[Federal Register: May 12, 2008 (Volume 73, Number 92)]
[Notices]
[Page 27031-27343]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr12my08-81]
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Part II
Housing and Urban Development Department
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Fiscal Year 2008 SuperNOFA for HUD's Discretionary Programs; Notice
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-5200-N-01A]
Fiscal Year 2008 SuperNOFA for HUD's Discretionary Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Notice of HUD's 2008 Notice of Funding Availability (NOFA) for
HUD's Discretionary Programs (SuperNOFA).
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SUMMARY: On March 19, 2008, HUD published its Notice of Fiscal Year
(FY) 2008 Notice of Funding Availability Policy Requirements and
General Section to HUD's FY2008 NOFAs (General Section). HUD published
the General Section in advance of the individual NOFAs to give
prospective applicants sufficient time to understand policy and program
requirements that apply to the majority of HUD's programs in advance of
the publication of the program section NOFAs, to register early with
Grants.gov in order to facilitate their application submission process,
and to gain a better understanding of the Grants.gov application
receipt and validation process. Today's publication contains the 36
funding opportunities that constitute HUD's FY2008 SuperNOFA. Today's
publication also provides a revised Appendix A that lists the programs
contained in the FY2008 SuperNOFA and corrects two items contained in
the General Section published on March 19, 2008.
DATES: Application deadline and other key dates that apply to all HUD
federal financial assistance made available through HUD's FY2008
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 of 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 Policy Requirements and
General Section to HUD's FY2008 NOFAs (the General Section) in the
Federal Register on March 19, 2008 (73 FR 14882). HUD published the
General Section in advance of the individual program NOFAs to give
prospective applicants sufficient time to understand policy and program
requirements that apply to the majority of HUD's programs in advance of
the publication of the program section NOFAs, to register early with
Grants.gov in order to facilitate their application submission process,
and to gain a better understanding of the Grants.gov application
receipt and validation process. Today's publication contains the 36
individual funding opportunities that constitute HUD's FY2008
SuperNOFA. Through the FY2008 SuperNOFA, HUD is making available
approximately $1.02 billion in federal financial assistance. Today's
publication also provides a revised Appendix A that lists the programs
contained in the FY2008 SuperNOFA and corrects items contained in the
General Section published on March 19, 2008.
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 read, however, the 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 General Section identified the funding
opportunities that HUD anticipated would be included in the FY2008
SuperNOFA. HUD is revising and republishing Appendix A (Revised
Appendix A) as part of today's publication. Revised Appendix A provides
a corrected and up-to-date list of the funding opportunities included
in today's FY2008 SuperNOFA publication. Revised Appendix A also lists
the application deadline date and the approximate amount of funding
available for each of the program NOFAs contained in the FY2008
SuperNOFA. Applicants are reminded that, unless they obtain a written
waiver, applications must be received and validated by Grants.gov by
11:59:59 p.m. eastern time on the application deadline date. The
validation check can take 24 to 48 hours after an application is
received by Grants.gov. As a result, HUD strongly encourages applicants
to submit their applications 48 to 72 hours prior to the application
deadline date. By submitting prior to the application deadline date,
applicants will have time to cure any deficiency in their applications
should it fail the validation process. HUD also reminds applicants
that, if they have changed their e-mail address, they must also update
their Authorized Organization Representative (AOR) registration with
Grants.gov. Failure to update the AOR e-mail address will prevent
individuals submitting applications on behalf of an applicant from
receiving a validation receipt or rejection notice from Grants.gov.
In reviewing Revised Appendix A, applicants should note that the
HOPE VI program is not part of the FY2008 SuperNOFA. HUD published the
HOPE VI NOFA separately in the Federal Register on March 26, 2008 (73
FR 16140). The application and instructions for the HOPE VI NOFA can be
found on the Grants.gov Web site at http://www.07grants.gov/applicants/
find_grant_opportunities.jsp. In addition, the Continuum of Care
program is not part of today's publication. Applicants for the
Continuum of Care program should be advised that HUD will require
applicants to submit Continuum of Care applications electronically in
FY2008. Because the electronic application is not yet available,
however, details of the registration process and other submission
details (including, application submission date and timely receipt
requirements) will be published in two notices that will be published
in the Federal Register later this year. HUD expects the first notice
to be available in spring 2008. HUD expects to publish the Continuum of
Care NOFA no earlier than July 1, 2008. Notification of the
availability of registration instructions, the application and other
information will be released through the Grants.gov/Find Web site. To
be placed on the Grants.gov notification service for notices about the
Continuum of Care electronic application process, go to http://
www.grants.gov/search/subscribeAdvanced.do. To join the HUD homeless
assistance programs listserv go to http://www.hud.gov/subscribe/
signup.cfm?listname=Homeless%20Assistance%20Program&list=HOMELESS-ASST-
L.
HUD is also using today's publication to correct the following
items in the General Section published on March 19, 2008:
On page 14885, Section III, C.2.j., the section on Debarment and
Suspension, is modified to reference the December 24, 2007, final rule
on Implementation of OMB Guidance on Nonprocurement Debarment and
Suspension (72 FR 73484). The December 24, 2007, final rule relocated
HUD's regulations governing nonprocurement debarment and suspension to
a new part in title 2 of the Code of Federal Regulations. The
relocation of HUD's nonprocurement debarment and suspension regulation
is part of a governmentwide initiative to
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create one location where the public can access both the Office of
Management and Budget guidance for grants and agreements and the
associated federal agency implementing regulations. HUD's final Rule is
available at http://www.hud.gov/grants/index.cfm on the right hand side
of the page under ``What's Hot!
On page 14890, Section VI.B.b. ``Step Two: Register with CCR,'' is
corrected to reflect the operating hours of the Central Contractor
Registration (CCR) Assistance Center. If you need assistance you can
contact the CCR Assistance Center, Monday to Friday, except federal
holidays, from 9 a.m.-5 p.m. eastern time by calling 888-227-2423 or
269-961-5757. CCR also has on line help incorporated into its Web site.
To obtain the online help, use the HELP link at the top of the page.
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 all 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 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/
applicants/email_subscription.jsp. Corrections to the General Section,
program NOFAs, or the application are posted to http://www.Grants.gov
as soon as they are available. HUD will also post the Continuum of Care
NOFA (and any corrections to the Continuum of Care NOFA) on the
Grants.gov/Find site.
HUD hopes that the steps that it has taken to provide information
early in the FY2008 funding process will be of benefit to you, our
applicants and urges applicants to carefully read the instructions
provided in the General Section and program sections of the NOFA and to
apply early so any issues can be addressed prior to the deadline date.
Dated: April 15, 2008.
Dawn Luepke,
General Deputy Assistant Secretary for Administration.
BILLING CODE 4210-67-P
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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: The Federal Register number for this
NOFA is FR-5200-N-19. The OMB Approval Numbers for this NOFA are: 2506-
0166 for the HOME Investment Partnerships Program (HOME), the 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) and for Community Development Block Grants (CDBG).
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.239,
HOME and CHDO (HOME); 14.235, Homeless; 14.241, HOPWA; 14.218 CDBG
Entitlement Grants; 14.219 CDBG States and Small Cities Program; 14.225
CDBG Insular Program; 14.248 CDBG Section 108.
F. Dates: The application deadline date is July 3, 2008.
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 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. Applicants
should note that HUD has made significant changes to this CD-TA NOFA
from previous years' requirements.
The following chart highlights some of the major changes to this
year's CD-TA NOFA:
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Revision
CDBG TA is included this year.
A minimum award amount has been established for national awards and
field office awards.
Training requirements are explained in more detail for national and
local awards.
Requirements added to include HOME Certification for HOME and CHDO
(HOME) providers as well as references required for new applicants or
applicants that do not have an open HUD CD-TA award.
