Project period Award caps eligible
available eligibility activities
----------------------------------------------------------------------------------------------------------------
Private Enforcement $1,000,000 Fair Housing 12-18 months.... $275,000........ Eligible
Initiative (PEI) General Enforcement activities
Component: Assists private, Organizations include: (1)
tax-exempt fair housing (FHOs) with at Complaint
enforcement organizations in least one year intake of
the investigation and of experience allegations of
enforcement of alleged in complaint housing
violations of the Fair intake, discrimination
Housing Act and complaint , testing
substantially equivalent investigation, evaluating
State and local fair housing testing for testing
laws. fair housing results, or
violations, providing
and other
meritorious investigative
claims in the and complaint
two years support for
prior to the administrative
filing of the and judicial
application enforcement of
(24 CFR fair housing
125.401(b)(2) laws: (2)
and Qualified Investigation
Fair Housing of individual
Enforcement complaints and
Organizations systemic
(QFHOs) with housing
at least two discrimination
years of for further
enforcement enforcement
related processing by
experience as HUD through
noted above, testing and
and other
meritorious investigative
claims in the methods; (3)
three years Mediation or
prior to other
filing this voluntary
application resolution of
(24 CFR allegations of
125.103). fair housing
discrimination
after a
complaint has
been filed;
and (4)
litigating
fair housing
cases
including
procuring
expert
witnesses.
Private Enforcement $13,000,000 QFHOs and FHOs 36 months....... $275,000 per See PEI above.
Initiative (PEI) Performance (with at least year for a
Based Funding Component one year of three-year
Assists private, tax-exempt enforcement duration, based
fair housing enforcement related upon
organizations in the experience) appropriations.
investigation and who have Eligible PBFC
enforcement of alleged received applicants must
violations of the Fair excellent receive a
Housing Act and performance minimum score
substantially equivalent reviews for of 95 from the
State and local fair housing FHIP PEI FY '07
laws. awards made in Technical
any two FY's Evaluation
(FY pertains Panel (TEP) to
to the year be considered
for which the for funding.
funding was
appropriated)
beginning with
FY 2003
through FY
2005; and have
received a
minimum score
of 95 on the
most recent of
the 2
performance
reviews from
their
Government
Technical
Representative.
[[Page 11510]]
EOI General Component Open to $2,600,000 QFHOs, FHOs, 12-18 months.... 100,000......... For a list of
applicants for all other public or Eligible
fair housing education and private for Activities See
outreach activities. In profit or not EOI above.
addition to all other for profit
education and outreach organizations
activities, applicants may or
also address the fair institutions,
housing needs of persons or other
with disabilities, the public or
education of consumers about private
fair housing, financial entities that
literacy, credit management, carry out
and how to avoid high cost programs to
loans and abusive lending prevent or
practices that violate the eliminate
Fair Housing Act. discriminatory
housing
practices.
This includes
agencies of
State or local
governments
and agencies
that
participate in
the Fair
Housing
Assistance
Program
(FHAP). See
FHIP NOFA-
Eligibility
Information.
EOI--Clinical Law School $500,000 Same as EOI 12-18 months.... 500,000......... See above.
Component Applications are above. In
solicited for this component addition,
to organize and operate a applicant
fair housing legal-clinical must: (1) Be
education program that will recognized by
benefit the public by the American
producing well-trained Bar
clinicians and lawyers who Association as
are capable of educating and having an
informing the public on fair accredited law
housing rights and school; (2) Be
obligations. legally
authorized by
the State in
which it is
located to
provide a
bachelor's
degree program
and a law
degree
program; and
(3) Be
designated by
the Secretary
of the U.S.
Department of
Education as a
Minority
Serving
Institution
College or
University.
EOI--National-Based Program-- 1,000,000 Same as EOI 12 months....... $1,000,000...... See above.
Media Campaign Component. above. In
Applicants who submit addition,
applications under the EOI applicants
National-Based Media must have five
Campaign must provide a years of
centralized coordination experience as
effort for the development, an
implementation, and advertisement/
distribution of a fair media
housing media campaign organization,
designed for the 40th and must
Anniversary of the signing include in its
of the Fair Housing Act as proposal a
part of FY2008's Fair subcontract
Housing Month Activities. with an
established
fair housing
organization.
----------------------------------------------------------------------------------------------------------------
Eligibility of Successor Organizations for PEI. HUD recognizes that
QFHOs and FHOs may merge with each other or other organizations. The
merger of a QFHO or an FHO with a new organization, that has a separate
Employer Identification Number (EIN), does not confer QFHO or FHO
status upon the successor. To determine whether the successor
organization meets the eligibility requirements for this Initiative,
HUD will look at the enforcement-related experience of the successor
organization (based upon the successor organization's EIN). The
successor organization is not eligible to apply under this Initiative
unless it establishes in its application that it is a private, tax-
exempt organization with the requisite two years of enforcement related
experience for a QFHO or one year experience for an FHO.