Rating Factor 2--Need, has been eliminated the other rating Factors have
been changed significantly.
The Logic Model is now a post-award requirement.
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1. Available Funds. Funds are available to provide technical
assistance for five separate program areas: HOME, CHDO (HOME),
Homeless, HOPWA, and CDBG. Applicants may apply for up to all five CD-
TA program areas. The application submission information is contained
in this CD-TA NOFA at Section IV.B. Approximately $27.9 million is
available. No cost sharing is required. Awards will be administered
under cooperative agreements with significant HUD involvement (see
Section II.C of this NOFA).
2. Eligible Applicants. Eligible applicants vary by each program
listed under the CD-TA NOFA. Please see a chart for a full list of
eligible applicants in section III A, under the Full Text of
Announcement.
Full Text of Announcement
I. Funding Opportunity Description
A. Program Description. The purpose of the CD-TA program is to
provide technical assistance to achieve the highest level of
performance and results for five separate community development program
areas: (1) HOME; (2) CHDO (HOME); (3) Homeless; (4) HOPWA and (5) CDBG.
Information about the five community development programs and their
missions, goals, and activities can be found on the HUD Web site at
http://www.hud.gov.
B. 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 is authorized by the Consolidated Appropriations Act,
2008, (Pub. L. 110-161). HOPWA TA is also authorized by the
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). CDBG TA is
authorized under Title 1 of the Housing and Community Development Act
of 1974 (42 U.S.C. 5301-5320); 24 CFR 570.402.
II. Award Information
A. Available Funds. Approximately $27.9 million is available for
the CD-TA program. Additional funds may become available as a result of
HUD's efforts to recapture unused funds or to utilize carry over funds.
In addition, should a balance of national CHDO (HOME) funds remain
after awards are provided, the balance may be reprogrammed, pending
Congressional authorization, as national HOME funds. The chart below
demonstrates the division of funds among the programs that comprise CD-
TA, and presents the national versus local share of those funds. No
local funds are available under either HOPWA or CDBG TA. For the $14.9
million available for national TA programs, HUD has established a
$200,000 award minimum for successful national TA applications, and a
$50,000 minimum award for successful local HOME and CHDO (HOME)
applicants. A $15,000 award minimum has been established for successful
local Homeless TA applications. All awards are subject to the funding
restrictions described in detail in Section IV, Subpart E.
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Program National TA Local TA
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HOME.................................... $5,000,000 $5,000,000
CHDO (HOME)............................. 2,500,000 6,000,000
Homeless................................ 5,600,000 2,000,000
HOPWA................................... 820,000 0
CDBG.................................... 1,000,000 0
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Total............................... 14,920,000 13,000,000
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For the HOME, CHDO (HOME), and Homeless TA programs, the local TA
funds are distributed among HUD's forty-three Community Planning and
Development field offices. Each field office has been allotted a fair
share of HOME, CHDO (HOME), and Homeless TA funds based on the needs
identified by each individual field office. The chart below highlights
the local TA funds available, by CD-TA program, for each field office.
All awards will be subject to the minimum funding thresholds noted
above, and the funding
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restrictions identified in Section IV, Subpart E.
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Local TA area HOME CHDO (HOME) Homeless
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Alabama......................................................... $0 $0 30,000
Alaska.......................................................... 50,000 50,000 30,000
Arkansas........................................................ 50,000 50,000 30,000
California--Northern and Arizona, Nevada........................ 400,000 850,000 180,000
California--Southern............................................ 350,000 500,000 165,000
Caribbean....................................................... 100,000 100,000 30,000
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming. 150,000 200,000 45,000
Connecticut..................................................... 50,000 100,000 30,000
District of Columbia area....................................... 50,000 50,000 30,000
Florida--Southern............................................... 50,000 50,000 15,000
Florida--Northern............................................... 150,000 0 45,000
Georgia......................................................... 150,000 150,000 45,000
Hawaii.......................................................... 100,000 100,000 30,000
Illinois........................................................ 150,000 400,000 95,000
Indiana......................................................... 50,000 50,000 15,000
Kansas and Missouri--Western.................................... 100,000 100,000 30,000
Missouri--Eastern............................................... 50,000 50,000 15,000
Kentucky........................................................ 200,000 150,000 45,000
Louisiana....................................................... 50,000 100,000 30,000
Maryland, except District of Columbia area...................... 50,000 150,000 30,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont...... 150,000 200,000 120,000
Michigan........................................................ 150,000 200,000 105,000
Minnesota....................................................... 100,000 200,000 45,000
Mississippi..................................................... 150,000 150,000 30,000
Nebraska and Iowa............................................... 50,000 50,000 30,000
New Jersey...................................................... 150,000 100,000 30,000
New Mexico...................................................... 150,000 300,000 45,000
New York--Downstate............................................. 200,000 450,000 135,000
New York--Upstate............................................... 50,000 50,000 30,000
North Carolina.................................................. 200,000 200,000 45,000
Ohio............................................................ 200,000 150,000 60,000
Oklahoma........................................................ 100,000 50,000 15,000
Oregon and Idaho................................................ 100,000 50,000 30,000
Pennsylvania--Eastern and Delaware.............................. 50,000 50,000 15,000
Pennsylvania--Western and West Virginia......................... 100,000 0 45,000
South Carolina.................................................. 50,000 50,000 30,000
Tennessee....................................................... 100,000 100,000 30,000
Texas--Northern................................................. 200,000 200,000 60,000
Texas--Southern................................................. 100,000 50,000 0
Virginia, except District of Columbia area...................... 100,000 50,000 30,000
Washington...................................................... 50,000 50,000 30,000
Wisconsin....................................................... 100,000 0 45,000
Houston......................................................... 100,000 100,000 30,000
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Total....................................................... 5,000,000 6,000,000 2,000,000
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B. Type of Assistance instrument. Funds will be awarded as a
Cooperative Agreement.
1. National TA activities are administered by a Government
Technical Representative (GTR) and Government Technical Monitor (GTM)
at HUD Headquarters. Local TA will be administered by a GTR and GTM in
the respective HUD field office. Significant HUD involvement is
required in all aspects of TA planning, delivery, and follow-up.
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.
2. Awards will be for a period of 24 months up to 36 months,
depending on such factors as whether or not the TA provider has been
selected as a lead provider; the number of field offices that the
provider will work in; and the number of CD-TA programs that the
provider participates in. HUD reserves the right to determine the award
period based on any or all of these factors.
3. HUD reserves the right to withdraw funds from any TA provider if
HUD determines that: (1) The TA provider's performance is duly found to
be substandard and unacceptable; (2) the need for assistance is not
commensurate with the award; or (3) the need for assistance is greater
in other field office jurisdictions. HUD will make this determination
on a case by case basis and will provide a 30-day due process notice
accordingly.
4. HUD anticipates substantial involvement in determining and
approving the work to be performed as described below:
a. Demand-Response System. All successful CD-TA applicants must
operate within the structure of the demand-response system. Under the
demand-response system HUD identifies technical assistance needs and
prioritizes them based on Departmental, program and jurisdictional
priorities. Successful TA applicants are then tasked with responding to
identified needs. Under the demand-response system, TA providers are
required to:
(1) When requested by a GTR, market the availability of their
services to existing and potential recipients within
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the jurisdictions in which the assistance will be delivered;
(2) Respond to requests for assistance from the GTR;
(3) 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;
(4) 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.
(5) 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.
III. Eligibility Information
A. Eligible Applicants. The eligible applicants for each of the
five 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.
CDBG........................ A state;
A unit of general local
government;
A national or regional nonprofit
organization that has membership
comprised predominately of entities or
officials of entities of CDBG recipients;
A for-profit or nonprofit
professional and technical services
company or firm that has demonstrated
knowledge of the CDBG program and the
capacity to provide technical assistance
services; or
A public or private nonprofit or
for-profit organization, including
educational services and area-wide
planning organizations.
------------------------------------------------------------------------
All HOME and CHDO (HOME) TA providers applying under this NOFA must
now have a minimum number of training and technical assistance staff
who have sat for and passed the HOME Certified Specialist--Regulations
training as described in Section VB. All TA providers applying to the
HOME or CHDO (HOME) TA programs must be able to document staff
certification in their application.
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 TA Priorities. Activities eligible for funding under
each of the five CD-TA programs must address the TA priorities
identified below:
a. HOME TA. HUD has identified five 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
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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.
(5) Improve PJs' ability to incorporate energy efficiency into the
planning, design, financing, construction, and operation of affordable
housing. This is consistent with the Department's policy priority of
Participation in Energy Star as described in the General Section.
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 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-Gonzalez National
Affordable Housing Act. These priorities are consistent with the
Department's policy priority for Providing Increased Homeownership and
Rental Opportunities for Low- and Moderate-Income Persons, Persons with
Disabilities, the Elderly, Minorities, and Persons with Limited English
Proficiency.
(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. These HUD-funded grantees,
project sponsors and potential recipients are organized as Continuums
of Care (CoCs) for community planning. The assistance may include, but
is not limited to, developing, enhancing, and disseminating written
information such as papers, monographs, manuals, curriculums, guides,
and brochures; and person-to-person exchanges, conferences, training
and use of technology.
1. National TA activities are focused on these priorities that
result in measurable performance outputs and outcomes:
a. Improve the ability of HUD-funded grantees, project sponsors,
and potential recipients as CoCs to participate in the Annual Homeless
Assessment Report (AHAR). 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.
b. Assist CoCs with Homeless Management Information System (HMIS)
implementation. National technical assistance will relate to data
collection, data quality, data analysis, provider participation, HMIS
structure and governance, reporting, performance measurement, data
warehousing, HMIS Data and Technical Standards and Annual Progress
Report (APR).
c. Maintain and enhance the HMIS Web site portal as the vehicle for
collection and dissemination of HMIS information.
d. 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 and
supporting disaster preparedness and recovery efforts.
e. Develop new and enhance existing materials to facilitate the
understanding of the electronic submission process for CoC Homeless
Assistance program applications, technical submissions and Annual
Progress Reports (APRs) by HUD-funded grantees, project sponsors, and
potential recipients.
f. Maintain and enhance the Homelessness Resource Exchange (HRE) as
the vehicle for collection and dissemination of information related to
homelessness. The Homelessness Resource Exchange is HUD's one-stop shop
for information and resources for providers who are assisting persons
who are homeless or at risk of becoming homeless;
g. Develop, enhance and deliver curriculums for HUD-funded
grantees, project sponsors, and potential recipients on topics
including, but not limited to: Performance outcome measures, homeless
prevention strategies, comprehensive housing development strategies
using collaborative public and private partnerships, CoC governance and
structure, organizational capacity, planning, strategies for ending
chronic homelessness and increasing access to mainstream services for
homeless persons. This priority is consistent with the Department's
policy priority for Ending Chronic Homelessness as described in the
General Section.
2. Local TA activities are focused on these priorities that result
in measurable performance outputs and outcomes:
a. Capacity building for HUD-funded grantees, project sponsors, and
potential
[[Page 27041]]
recipients including information that would help these stakeholders
carry out the purposes of the McKinney-Vento Act homeless assistance
programs and assist in identifying and overcoming barriers.
b. Delivery of approved curricula to assist HUD-funded grantees,
project sponsors, and potential recipients with understanding program
requirements and monitoring standards, including sound fiscal and
financial management practices, assessment of subrecipients and
providing TA to help CoCs assess grantees, project sponsors, and
individual projects.
c. Assisting HUD-funded grantees, project sponsors, and potential
recipients to improve access to mainstream systems of care.
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, evaluate, and oversee
HOPWA-eligible project activities that result in measurable performance
outputs and outcomes consistent with the HOPWA program. HOPWA TA,
including program training and support is to be developed and conducted
in collaboration with HUD field office oversight of local HOPWA-
assisted activities. The national TA priority is directed toward the
development and implementation of activities that promote successful
HOPWA grantee performance management and reporting under the national
performance goal of increasing housing stability, reducing risks of
homelessness, and improving access to care for HOPWA beneficiaries.
This priority is consistent with the departmental policy priorities of
Ending Chronic Homelessness and Providing Increased Homeownership and
Rental Opportunities for Low- and Moderate-Income Persons, Persons with
Disabilities, the Elderly, Minorities and Persons with Limited English
Proficiency as described in the General Section.
e. CDBG TA. HUD may provide CDBG program technical assistance to
meet specified objectives, in particular the facilitating of skills and
knowledge in planning, developing, and administering activities under
the CDBG program for recipients and other entities that may need but do
not possess such skill and knowledge, including measuring programs and
activities under the CDBG program. These technical assistance funds
will support local and state grantees' efforts in these areas as well
as program management, reporting accomplishments, and analytical
support of information for performance measurement. TA activities that
result in measurable performance outputs and outcomes are focused on
the following priorities:
(1) Improve CDBG recipient knowledge and skills to implement the
CPD Performance Measurement system.
(2) Improve CDBG recipient knowledge and understanding of reporting
accomplishments and the importance of measuring performance from a
national programmatic perspective.
(3) Develop and deliver training on implementing the re-engineered
Integrated Disbursement and Information System (IDIS).
(4) Improve CDBG program knowledge through training of recipients,
subrecipients, and subgrantees on CDBG program regulations and
financial management requirements.
(5) Increase program knowledge of the CDBG Section 108 program
through program-specific recipient training.
(6) Develop model protocols that ensure accurate, required program
recordkeeping and performance data by recipients, subrecipients, and
subgrantees.
(7) Develop materials for grantees, subrecipients, and subgrantees
on energy conservation or other Departmental or programmatic
priorities. This is consistent with the Department's policy priority of
Participation in Energy Star as described in the General Section.
2. Eligible National TA and Local TA Activities. 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.
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.
3. Threshold Requirements. Applicants must meet the Threshold
requirements in the General Section to receive an award of funds from
HUD. Please carefully read the General Section.
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. Program Requirements. The following program requirements apply
to the CD-TA programs:
a. Training. When conducting training sessions as part of its CD-TA
activities, CD-TA providers are required to:
(1) Design the course materials as ``step-in'' packages so that HUD
or other CD-TA providers may independently conduct the course on their
own;
(2) 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;
(3) Provide all course materials in an electronic format that will
permit wide distribution among TA providers, field offices, and HUD
grantees;
(4) Arrange for joint delivery of the training with multiple
providers at the same time and/or location with HUD participation when
requested by the GTR;
(5) Deliver HUD-approved training courses that have been designed
and developed by others on a ``step-in'' basis when requested; and
(6) Send trainers to approved ``train-the-trainers'' sessions. The
costs associated with attending these required sessions are eligible
under the cooperative agreement.
b. Local Training. The development of new training courses using
local TA funds is prohibited. Local TA providers, when conducting
training sessions as part of the CD-TA program, are required to:
(1) Arrange for joint delivery of the training with HUD
participation when requested by the GTR;
(2) Deliver only HUD-approved training courses that have been
designed and developed by national TA providers or other qualified
experts on a ``step-in'' basis when requested; and
(3) Send trainers to approved ``train-the-trainers'' sessions. The
cost associated with attending these required sessions will be eligible
TA costs under the cooperative agreement executed
[[Page 27042]]
with HUD and will not be the burden of the TA provider.
c. National Training: To ensure that CD-TA funds are used
efficiently and that new training courses are not duplicative of
existing materials, only national TA providers are allowed to develop
new training courses. National TA providers, when developing new
training courses or conducting training sessions as part of the CD-TA
program, are required to:
(1) Design new course materials as ``step-in'' packages so that HUD
and other CD-TA providers may independently conduct the course;
(2) Make the course material available to the GTR/GTM in sufficient
time for review and receive concurrence from the GTR on the content and
quality of the material prior to establishing a course delivery date;
(3) Provide all course materials in an electronic format to HUD;
(4) Arrange for joint delivery of the training with HUD
participation when requested by the GTR; and
(5) Send trainers to approved ``train-the-trainers'' sessions. The
cost associated with attending these required sessions will be eligible
TA costs under the cooperative agreement executed with HUD and will not
be the burden of the TA provider.