B. Cost Sharing or Matching. No matching funds are required for the
Education and Outreach or Private Enforcement Initiatives.
C. Other
1. Threshold Requirements
Program Requirements for All Initiatives. In addition to the civil
rights and other threshold requirements found in the General Section,
FHIP program applications must also meet the following requirements:
a. Protected Classes. All FHIP-funded projects must address housing
discrimination based upon race, color, religion, sex, disability,
familial status, or national origin. All services and activities must
be available to the protected class members.
b. Tax Exempt Status. Applicants for the PEI Initiative are
ineligible for funding if they are not a 501(c)(3) tax-exempt
organization as determined by the Internal Revenue Service (IRS) prior
to the application deadline date.
c. Name Check Review. See the General Section.
d. Poor Performance. All applicants are ineligible for funding if
they are a previous FHIP grantee that has received a ``Poor''
performance rating for its most recent performance rating from its
Government Technical Representative (GTR). HUD will assess performance
ratings for applicants who have received FHIP funding in FY 2003
through FY 2005. If the applicant has received a ``poor'' performance
rating for its most
[[Page 11511]]
recent performance rating from its GTR, its application is ineligible
for the FY 2007 competition. An applicant that does not agree with its
determination of ineligibility for the FY 2007 competition because of
``poor'' performance must address to HUD's satisfaction the factors
resulting in the ``poor'' performance rating before the FHIP
application deadline date. If the ``poor'' performance rating is not
resolved to the Department's satisfaction before the application
deadline date, the application is ineligible for the FY 2007 FHIP NOFA
competition. HUD is interested in improving the performance level of
all grantees; therefore, applicants who are deemed ineligible because
of a ``poor'' performance rating have the right and are encouraged to
seek technical assistance from HUD to correct their performance in
order to be eligible for future NOFA competition. Applicants who have
received a ``poor'' performance prior to FY 2004 must provide written
documentation that they have implemented remedies to address those
issues and concerns that contributed to a ``poor'' performance rating.
This written documentation should be an addendum to the abstract.
e. Suits Against the United States. An application is ineligible
for funding if, as a current or past recipient of FHIP funds, the
organization used any funds provided by HUD for the payment of expenses
in connection with litigation against the United States (24 CFR
125.104(f)).
f. Other Litigation. An application is ineligible for funding if
the organization used funds provided by HUD under this Program to
settle a claim, satisfy a judgment, or fulfill a court order in any
defensive litigation (24 CFR 125.104).
g. Maximum award. Applicants are ineligible for funding if they
request funding in excess of the maximum allowed under the Initiative
or Component for which they are applying. In addition, inconsistencies
in the amount requested and/or miscalculations that result in amounts
over the maximum award will be considered excessive; therefore the
application will be considered ineligible.
h. Dun and Bradstreet Numbering System (DUNS) Numbering
Requirement. Refer to General Section for information regarding the
DUNS requirement. You will need a DUNS number to complete your
electronic application as it is a mandatory field on the electronic
application. The Grants.gov registration also requires use of the DUNS
number.
i. Majority of Eligible Activities. Greater than 50 percent of the
activities and costs within the Statement of Work (SOW) and budget are
fair housing related activities.
j. Fair Housing Assistance Program (FHAP). FHAP agencies who are
under a suspension based on agency performance, as designated under 24
CFR Part 115.211(b) at time of application are ineligible for funding.
k. Minimum Technical Evaluation Panel (TEP) Score. Applicants must
receive a minimum TEP score of 75 to be considered for funding.
l. Application Preference. Applicants may submit multiple
applications to the FHIP. For those applicants who submit multiple
applications the following applies: EOI applicants may receive an EOI
General, and a EOI Clinical Law School Component, or EOI National-Based
Program Media Campaign Component award.
m. Independence of Awards. The application submitted must be
independent and capable of being implemented without reliance on the
selection of other applications.
n. Training funds. The proposed budget must set aside funds to
participate in HUD mandatory sponsored or approved training in the
amount of $7,000 for EOI and PEI components; and $7,000 annually for a
36-month duration for PBFC.