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. Affirmatively Furthering Fair Housing (AFFH). The requirements
to Affirmatively Further Fair Housing (AFFH) and the requirements of
Section 3 of the Housing and Urban Development Act of 1968 (section 3)
do not apply pursuant to funding under this NOFA. This does not affect
recipients' responsibilities to affirmatively further fair housing or
provide employment, contracting, or training opportunities pursuant to
Section 3 that may exist by virtue of the receipt of other HUD funding
that retains those requirements.
e. Environmental review. Most activities under the CD-TA program
are categorically excluded and not subject 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. 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. Applicants must
submit a separate and distinct application for each of the different
program areas (i.e., HOME, CHDO (HOME), Homeless, HOPWA and CDBG) for
which they are applying. For applicants that are applying for both
national and local TA for the HOME, CHDO and/or Homeless programs, you
may limit your submission to two separate applications for each program
area (one for national TA and one for local TA), provided you meet the
following: (1) The local TA application must identify all field office
jurisdictions that you elect to apply in; (2) the application content
for each local jurisdiction must be identical; and (3) the dollar
amount of TA requested for each jurisdiction is clearly notated.
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. HUD requires TA providers applying for
assistance under this NOFA to apply electronically through grants.gov.
An applicant may submit a written request to waive the electronic
submission requirement. Should HUD grant a waiver of the electronic
submission requirement, the waiver approval letter will note the number
of paper copies the applicant must submit to HUD.
2. Page Limitation and Font Size. Narratives addressing Factors 1-4
must be formatted so that the total number of pages submitted are equal
to no more than 25 single sided pages of text based on an 8.5 by 11
inch paper, using a standard 12 point font. Reviewers will not review
more than 25 pages for all the factors combined. The one page funding
and capacity summary and the list of references for new applicants are
not included in the 25 page limit.
3. Prohibition on Materials Not Required. Materials other than what
is requested in this NOFA are prohibited. Reviewers will not consider
resumes, 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 http://www.grants.gov/
applicants/apply_for_grants.jsphttps://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, HOME Local,
CHDO (HOME) National, CHDO Local, Homeless National, Homeless Local,
HOPWA National, or CDBG National, (b) the amount of funds requested;
and (c) for Local TA, a table showing the jurisdiction(s) proposed in
the application and the amount of funds requested for each
jurisdiction.
Narrative addressing Factors 1-4 and a one-page summary
highlighting the specific types of eligible TA activities the applicant
has the capacity to undertake, and the funding amount requested for
each CD-TA program by national or local jurisdiction for which the
applicant is applying. (See Section V. Application Review Information.)
[[Page 27043]]
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
(``HUD Applicant Recipient Disclosure Report'' on Grants.gov) (see
General Section).
SF-424, Supplement, Survey on Equal Opportunity for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov) (to
be completed by private nonprofit organizations only).
Form HUD-2994-A (You Are Our Client! Grant Applicant
Survey, Optional).
Form HUD-96011, Third Party Documentation Facsimile
Transmittal (``Facsimile Transmittal Form'' on Grants.gov) (Used as the
cover page to transmit third party documents and other information
designed for each specific application for tracking purposes. HUD will
not be able to match faxes to an application if the application does
not contain the HUD-96011 fax cover page, and each fax submitted does
not use the HUD-96011 as the cover page to the facsimile transmission.
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. The validation process
can take 24-48 hours following receipt of the application by
Grants.gov. Applicants are advised to submit the application 72 hours
prior to the deadline date so that if the application is rejected by
Grants.gov, the applicant has enough time to correct the noted problem
and resubmit the application in time to meet the deadline requirements.
(See General Section for further information on the Grants.gov
validation process.)
HUD has found that the most common error made by grantees which
causes their application to fail validation is that the applicant ID
and password does not match the DUNS number under which they are
applying, or the applicant is not authorized by the organization to
submit the application on behalf of the organization. Please make sure
when submitting your application that you are using the correct DUNS
number, User ID and password, that you have registered at Grants.gov
under that DUNS number and USER ID and password, and that you have been
authorized by the organization to submit the application on behalf of
the applicant. To check your registration status, follow the directions
provided in the General Section.
D. Intergovernmental Review. Intergovernmental review is not
applicable to CD-TA applications.
E. Other Submission Requirements. The General Section describes
application submission procedures and how applicants may obtain proof
of timely submission.
1. Waiver of Electronic Submission Requirements. Applicants
interested in applying for funding under this NOFA must submit their
applications electronically via Grants.gov or request a waiver from the
Community Development Technical Assistance program. Applicants should
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. HUD only
provides waivers for cause under the waiver provisions of 24 CFR 5.110.
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. Capacity and Funding Summary. All CD-TA applicants are required
to submit a one-page capacity and funding summary for each CD-TA
application submitted. Although the capacity and funding summary will
not be rated based on the factors listed in Section V, Subpart B.
below, the summary is a submission requirement for the CD-TA program.
HUD will use the summary to determine the national or field office area
for which the applicant is applying; the types of TA activities the
applicant is willing to undertake based on staff skill and experience;
and given the organizational capacity of the applicant, a funding
amount the applicant can reasonably expect to expend within the
requirements and timeframes of the CD-TA program.
The summary must include:
1. A list of the eligible TA activities the applicant is prepared
to undertake, based on the applicant's organizational capacity and
staff skills. See Section III C, 2 Eligible TA Activities for a list of
eligible national and local TA activities.
2. A funding estimate, by national and/or field office
jurisdiction, that the applicant believes it can reasonably expend
within the three-year performance period based on organizational
capacity and the eligible TA activities the applicant is prepared to
undertake.
B. 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 35 points on Factor 1.
The CD-TA program is not subject to bonus points, as described in the
General Section.
Points are assigned on four factors. Applicants should review the
factors carefully as the criteria have changed significantly from prior
years' requirements. When addressing the four factors, applicants
should discuss the relevant successful experience of both their
organization as a whole, and the individual staff and dedicated
contractors who may work under the award if the application is funded.
Applicants should also address the overall management of the award
including policies and procedures for ensuring that all CD-TA program
requirements are met and quality products are developed and delivered.
Please note that Factor 2--Need--as identified in the General Section
does not apply under the CD-TA program.
Rating Factor 1: Applicant's Capacity and Relevant Experience (50
points) (Minimum for Funding Eligibility is 35 points)
a. (25 points) Recent experience. For new applicants or applicants
funded in the past that do not have an open HUD CD-TA award: Provide
examples of recent experience (within the past 18 months) managing
technical assistance awards similar to the programs covered under the
CD-TA NOFA within a client-driven environment. Examples should include
a discussion of the tasks undertaken, individuals served, training
skills and related CD-TA program knowledge required to complete the
tasks, and measurable results achieved. All new applicants must also
include at least two references for recent, technical assistance work
similar to the programs covered under the CD-TA NOFA and undertaken by
the applicant. References should only include a contact name, address,
phone number and e-mail address in order for HUD to verify the
information.
For current CD-TA providers: Provide examples of recent experience
(within the past 18 months) managing existing
[[Page 27044]]
CD-TA award programs within the demand-response system. Examples should
include a discussion of the specific TA tasks undertaken, program
beneficiaries served, program topics addressed, and quantifiable
outcomes achieved. Current CD-TA providers should also note any
outstanding performance issues under open CD-TA awards, and the steps
the TA provider is taking to address these issues. HUD will rely on
existing CD-TA file documentation when evaluating this factor.
HUD will evaluate this factor based upon the breadth and accuracy
of the applicant's program knowledge, ability to provide and deliver
technically accurate TA, compliance with cooperative agreement
provisions, financial and performance reporting requirements,
timeliness of drawdown of funds and close-out of expired grants.
Customer feedback from CPD program offices will also be used to judge
an applicant's performance and effectiveness.
b. (25 points) Organizational capacity. In narrative form, describe
the technical assistance skills and related CD-TA program knowledge of
your organization's key staff and, based on the organization's
capacity, identify the types of TA activities the applicant is prepared
to undertake and how this will further the TA priorities of the
programs for which you are seeking funding. To the extent that the
applicant addresses the HUD policy priority(s) noted in the General
Section for each program in this NOFA, the applicant will receive a
minimum of one point of the 25 points available for this subfactor.
Key staff is defined as all in-house staff and hired consultants
who will be developing technical assistance products and/or delivering
training courses, conferences, or direct TA. Applicants should include
specific examples of each key staff member's TA skills and areas of
expertise. For all HOME and CHDO (HOME) TA providers, identify the key
staff who have passed, with a score of 80 or higher, the HOME Program
Certification Regulations course. Applicants should refer to Section
III C.2 for a complete list of the eligible TA activities applicants
may undertake with national or local CD-TA funds. The applicant's
description of staff capacity should clearly support the specific types
of TA activities the applicant is willing and able to undertake with
CD-TA funds. In rating this subfactor, HUD will evaluate each key staff
member's program knowledge, and TA skills. FOR HOME and CHDO (HOME) TA
providers, HUD will measure an organization's HOME program knowledge,
in part, by the number of key staff identified in the application who
have passed the HOME Program Certified Specialist-Regulations exam. Up
to 10 points is available under this subfactor for organizations
demonstrating a sufficient number of HOME Program Certified staff to
carry out a demand-response program of activities. Applicants for local
HOME and CHDO (HOME) TA must have at least one staff person who is
``HOME certified'' to receive any points on this portion of the
subfactor; applicants for national HOME and CHDO (HOME) TA must have at
least two staff people who are ``HOME certified'' to receive any
points. For local and national HOME and CHDO (HOME) TA only, points for
this portion of the subfactor will be awarded as follows:
------------------------------------------------------------------------
National TA applicants
Local TA applicants number of HOME number of HOME program Points
program certified staff certified staff
------------------------------------------------------------------------
1.................................. 2..................... 4
2.................................. 3-4................... 6
3.................................. 5-6................... 8
4 or more.......................... 7 or more............. 10
------------------------------------------------------------------------
HUD will also compare the specific types of TA activities the
applicant is willing to undertake in relation to stated staff capacity.
Staff program knowledge and TA skills should clearly support the
possible TA activities the applicant may undertake.
Rating Factor 2: Soundness of Approach (35 points)
a. (5 points) Key management staff. The successful administration
and management of a technical assistance award is key to: (1) The
timeliness of delivery of required technical assistance; (2) the sound
financial management of the project; and (3) the appropriate
prioritization of multiple technical assistance needs. In evaluating
the soundness of approach under this rating factor, HUD will consider
the breadth of key management staff experience administering multiple,
complex tasks within the demand-response system, or a similar client-
driven environment. Applicants should clearly demonstrate recent
experience managing and coordinating financial resources, and
administrative, training, and consultant staff among complex and varied
technical assistance tasks. HUD will also evaluate the roles and
responsibilities key management staff would assume under a CD-TA award
in light of each individual's recent experience.
Identify the key staff responsible for the overall management and
administration of the CD-TA award. Key management staff is defined as
any individual who will have decision-making authority related to the
financial or task management, performance reporting, or overall
coordination of the award. The applicant must identify key management
staff, including their individual roles and responsibilities, as well
as their recent experience (within the past 18 months), managing people
and tasks within the demand-response system or a similar client-driven
environment. Please do not include the Social Security Numbers (SSN) of
any staff members.
b. (20 points) Procedures. Present detailed, practical policies and
procedures for managing multiple, large and/or complex technical
assistance awards in multiple jurisdictions. The policies and
procedures must discuss how the applicant will manage TA activities
within the specific structure of the demand-response system, including
processes for fielding TA needs from HUD; assigning appropriate skilled
and knowledgeable staff to develop or provide the TA; prioritizing and
managing multiple TA needs, to multiple entities, in multiple
jurisdictions; providing feedback to HUD on TA progress and outcomes;
and addressing and effectively resolving any delays encountered. In
rating this factor, HUD will consider the level of detail and
efficiency of the applicant's proposed processes for fielding and
prioritizing multiple TA needs, allocating limited CD-TA financial
resources among multiple TA tasks, and coordinating and assigning
skilled in-house and consultant staff to address multiple TA needs, to
multiple entities in multiple jurisdictions. HUD will also evaluate the
suitability of the applicant's proposed policies and procedures within
the specific structure of the demand-response system.
c. (10 points) Quality control. Present a detailed plan for
ensuring that all TA products developed or delivered under the CD-TA
program are of the highest quality. Applicants should present a
detailed plan for ensuring that all TA activities are eligible,
accurate program guidance is provided, correct beneficiaries are
served, and positive outcomes are achieved. The applicant should also
present a detailed plan for addressing and remediating any eligibility
or product quality issues that may arise. In rating this factor, HUD
will review the applicant's quality control procedures for thoroughness
and efficiency, and the likelihood that such procedures will ensure
that positive
[[Page 27045]]
outcomes are achieved. Applicants should clearly describe established
policies and procedures for ensuring the eligibility, accuracy, and
quality of all aspects of TA development and delivery. The applicant
should also present a detailed remediation plan should any eligibility
or quality issues arise.
Rating Factor 3: Leveraging Resources (5 points)
Present an effective, practical plan for transferring products
developed through the CD-TA program, including manuals, guides,
assessment forms, and other work products, to other TA providers and
program beneficiaries. The applicant's plan should address the re-use
of existing ``step-in'' packages and how it will share its resources
with a wide audience, avoiding the cost and time in creating new
products, so that the duplication of TA products does not occur. In
rating this factor, HUD will evaluate the extent to which the
application demonstrates a practical and effective means of sharing TA
resources with a wide audience, including other TA providers and
program beneficiaries.
Rating Factor 4: Achieving Results and Program Evaluation (10 points)
For each program priority, the applicant must identify at least two
quantifiable outcomes. For a complete list of TA priorities by program
area refer to Section III, Subpart C., Eligible Activities and
Priorities. For each of the eligible TA activities an applicant may
undertake (i.e., development of written and electronic products,
training delivery, direct TA), describe the general methods and
measures the applicant will use to evaluate the effectiveness of the
TA. While the specific TA topics to be addressed by successful
applicants will be identified post-award through the demand-response
system, HUD has identified the broad eligible activities that encompass
technical assistance. The applicant must present a clear plan for
evaluating the effectiveness of each of the possible TA activities the
applicant may be asked to undertake and deliver. For a complete list of
eligible national and field office TA activities under the CD-TA
program, refer to Section III C.2., Description of National and Local
TA.