Do not include amounts over the $7,000 (as appropriate) for the
training set-aside in this category. If applicants do not include these
funds in the budget and are selected for an award, HUD will modify the
budget, reallocating the appropriate amount for training.
o. Accessibility Requirements. All activities, facilities, and
materials funded by this program must be accessible and visitable to
persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
p. Fair Housing Act. HUD expects applicants to address housing
discrimination covered under the Act. HUD has determined there is a
need to ensure equal opportunity and access to housing in communities
across the nation.
q. Research Activities. Applicants are ineligible for funding if
between 90-100% of their project is aimed at research.
r. Limited English Proficient (LEP). Applicants obtaining an award
from HUD must provide access to program benefits and information to LEP
individuals through translation and interpretive services in accordance
with HUD's published LEP Guidance.
s. OMB Circular. For-profit awardees are not allowed to earn a
profit and must adhere to OMB Circular A-133.
t. Single Audit Requirement. All applicants who have expended
$500,000 or more in Federal financial assistance within a fiscal year
single year (this can be a program or fiscal year) must be audited in
accordance with the OMB-A133 requirements as established in 24 CFR 84
and 85.
u. Reimbursement Requirement. All PEI grantees are required to
reimburse the Federal government for the amount of the grant from all
settlements, conciliations, and agreements obtained as a result of the
use of FHIP funds. As an alternative to returning these funds to HUD,
grantees may choose to use the funds as program income to further fair
housing activities. However, the use of funds for this purpose must be
pre-approved in writing by the Government Technical Representative
assigned to the grant.
v. Clinical Law School Component. To qualify as an applicant under
this Component, an institution must:
(1) Be recognized by the American Bar Association as having an
accredited law school;
(2) Be legally authorized by the State in which it is located to
provide a bachelor's degree program and a law degree program;
(3) Be designated by the Secretary of the U.S. Department of
Education as a Minority Serving Institution College or University, and
(4) Have a high enrollment of needy students defined by 34 C.F.R
607.3. Applicants must submit documentation from the U.S. Department of
Education establishing eligibility (except for item (1) above).
w. National Based Program--Media Campaign Component Applications.
Applicants who submit applications under the Media Campaign Component
must have as their primary responsibility advertisement and media and
have at least five years of experience as an advertisement/media or
public relations organization. In addition, applicants must include as
part of its proposal a subcontract with an established fair housing
organization. Applicants that fail to meet this requirement or include
such subcontract arrangements in their proposals will be ineligible for
funding.
2. Other Program Requirements by Initiative. Under the PBFC,
applicants must receive a minimum FY 2007 TEP score of 95 to be
considered for funding.
3. Performance Measures and Products. For all Initiatives and
Components. Applicants must submit a Logic Model (Form HUD 96010),
which provides outputs and outcomes in their application. Applicants
are also to identify the tools they will use to
[[Page 11512]]
identify program progress against their proposed outputs and outcomes.
See reporting requirements for reporting using the Logic Model and the
frequency of the reporting. The form is located in the Instruction
Download at http://www.grants.gov/applicants/apply__ for--grants.jsp
for the FHIP program. An example of a completed Logic Model is included
within this NOFA. The eLogic Model form is a Microsoft Excel
TM form, which provides a drop down list from which you
select the responses that best fit your proposed program of activities/
outputs and outcomes. The form, in HTML fillable format and a text
Logic Model Master file, is available on the Web site at http://www.grants.gov/applicants/apply_for_grants.jsp
for applicants that do
not have access to Microsoft ExcelTM. Training will be
provided by satellite broadcast and webcast. The training materials and
schedule will be available at the above HUD Web site. Applicants should
check the site for dates and times for HUD training on the Logic Model.
For FY2007, 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 Return on Investment (ROI) concept.
4. Testing Requirements for PEI applicants. All applicants that
propose testing must review the FHIP Regulation at 24 CFR Part 125.
a. Review and Approval of Testing Methodology. If your application
proposes testing, other than rental housing testing, HUD may require
copies of the following documents to be reviewed and approved by HUD
prior to your carrying out the testing activities.
(1) The testing methodology to be used;
(2) The training materials to be provided for testing; and
(3) Other forms, protocols, cover letters, etc., used in the
conduct of testing and reporting of results.
If HUD has approved your testing methodology for FY 2005 and FY
2006, there is no need to submit your testing methodology, unless you
are revising the methodology that was approved by HUD. If changes are
being made, or you have not had your testing methodology previously
approved by HUD, you must submit information in your application.
b. Retainer Fees. FHIP recipients are under specific restrictions
regarding establishment of retainer agreements and recovery of legal
fees from HUD funded cases. Data on fees settlements and verdicts are
public record and must be provided to HUD on an annual basis. Either
the grantee or the individual(s) on whose behalf any action is filed
cannot waive these provisions. For additional information on these
provisions, please see http://www.hud.gov/offices/fheo/library/index.cfm
.