Note that although not a submission requirement under this year's
CD-TA NOFA, successful applicants will be required to submit a
completed Logic Model. Though not part of the rating factors, the logic
model submitted after selection and under the guidance of the GTR will
be evaluated for completeness and consistency based upon the matrix in
the General Section. HUD reserves the right to request modifications to
the Logic Model submissions and require the TA providers to update the
Logic Model, based on activities carried out under the demand-response
system. In rating this factor, HUD will evaluate whether the outcomes
identified by the applicant are both measurable and appropriately
related to each program priority. HUD will also assess whether the TA
evaluation methods described by the applicant will thoroughly and
accurately measure the effectiveness of each eligible TA activity
identified.
C. 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 35+ 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 (HOME) technical assistance
activities;
(4) One for CDBG 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. Funding Decisions. In determining the amount awarded to each
successful applicant, HUD will take into consideration the funds
available for the CD-TA program and local or national area the
applicant wishes to serve; the number of successful CD-TA applicants
for that area and program; the applicant's current organizational
capacity as presented in the application, including the number of
qualified, experienced TA staff and consultants; the final score
assigned to the application by HUD reviewers; and for current or past
CD-TA providers, the applicant's performance under existing or past CD-
TA awards.
HUD has established a $200,000 minimum funding amount for
successful national CD-TA applicants. For successful field office
applicants, HUD has established a $50,000 award minimum under both the
HOME and CHDO (HOME) TA programs, and a $15,000 award minimum for
successful Homeless TA program applicants. All HOME and CHDO (HOME)
awards are subject to the funding restrictions identified in Section
V.B.5 which in some cases may result in a funding award below the
established minimum.
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.
5. 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
$12.5 million appropriated for HOME and CHDO (HOME) TA in FY2008. This
[[Page 27046]]
limitation as applied in this competition is subject to change by
pending legislative action.
Not less than 40 percent of the approximately $8.5 million 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.
Salary rates for consultants/contractors may not exceed the base
rate of pay of Senior Executive Staff (see the General Section).
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, staffing plan, and
completed Logic Model 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 not recorded on
the HUD Web site at http://www.hud.gov/offices/adm/grants/
codeofconduct/cconduct.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.
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 actual outputs and outcomes achieved and a narrative
explanation of deviations from projected results to actual results
achieved. Deviations can be both positive and negative deviations.
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 27047]]
[GRAPHIC] [TIFF OMITTED] TN12MY08.003
[[Page 27048]]
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-
5200-N-12. 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 July 11, 2008. Please see
Section IV of this NOFA for application submission and timely receipt
requirements. Applicants should also read the General Section,
published March 19, 2008 (73 FR 14882), for additional information
regarding the electronic application submission and receipt
requirements.
G. Additional Information:
1. Applicants for funding should carefully review the requirements
described 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 2008 is $62 million less $3.96 million retained
to fund Imminent Threat Grants, for a total of $58.04 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.
4. Only one ICDBG application may be submitted for each area within
the jurisdiction of an entity eligible under 24 CFR part 1003. An
application may include more than one project, but it cannot exceed the
grant ceilings listed in Section II.
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.
1. Single Purpose Grants. 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:
a. Area Benefit Activities
b. Limited Clientele Activities
c. Housing Activities
d. 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.
2. Imminent Threat Grants. 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. The grants
provide a solution to problems of an urgent nature that were not
evident at the time of the ICDBG single-purpose funding grant cycle or
require immediate action.
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:
a. 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;
b. 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;
c. The threat must affect or impact an entire service area and not
solely an individual family or household; and
d. It must be established that funds are not available from other
tribal 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 unobligated 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. 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.
[[Page 27049]]
4. Firm Commitment. A letter of commitment from a partner by which
an applicant's partner agrees to perform an activity specified in the
application, demonstrates the financial capacity to deliver the
resources necessary to carry out the activity, and commits the
resources to the activity, either in cash or through in-kind
contributions.
5. 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 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.
6. 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.)
7. 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.
8. New Applicant. An applicant that has either never applied for an
ICDBG or an applicant whose prior grants have either been closed or
closed subject to audit for more than two years prior to the
application deadline date.
9. Operations and Maintenance (O&M) for Public Facilities and
Improvements. There are items of expense related to the operation of
the physical plant that must be addressed in an O&M plan if the tribe
assumes responsibility or if an entity other than the tribe will assume
these responsibilities. Although the tribe or other entity does not
have to submit the O&M plan with the application, it must provide a
written statement that the tribe has adopted (or the entity has
developed) 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).
10. 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.
11. 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.
12. Project Cost. The total cost to implement the project. Project
costs may be covered by both ICDBG and non-ICDBG funds and resources.
13. 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 infeasible. 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) adequate space and
privacy for all intended household members.
14. 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.
15. 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 2008 appropriation for the
ICDBG program is $62 million, less $3.96 million retained to fund
Imminent Threat Grants, for a total of $58.04 million. 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 FY2008 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 FY2008 is $450,000 ($900,000
for Presidentially-declared disasters). This ceiling has been
established pursuant to the provisions of 24 CFR 1003.400(c).
[[Page 27050]]
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 $62 million less $3.96 million for imminent threat grants, the
allocations for FY 2008 are approximately as follows:
Eastern/Woodlands: $6,605,812
Southern Plains: $12,436,112
Northern Plains: $8,281,588
Southwest: $21,552,470
Northwest: $2,990,960
Alaska: $6,173,058
Imminent Threats $3,960,000
Total $62,000,000
C. Grant Ceilings. The authority to establish grant ceilings is
found at 24 CFR 1003.100(b)(1). Grant ceilings are established for FY
2008 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.
D. 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: $75,000
E. Compliance With Regulations, Guidelines, and Requirements
1. 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.
2. By accepting a grant, 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 2.
F. Period of Performance. The period of performance for any grant
awarded under this NOFA must be included in the Implementation
Schedule, form HUD-4125, 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 April 4, 2008, the BIA published a Federal Register notice
entitled, ``Indian Entities Recognized and Eligible to Receive Services
From the United States Bureau of Indian Affairs'' (73 FR 18553). 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.)
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-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.
[[Page 27051]]
b. Compliance with Fair Housing and Civil Rights Laws. Applicants
and subrecipients that are not federally recognized Indian tribes or
their instrumentalities are subject to the Civil Rights threshold
requirements found in the General Section. 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. To be eligible to
apply, there must be no outstanding violations of these civil rights
provisions at the time of application.
3. 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(b), you must have a current,
in effect, tribal resolution adopting and identifying construction
standards.
3. In accordance with 24 CFR 1003.302(b), you must also include in
your application documentation affirming the following:
(a) No other housing is available in the immediate reservation area
that is suitable for the households to be assisted;
(b) No other sources, including Indian Housing Block Grants (IHBG),
can meet the needs of the household(s) to be served; and
(c) Rehabilitation of the unit occupied by the household(s) to be
assisted is not economically feasible;
(d) The household(s) to be housed is currently in an overcrowded
house (more than one household per house); or
(e) The household to be assisted has no current residence.
c. Economic Development Project Thresholds. In accordance with 24
CFR 1003.302(c), 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 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. Land Acquisition to Support New Housing, Homeownership
Assistance, Public Facilities and Improvements, and Microenterprise
Projects. There are no project specific thresholds for these
activities.
4. Public Services. 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(e).
5. Eligible Activities. A complete description of activities that
are eligible for ICDBG funding is identified at 24 CFR part 1003,
subpart C. 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.
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.
[[Page 27052]]
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, facilities funded by ICDBG or used in the
administration of ICDBG funded projects or activities must be
accessible to persons with disabilities in accordance with Section 504
of the Rehabilitation Act and HUD's regulations at 24 CFR Part 8.