IV. Application and Submission Information
A. Requesting an Application Package
This section describes how you may obtain application forms and
additional information about the FHIP program. Copies of the published
General Section, FHIP NOFA and application forms may be downloaded from
the Grants.gov Web site at http://www.grants.gov or if you have
difficulty accessing the information you may receive customer support
from Grants.gov by calling their help line at (800) 518-GRANTS or
sending an e-mail to support@grants.gov. If you do not have internet
access and you need to obtain a copy of the NOFA you can contact HUD's
NOFA Information Center toll-free at (800) HUD-8929. Persons with
hearing or speech impairments may access the Information Center by
calling the Federal Information Relay Service at (800) 877-8339.
B. Content and Form of Application Submission
All applicants must read and adhere to Initiative-specific
information. Applicants are encouraged to review the chart titled
``Summary of Initiatives/Components.'' To submit documents using the
facsimile method, see the General Section for specific procedures
governing facsimile submission.
1. For All Applicants. The maximum narrative page requirement is
ten (10) pages per factor. The narrative pages must be double-spaced.
This includes all narrative text, titles and headings. (However, you
may single-space footnotes, quotations, references, captions, charts,
forms, tables, figures and graphs). You are required to use 12-point
type size. You must respond fully to each factor to obtain maximum
points. Failure to provide narrative responses to all factors other
than factor five or omitting requested information will result in less
than the maximum points available for the given rating factor or sub-
factor. Failure to provide double-spaced, 12-point type size narrative
responses will result in five points being deducted from your overall
score (one point per factor).
2. The chart below gives a brief description of all items to be
included within the application:
------------------------------------------------------------------------
Complete application package Required form or
contains Required content format
------------------------------------------------------------------------
Application for Federal (per required form). Form SF-424.
Assistance.
Survey for Ensuring Equal (per required form). SF-424 Supplement
Opportunity for Applicants. (``Faith Based EEO
Survey (SF-424
SUPP)'' on
Grants.gov).
Budget information.......... (per required form). Form SF-424CB and SF-
424CBW) (``HUD
Detailed Budget
Form and
Worksheet'' on
Grants.gov).
Disclosure of Lobbying (per required form). SF-LLL, if
Activities. applicable.
Applicant-Recipient (per required form). HUD-2880 (``HUD
Disclosure Update Report. Applicant Recipient
Disclosure Report''
on Grants.gov).
Certification of Consistency (per required form). HUD-2990.
with RC/EZ/EC-IIs Strategic
Plan.
Acknowledgement of applicant (per required form). HUD-2993.
receipt (required only if
you are granted waiver to
the electronic application
requirement).
You are our client grant (per required form). HUD-2994-A).
application survey
(optional).
Program Outcome Logic Model. (per required form). HUD-96010.
Third Party Documentation (per required form). HUD-96010
Facsimile Transmittal. (``Facsimile
Transmittal Form''
on Grants.gov).
Facsimile Transmittal Form.. (per required form). HUD-96011.
Race and Ethnic Data (per required form). HUD-27061.
Reporting Form.
[[Page 11513]]
America's Affordable (per required form). HUD-27300 (``HUD
Communities Initiative. Communities
Initiative Form''
on Grants.gov).
Narrative................... Described in Section Format described in
IV.B. of this Section IV.B of
announcement. this announcement.
Letters from third parties Third parties' No specific form or
contributing to cost affirmations of format.
sharing. amounts of their
commitments.
Addendum to Abstract-- Written No specific form or
Correction of Poor documentation that format.
Performance (as performance issues
appropriate). and concerns have
been cured.
Project Abstract............ Short summary of No specific form or
project activities, format.
areas of
concentration and
persons to be
served. Preference
for funding.
------------------------------------------------------------------------
C. Submission Dates and Times. Applications must be received and
validated by http://www.grants.gov/applicants/apply_for_grants.jsp no
later than 11:59:59 p.m. eastern time on the application deadline date
of May 3, 2007, to be considered timely filed. Validation may take up
to 72 hours to complete. Grants.gov will reject applications that do
not meet the deadline requirement. See the General Section for further
details.
D. Intergovernmental Review. Intergovernmental Review is not
applicable to this program.
E. Funding Restrictions
1. PEI Limitations for Education & Outreach--There is a 10% limit
on the amount of education and outreach related activities that can be
funded in an enforcement award. If you exceed the limit, points will be
deducted in the rating process and if awarded, funds will be adjusted
to maintain the required limitation.
2. Administrative Costs. Eligible administrative costs include
leases for office space, under the following conditions:
(1) The lease must be for existing facilities not requiring
rehabilitation or construction;
(2) No repairs or renovations of the property may be undertaken
with Federal funds; and
(3) Properties in the Coastal Barrier Resource System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased with Federal funds.
F. Other Submission Requirements. Electronic delivery via http://www.grants.gov/applicants/apply_for_grants.jsp
is HUD's required
method for application submission. Applicants interested in applying
for FHIP funding must submit their applications electronically or
request a waiver from the Assistant Secretary of FHEO. The request must
state the basis for the waiver request. HUD's regulation on waivers,
found in 24 CFR part 5, states that waivers can be granted for cause.
Applicants must submit their waiver requests, in writing at least 15
days prior to the application deadline, to Ms. Kim Kendrick, Assistant
Secretary for Fair Housing and Equal Opportunity, 451 7th Street, SW.,
Room 5100, Washington, DC 20410. A copy of all waiver requests must
simultaneously be submitted to Myron P. Newry, Director, FHEO-FHIP
Support Division, (same address as above), Room 5226, or by e-mail to
Myron_P._Newry@HUD.gov. If granted a waiver, the notification will
provide instructions on where to submit the application and how many
copies are required. HUD will not accept a paper application without a
waiver being granted. If you receive a waiver of the electronic
application submission requirement, your application must be received
by HUD no later than 11:59:59 p.m. on the application deadline date.
V. Application Review Information
A. Criteria for Regional/Local Community Based Applications
1. Rating Factor 1: Capacity of Applicant and Relevant
Organizational Experience (25 Points). You must describe staff
expertise and your organization's ability to complete the proposed
activities within the grant period.
In General. You must describe your staffing plan and the extent to
which you plan to add staff (employees) or contractors. If your
application proposes using subcontractors and these subcontractor
activities amount to more than 10 percent of your total activities, you
must submit a separate budget for each subcontractor. Failure to
include a separate budget will result in lower points being assessed to
your application.
a. Number and expertise of staff (this includes subcontractors and
consultants). (5) Points for current FHIP grantees; (10) Points for New
Applicants. You must complete a summary of staff expertise that will
show sufficient, qualified staff who will be available to complete the
proposed activities. This summary should include: Names of staff
person(s), time each will spend on project, years of fair housing/civil
rights experience for each person, titles of staff persons, and a brief
paragraph on each staff member which outlines his or her experience. Do
not include resumes or other documents. Those that submit resumes or
other lengthy documents on staff experience will have points deducted
from their application based on exceeding the ten-page submission
requirement.
To receive maximum points, your day-to-day program manager must
devote a minimum of 75% of his/her time to the project. This individual
must be stationed in the metropolitan area where the project will be
carried out. This information must be included in the response to this
factor. For day-to-day managers who do not have at least 75% of their
time devoted to the project, no points will be awarded under this sub-
factor. For example, if the Executive Director is responsible for
managing the overall program administrative activities, the application
should reflect the Executive Director's time as 75%. You may not
designate more than one person to fit this 75% criterion. Your
application must also clearly identify those persons that are on staff
at the time this application is submitted and those persons who will be
assigned at a later date and indicate whether the staff person is
assigned to work full-time or part-time (if part-time, indicate the
percentage of time each person is assigned to the project).
If you are applying for the EOI-Clinical Law School Component, you
must:
(1) Show that you will have sufficient, qualified staff or faculty
who will be available to
(2) Have experience in recruitment of law students (submit a
projection of the number of students expected to participate in and
complete the program), marketing (submit a plan to promote the fair
housing curriculum and clinical law program), and fair housing.
[[Page 11514]]
(3) Implement the curriculum design at a MSI (Minority Serving
Institution) with an ABA-accredited law school.
(a) You must also identify all of the administrators of the
clinical program and describe their function, qualifications, and
experience;
(b) Identify persons who will constitute the faculty for the
program and describe their functions, qualifications, and experience;
and
(c) Identify and describe the functions and qualifications of any
other program staff.
(4) You must describe the knowledge and experience of the proposed
overall Faculty Administrator and day-to-day program manager (whose
duties and responsibilities include managing all program and
administrative activities as outlined in the SOW and ensuring that all
timelines are met), in planning and managing a fair housing legal-
clinical program. Indicate the percentage of time that key personnel
will devote to your project.
b. Organizational experience. (10) Points for current FHIP
grantees; (15) Points for new applicants. In responding to this sub-
factor, you, the applicant, must show that your organization has:
(1) conducted a past project or projects similar in scope and
complexity to the project proposed in this application (whether FHIP-
funded or not), or
(2) engaged in activities that, although not similar, are readily
transferable to the proposed project. You must provide a listing of all
affiliate and/or subsidiary organizations, and identify which of these
organizations will assist you in the development and/or implementation
of any portion of your proposed FY2007 FHIP funded project. If you do
not have any affiliates or subsidiaries, you should state this in your
application.
(3) If you are an existing FHIP grantee, you must provide details
about the progress and outcomes of your previous grant.