Applicants should be aware of the accessibility needs of the persons
they intend to serve in ICDBG funded projects and activities, and
address these needs in appropriate accessible design features or
program modifications to ensure that otherwise qualified persons with
disabilities may benefit from them. 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.
m. Mold. 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.
n. Public Services. Public services are those which are directed
toward improving the community's public services and facilities,
including but not limited to those concerned with employment, crime
prevention, child care, health, drug abuse, education, fair housing
counseling, energy conservation, welfare, homebuyer downpayment
assistance or recreational needs. Also see Section III.C.4. above and
24 CFR 1003.201(e).
6. Ineligible Activities. In general, any activity that is not
authorized under the provisions of 24 CFR 1003.201 through 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.
h. Job Pirating. 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.
[[Page 27053]]
IV. Application and Submission Information
A. Addresses to Request Application Package. Copies of this
published NOFA and all application forms for this NOFA may be
downloaded from the grants.gov Web site at http://www.grants.gov/
applicants/apply_for_grants.jsp. If you have difficulty accessing the
information, you may receive customer support from grants.gov by
calling its Support Desk at (800) 518-GRANTS, or by sending an e-mail
to support@grants.gov. You may request general information from the
NOFA Information Center (800-HUD-8929) or 800-HUD-8339 (TTY) between
the hours of 10 a.m. and 6:30 p.m. (Eastern Time) Monday through
Friday, except on federal holidays. When requesting information, please
refer to the name of the program you are interested in. The NOFA
Information Center opens for business simultaneously with the
publication of the SuperNOFA. You can also obtain information on this
NOFA from HUD's Web site at http://www.hud.gov/offices/adm/grants/
fundsavail.cfm.
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 in this ICDBG
NOFA. Before preparing an application, applicants should carefully
review the program description, ineligible activities, program and
threshold requirements, and the General Section. Applicants should also
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. It
is recommended that you limit your narrative explanations to 15 pages
for all factors and provide the necessary data such as a market
analysis, a pro forma, housing survey data, etc., that support the
response. 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 (see section IV.F. below) 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.
Include all material relevant 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 number 2 below.
2. Content of Application, Forms, and Required Elements. The
applicant must submit all of the forms required in this section, along
with other data listed below.
a. Narrative to all five of the rating factors listed in Section
V.A. of this NOFA;
b. Application for Federal Assistance (SF-424);
c. SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov);
e. 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.)
f. If the application is being 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. You must submit
the resolution by attaching it as a file to your electronic application
submission, or sending it via facsimile transmittal.
g. A schedule for implementing the project (form HUD-4125,
Implementation Schedule);
h. Cost information for each separate project, including specific
activity costs, administration, planning, technical assistance and
total HUD share (Form HUD-4123, Cost Summary). Planning and
administrative costs cannot exceed 20 percent of the grant. The
following criteria apply to planning and administrative costs:
(1) Planning and administrative activities may be funded only in
conjunction with a physical development activity.
(2) 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.
(3) Do not include project costs (i.e., architectural/engineering,
environmental, technical assistance, staff/overhead costs) directly
related to the project.
(4) Indirect costs may be charged to the ICDBG program under a cost
sharing plan prepared in accordance with OMB Circular A-21, A-87, or A-
122 as applicable;
i. Evidence in the form of a Tribal resolution that the applicant
has met the citizen participation requirements of 24 CFR 1003.604(a)
and considered any comments and made any necessary modifications to the
application;
j. A map showing project location, if appropriate;
k. Low- and Moderate-Income Benefit. Your application must contain
information that indicates at least 70 percent of the grant funds will
be used for activities that benefit low- and moderate-income persons,
in accordance with the requirements of 24 CFR 1003.208.
l. Demographic Data. If applicable, demographic information that
complies with the requirements in 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 survey form, an explanation of the methods used to
collect the data, and a listing of incomes by household including
household size;
m. Project-Specific Thresholds. Applicants must respond to project-
specific thresholds outlined in Section III.C.3, as applicable.
n. Commitment to Housing for Land Acquisition to Support New
Housing Projects. For land acquisition to support
[[Page 27054]]
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;
o. Health Care Facilities. If you propose a facility that would
provide health care services funded by the Indian Health Service (IHS),
you must provide a statement that the facility will meet 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;
p. Correctional Facilities/Juvenile Detention Centers. If you
propose a correctional facility or juvenile detention center that would
provide correctional services to be funded by the U.S. Department of
Justice (DOJ) and/or Bureau of Indian Affairs (BIA), you must provide a
statement that the facility meets all applicable BIA standards
regarding correctional operations, programs and designs;
q. Optional submissions are:
(1) You Are Our Client! Grant Applicant Survey (HUD 2994-A)
(Optional); and
(2) Program Outcome Logic Model, HUD-96010. See Rating Factor V for
additional information.
C. Submission Dates and Times
1. Application Submission Deadline. The application deadline date
is July 11, 2008. 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 P.M. 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. 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.
2. Mailing and Receipt Procedures. Applicants granted a waiver of
the electronic submission requirement will receive specific mailing
instructions, including the number of copies to be submitted, with
approval of the waiver. 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. See 24 CFR part 5.
3. 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
See Section III.C.6.
F. Other Submission Requirements
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 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.
Applicants granted a waiver of the electronic submission requirement
will receive specific mailing instructions, including the number of
copies to be submitted, with approval of the waiver. 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. See 24 CFR part 5.
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 15 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 Title Points Project type
------------------------------------------------------------------------
1.................... CAPACITY OF THE 30............ Minimum of 15
APPLICANT. Points
Required.
1................ Managerial, 15 or 30*.....
Technical and
Administrative
Capacity.
1.a.......... Managerial and 8............. All Project
Technical Staff. Types.
1.b.......... Project 3 or 8*....... All Project
Implementation Types.
Plan.
1.c.......... Financial 2 or 7*....... All Project
Management. Types.
1.d.......... Procurement and 2 or 7*....... All Project
Contract Types.
Management.
[[Page 27055]]
2................ Past Performance 15 or 0*......
2.a.......... Implementation 3 or 0*....... All Project
Schedule. Types.
2.b.......... Reports......... 3 or 0*....... All Project
Types.
2.c.......... Close-outs...... 3 or 0*....... All Project
Types.
2.d.......... Audits.......... 3 or 0*....... All Project
Types.
2.e.......... Findings........ 3 or 0*....... All Project
Types.
2.................... NEED/EXTENT OF 16............
THE PROBLEM.
1................ Need and 4............. All Project
Viability. Types.
2................ Project Benefit. 12............ All Project
Types.
2.a.......... Public 12............ Public
Facilities and Facilities and
Improvement Improvement
Projects. Projects
2.b.......... Economic 12............ Economic
Development Development
Projects. Projects.
2.c.......... New Housing 12............ New Housing
Construction, Construction,
Housing Housing
Rehabilitation,. Rehabilitation
, Land
Acquisition to
Support.
2.d.......... Microenterprise 12............ Microenterprise
Programs. Programs.
3.................... SOUNDNESS OF 36............
APPROACH.
1................ Description of 13............ All Project
and Rationale Types.
for Proposed.
2................ Budget and Cost 8............. All Project
Estimates. Types.
3................ HUD Policy 1............. All Project
Priorities. Types.
4................ Intent to Meet 2............. All Project
Section 3 Types.
Requirements.
5................ Commitment to 12............
Sustain
Activities.
5.a.......... Public 12............ Public
Facilities and Facilities and
Improvement Improvements.
Projects.
5.b.......... New Housing 12............ New Housing
Construction, Construction,
Housing Housing
Rehabilitation, Rehabilitation
and. , and
Homeownership
Assistance.
5.c.......... Economic 12............ Economic
Development Development
Projects. Projects.