(a) EOI applicants must show that they have engaged in projects
that are Regional/Local/Community based. Experience will be judged in
terms of recent, relevant and successful experience of your staff to
undertake eligible activities. In rating this factor, HUD will consider
experience within the last three years to be recent, experience
pertaining to the specific activities to be relevant, and experience
producing measurable accomplishments to be successful. The more recent
the experience and the more experience your own staff members who work
on the project have in successfully conducting and completing similar
activities, the greater the number of points you will receive for this
rating factor.
(b) If you are applying for funding under PEI, you must provide the
following information when responding to this sub-factor:
(i) If you propose to conduct testing (other than rental or
accessibility testing), provide a brief narrative that documents that
you have conducted successful testing in those areas.
(ii) Discuss your compliance with the requirement to either
reimburse the Federal government for compensation received from FHIP-
funded enforcement activities or use the compensation as program income
to further fair housing activities. If you have not reimbursed the
Federal government or used the funds as program income to further fair
housing activities, explain why you have not. Also, state whether you
reported to HUD any likely compensation that may result in such
reimbursement or use for furthering fair housing. Two (2) points will
be deducted for this sub-factor if you have not complied with the
requirement.
(c) If you are submitting an application under the EOI--Clinical
Law School Component, you are responsible for the development of a
comprehensive concept and design of an Action Plan for the Clinical Law
School. The Action Plan must include a design concept and academic
structural approach that will be used in assessing your capacity to
develop and operate a Fair Housing Legal-Clinical Program.
In order to assess your capacity to design and implement a fair
housing course curriculum, please provide documented information that
your organization has conducted a past clinical project or projects
similar in scope and complexity to the clinical project being proposed.
You must describe the knowledge and experience of the proposed overall
faculty and staff and indicate whether this staff has had prior
knowledge and experience in establishing and implementing a clinical
law project similar to the one being proposed. Further, you must show
that faculty and staff have expertise in implementing a newly designed
clinical curriculum at a MSI with an ABA-accredited law school.
c. Performance on past project(s). (10) Points for current FHIP
grantees; (0) Points for new applicants. HUD will assess your
organization's past performance in conducting activities relevant to
your application. For current FHIPs, past performance will be assessed
based on your most recent performance assessment received from your HUD
Government Technical Representative (GTR) for the past two (2) complete
fiscal years (FY 2004 through FY2005).
This information will be provided to the Technical Evaluation Panel
(TEP) by HUD staff. Based on past performance, the following points
will be deducted from your score under this rating sub-factor:
(1) 10 points out of 10 possible points will be deducted if you
received a ``fair performance'' assessment;
(2) 5 points out of 10 possible points will be deducted if you
received a ``good performance'' assessment; and
(3) 0 points will be deducted if you received an ``excellent
performance'' assessment.
2. Rating Factor 2: Need/Distress/Extent of the Problem (20
Points).
This factor addresses the extent to which there is a need for
funding the proposed activities to address documented fair housing
problems in target area(s). You will be evaluated on the information
that you submit that describes the fair housing need in the geographic
area you propose to serve, its urgency and how your project is
responsive to that need. Applicants should document and use any
relevant information from HUD's Housing Discrimination Study 2000
(HDS2000) to respond to this factor.
a. Documentation of Need. To justify the need for your project, PEI
and EOI applicants must describe the following:
(1) The fair housing need, including:
(a) Geographic area to be served and your proximity and experience
within the area;
(b) Populations that will be served--your project may focus on a
specific population and/or protected class; however, you must state
that your project will serve all persons protected by the Act; and
(c) The presence of housing discrimination, high segregation
indices or other evidence of discrimination prohibited by the Act
within the project area.
(2) The urgency of the identified need. For example:
(a) The potential consequences to persons if your application is
not selected for funding;
(b) The extent to which other organizations provide the services
identified in your application;
(c) Other sources that support the need and urgency for this
project. (Do not include these sources within your application.) Please
provide Web site information where these sources may be found.
Applicants that provide detailed studies, including detailed
consolidated plans for their referenced project area will have points
deducted from this factor based upon the ten-page
[[Page 11515]]
submission requirement. For example, make reference to reports,
statistics, or other data sources that you used that are sound and
reliable, including but not limited to, HUD or other Federal, State or
local government reports analyses, relevant economic and/or demographic
data including those that show segregation, foundation reports and
studies, news articles, and other information that relate to the
identified need. Provide the Web site where these reports may be found
for reference. Chapter V of the Fair Housing Planning Guide, Vol. 1,
has other suggestions for supporting documentation. You may access the
Guide from the HUD Web site at http://www.hud.gov./offices/adm/grants/fundsavail.cfm
.
For all applicants: You must use sound data sources to identify the
level of need and the urgency in meeting the need and provide Web site
addresses for each data source (ex. Analysis of Impediments to Fair
Housing Choice (AI), fair housing studies, etc.) For you to receive
maximum points for this factor, there must be a direct relationship
between your proposed activities, the outcomes to be accomplished, and
the community or communities' fair housing needs, including your
knowledge of and your proximity to the targeted area, and the purpose
of the program funding.
To the extent possible, the data you use should be specific to the
area where the proposed activity will be carried out. For example, if
you propose to test in areas impacted by Hurricane Katrina in the
states of Louisiana, Mississippi, Alabama or Texas you should document
the number of displaced persons relocated to those areas and the impact
of the numbers of displaced persons upon existing fair housing
services. You should document needs as they apply to the specific
area(s) where activities will be targeted and your proximity to the
target area, rather than the entire locality or State. If the data
presented does not specifically represent your target area, you should
discuss why the target area was proposed.
(3) The link between the need and your proposed activities:
(a) How the proposed activities augment or improve upon on-going
efforts by public and private agencies, grass-roots faith-based and
other community-based organizations and other organizations and
institutions in the target area, and/or
(b) Why, in light of other on-going efforts, the additional funding
you are requesting is necessary.
b. In addition, with respect to Documentation of Need, the
following apply to specific FHIP Initiatives or Components:
EOI-Clinical Law School Component. Your project must show that you
have data, statistics, and community support to establish a clinical
law project or projects similar in scope and complexity to the clinical
project proposed in this NOFA.
3. Rating Factor 3: Soundness of Approach (35 Points)
You must describe your project in detail and how it will support
the goals and policy priorities outlined in the General Section. For
each goal and policy priority that your project addresses, you must
propose performance measures/outcomes in support of these goals, and
establish numerical baselines and targets for those measures. Attach a
Statement of Work (SOW) and budget.
a. Support of Policy Priorities (8 Points). HUD encourages
applicants to undertake specific activities that will assist the
Department in implementing its policy priorities and which will help
the Department achieve its goals and objectives in FY 2007. Describe
how your proposed project will further and support HUD's policy
priorities for FY 2007. The quality of the responses provided and the
extent to which a program will further and support one or more of HUD's
priorities will determine the score an applicant can receive.
Applicants must describe how each policy priority selected will be
addressed.
Applicants that just list a priority will receive no points. It is
up to the applicant to determine which of the policy priorities to
address to receive the available 8 points. Each policy priority
addressed must discuss the geographic area to be served in relation to
the project's purpose, the persons to be served and the methodology for
carrying out these activities. Each policy priority has a point value
of one point, with the exception of the policy priority to remove
regulatory barriers to affordable housing which has a point value of up
to 2 points; and, for EOI applicants only, promoting participation by
grassroots faith-based and other community-based organizations, or
partnering with an organization promoting participation in grassroots
faith-based and other community-based organizations, which has a point
value of up to 4 points. To secure the possible 2 points for efforts to
remove regulatory barriers to affordable housing, an applicant must
submit the completed questionnaire (HUD 27300), and provide the
required documentation and contact information. Please see the General
Section for further information on Removal of Regulatory Barriers to
Affordable Housing. The questionnaire is part of the electronic
application package. For the full list of each policy priority, please
refer to the General Section.
b. Proposed Statement of Work (SOW) and Information Requirements
(17 Points). The SOW and budget are attachments that will not count
toward the ten (10)-page limit on the narrative response to this
factor. However, points will be assigned based on the relevance of
proposed activities to needs stated in Factor 2, the attention given to
implementation steps, the consistency of proposed activities with
organizational expertise and capacity, and the accuracy of the SOW and
budget.
Statement of Work--Submit a proposed SOW that comprehensively
outlines in chronological order the administrative and program
activities and tasks to be performed during the grant period. Your
outline should identify all activities and tasks to be performed and by
whom (e.g., you, a subcontractor, or partner), and the products that
will be provided to HUD and when. You should also include a schedule of
your activities and products (with interim implementation steps), staff
allocation over the term of the project; staff acquisition and
training; and activities of partners and/or subcontractors. Applicants
should provide numbers on the projected clients to be served. Do not
provide ranges or percentages, but a specific number of clients. These
numbers should represent individuals to be served entirely with HUD
FHIP funding. For the EOI General Component, HUD anticipates that
products will be available in at least seven languages, including
English. The languages will include French, Korean, Laotian,
Vietnamese, Chinese, Arabic, and Spanish. Deliverables may include
brochures, Public Service Announcements (PSAs) for radio in both
majority and minority markets and posters and other graphic materials.
Graphic materials may include but are not limited to enlarged
reproductions of existing HUD printed PSAs and HUD materials. Provide
information on media markets coverage with specific protected class
focus, as well as those with Limited English Proficiency and a method
for distribution of the finished product.
c. The Budget Form and the Budget Information (10 Points). HUD will
also assess the soundness of your approach by evaluating the quality,
thoroughness, and reasonableness of the budget and
[[Page 11516]]
financial controls of your organization, including information on your
proposed program cost categories. As part of your response, you must
prepare a budget that is:
(1) Reasonable in achieving the goals identified in your proposed
SOW;
(2) Relate tasks in the SOW to the proposed budget costs;
(3) Cost-effective, and includes a brief discussion of the extent
to which your proposed program is cost effective in achieving the
anticipated results of the proposed activities in the targeted area.
Applicants seeking funding to conduct activities in an area other than
the applicant's State or locality must discuss the cost effectiveness
of where the activities will be conducted in relation to the location
of the organization. HUD will look at the cost effectiveness of your
travel to and from your location to the targeted area(s), personnel
expenses for out-stationed personnel, contracts and sub-grantees, and
other direct costs, which may include relocation expenses, and
telecommunications expenses and make a final determination of cost
effectiveness based on the above listed items. Also, indicate how the
proposed project is:
(4) Quantifiable based on the need identified in Factor 2, and
(5) justifiable for all cost categories in accordance with the cost
categories indicated in the HUD-424 CB. If you are awarded a grant or
cooperative agreement under FHIP, staff will request that you include
your approved indirect cost rate as part of your negotiations with HUD.
If you do not have a Federally approved indirect cost rate and HUD is
the cognizant agency, HUD will submit a request within 30 days after
award to establish a rate. For information on indirect cost rates, you
can review HUD's training on http://www.hud.gov./offices/adm/grants/fundsavail.cfm
.
(6) Financial Management Capacity. Describe your organization's
financial management system and your Board's contribution to the
organization. In addition, discuss your capabilities in handling
financial resources, dissemination payments to subcontractors, and
maintaining adequate accounting and internal control procedures.
(7) Grant Application Detailed Budget Worksheet (HUD-424-CBW). The
HUD-424-CBW must show the total cost of the project and indicate other
sources of funds that will be used for the project. While the costs are
based only on estimates, the budget narrative work plan may include
information obtained from various vendors, or you may rely on
historical data. Applicants must round all budget items to the nearest
dollar.
A written budget narrative work plan must accompany the proposed
budget explaining each budget category listed and must explain each
cost category. Failure to provide a written budget narrative work plan
will result in 2 points being deducted from your application. It must
explain each cost category you list. Where there are travel costs for
subcontractors/consultants, you must show that the combined travel
costs (per diem rates) are consistent with Federal Travel Regulations
(41 CFR 301.11) and travel costs for the applicant's subcontractors
and/or consultants do not exceed the rates and fees charged by local
subcontractors and consultants. The narrative (which does not count
toward the ten page limit) must address the Grant Application Detailed
Budget.
4. Rating Factor 4: Leveraging Resources (5 Points)
This factor addresses your ability to secure additional resources
to support your project. Points will be awarded on the basis of the
percentage of non-FHIP resources you have received at application
submission, in the form of firm commitments, or planned collaborative
efforts you have with Fair Housing Assistance Program agencies.
a. Firm Commitment of Leveraging or Collaboration. HUD requires you
to secure resources from sources other than what is requested under
this FHIP NOFA. Leveraging of community resources may include funding
or in-kind contributions, such as workspace or services or equipment,
allocated to the purpose(s) of your proposal. Contributions from
affiliates, subsidiaries, divisions, or employees of the applicant do
not qualify as in-kind contributions. Funds from an applicant's
previously established investment account(s) may qualify as in-kind
resources; however, documentation must be provided. Resources may be
provided by governmental entities (including other HUD programs if such
costs are allowed by statute), public or private non-profit
organizations, faith-based organizations, for-profit or civic private
organizations, or other entities planning to work with you. In order to
secure points you must establish leveraging of resources by identifying
sources of contributors who have already provided to you letters of
firm commitment from the organizations and/or individuals who will
support your project. Collaboration will consist of activities you have
or plan to have with Fair Housing Assistance Program agencies. You must
provide a letter of firm commitment from that organization and/or
individual, on their letterhead, stating their intent to work with you
on your project. For PEI-PB applicants only, each letter must state the
total dollar amount of in-kind funds and/or resources to be donated to
the fair housing project, and specify the amount to be used each of the
three years of this project. For all applicants, each letter of firm
commitment must:
(1) Identify the organization and/or individual committing
resources to the project and state the timeline for use of these funds
in relation to the project. Further, the letter must identify any
affiliation with the applicant,
(2) Identify the sources and amounts of the leveraged resources
(the total FHIP and non-FHIP amounts must match those in your proposed
budget submitted under Factor 3), and
(3) Describe how these resources will be used under your SOW. The
letter must be dated and signed by the individual or organization
official legally able to make commitments for the organization. If the
resources are in-kind or don