5.d.......... Microenterprise 12............ Microenterprise
Programs. Programs.
5.e.......... Land Acquisition 12............ Land
Projects to Acquisition to
Support New Support New
Housing. Housing.
4.................... LEVERAGING 8............. All Project
RESOURCES. Types.
5.................... COMPREHENSIVENES 10............ All Project
S AND Types.
COORDINATION.
1................ Coordination.... 2............. All Project
Types.
2................ Outputs, 8............. All Project
Outcomes and/or Types.
Goals.
--------------------------------------------------
TOTAL........ ................ 100........... Minimum of 70
Points
Required.
------------------------------------------------------------------------
*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 (30 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 15 points under this factor for your proposed activity. HUD
will not rate any projects further that do not receive a minimum of 15
points under this factor. If you are funded, your progress will be
measured against your Implementation Schedule and/or the Logic Model,
form HUD-96010.
1. Managerial, Technical, and Administrative Capability. (15 points
for current ICDBG grantees and 30 points for new applicants). 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. Managerial and Technical Staff (8 Points)
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 and relevant the experience of your staff members who will
work on the project, the greater the number of points you will receive
for this rating factor. Please do not include the Social Security
Numbers (SSN) of any staff members.
(8 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).
(4 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
[[Page 27056]]
projects for which funding is being requested. However, one of the
following applies: Staff experience as described in the application is
not recent (within 5 years), is not relevant (pertains to the specific
activities being proposed or the specific roles and responsibilities
described in the application), or is not successful (produced 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. Project Implementation Plan (3 Points for Current ICDBG Grantees and
8 Points for new Applicants)
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.
(3 points for current ICDBG grantees and 8 points for new
applicants). The applicant submitted a project implementation plan that
clearly specifies tasks and timelines.
(2 points for current ICDBG grantees and 5 points for new
applicants). The applicant submitted a project implementation plan that
did not specify both tasks and timelines.
(0 points for current ICDBG grantees or new applicants). The
applicant did not submit a project implementation schedule that
addressed all tasks and timelines.
c. Financial Management (2 Points for Current ICDBG Grantees and 7
Points for New Applicants)
This subfactor evaluates the extent to which your application
describes how your financial management systems meet the requirements
of 24 CFR part 85 and 24 CFR part 1003. 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 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 deadline 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.
(2 points for current ICDBG grantees and 7 points for new
applicants). The applicant clearly described how its financial
management systems meet 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
IPA stating that its financial management system complies with all
applicable regulatory requirements.
(1 points for current ICDBG grantees and 4 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
IPA stating that its financial management system complies with all
applicable regulatory requirements. The applicant did not describe how
its financial management 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 its financial management system
meets the requirements of 24 CFR part 85 and 24 CFR part 1003.
d. Procurement and Contract Management (2 points for current ICDBG
grantees and 7 points for new applicants). This subfactor evaluates the
extent to which your application describes how your procurement and
contract management policies and procedures will meet the requirements
of 24 CFR part 85 and 24 CFR part 1003. 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 IPA 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 7 points for new
applicants). The applicant clearly described how its procurement and
contract management policies and procedures will meet 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
procurement and contract management system, or if there is no current
audit, the applicant submitted a letter from its IPA stating that its
procurement and contract management system complies with all applicable
regulatory requirements.
(1 point for current ICDBG grantees and 4 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 IPA stating that its procurement and
contract management system complies with all applicable regulatory
requirements. The applicant did not describe how its procurement and
contract management policies and procedures 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
[[Page 27057]]
applicant did not describe how its procurement and contract management
policies and procedures will meet the requirements of 24 CFR part 85
and 24 CFR part 1003.
2. Past Performance (15 points for current ICDBG grantees and 0
points for new applicants). 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. Applicants are not required to respond
to the subfactors related to past performance. HUD will rely on
information on file.
a. Implementation Schedule (3 points for current ICDBG grantees and
0 points for new applicants). The applicant is not more than 90 days
behind schedule in meeting the time frames established in the HUD-
approved Implementation Schedule for the ICDBG program.
(1) (3 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. Reports (3 points for current ICDBG grantees and 0 points for
new 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) (3 points) The applicant has submitted both the ASER and
Federal Cash Transaction Reports for ICDBG programs within 15 days of
the report submission deadlines.
(2) (2 points) The applicant has submitted either the Federal Cash
Transaction Reports or the ASERs for ICDBG programs within 15 days of
the report submission deadline.
(3) (0 points) The applicant has submitted neither of the required
reports within 15 days of the report submission deadline.
c. Close-outs. (3 points for current ICDBG grantees and 0 points
for new applicants). The applicant has 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) (3 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. Audits. (3 points for current ICDBG grantees and 0 points for
new applicants). The applicant has 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. Applicants who are not required to submit an annual
audit in accordance with OMB Circular A-133 must state this in their
application in order to receive points for this subfactor.
(1) (3 points) The applicant has 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,
you submitted a copy of the extension approval. If the applicant has
not been required to submit an audit, it will receive 3 points.
(2) (0 points) The applicant has 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. Findings (3 points for current ICDBG grantees and 0 points for
new applicants). The applicant has 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) (3 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 3 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. Need and Viability (up to 4 points) Your application includes
quantitative information demonstrating that the proposed project meets
an essential community development need and is critical to the
viability of the community.
2. Project Benefit (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.
a. Public Facilities and Improvement Projects (12 Points)
The proposed activities benefit the neediest segment of the
population, as identified below. In order to meet the requirements of
this section, you must submit the most recently available Decennial
Census information or you may submit data that are unpublished, not
generally available, and not older than the latest Census data. If you
are submitting demographic data other than the Census, your application
must contain a statement that the following criteria have been met:
--Generally available published data are substantially inaccurate or
incomplete;
--Data that you submit have been collected systematically and are
statistically reliable;
--Data are, to the greatest extent feasible, independently verifiable;
and
--Data differentiate between reservation and BIA service area
populations, when applicable.
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 survey form, an explanation of the methods used to collect
the data, and a listing of incomes by household including household
size;
(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.
[[Page 27058]]
(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. Economic Development Projects (12 Points)
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. For persons served by the project, you must
submit the most recently available Decennial Census information or you
may submit data that are unpublished, not generally available, and not
older than the latest Census data as described in 2.a. above. 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 and number
of the jobs created or retained for low/moderate income people. Such
information includes, but is not limited to, brief descriptions of
proposed job responsibilities, job titles, 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.
(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.
c. New Housing Construction, Housing Rehabilitation, Land Acquisition
to Support New Housing, and Homeownership Assistance Projects (12
Points)
The need for the proposed project is determined by utilizing data
from the tribe's 2007 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 $311-$750
or the tribe's total FY 2007 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 the Needs Table indicates that the Indian tribe has no AIAN
households experiencing income or housing problems.
d. Microenterprise Programs (12 Points)
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. 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 and number of the jobs created or retained for
low/moderate income people. Such information includes, but is not
limited to, brief descriptions of proposed job responsibilities, job
titles, 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.
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 (36 Points)
This factor addresses the quality and anticipated effectiveness of
your proposed project to enhance community viability and meet 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. Description of and Rationale for Proposed Project (13 Points)
a. (13 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 demonstrate 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 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. (10 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. The application includes a
[[Page 27059]]
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 program design and/or construction
methods.
c. (6 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.
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 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. 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 program design and/or
construction methods.
2. Budget and Cost Estimates (8 Points)
The budget is thorough and reasonable and all costs 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. HUD Policy Priorities (1 Point)
Your application addresses the goals for ``Improving Our Nation's
Communities,'' or ``Encouraging Accessible Design Features'' two of
HUD's 2008 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. Intent To Meet Section 3 Requirements (2 Points)
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 the Indian Preference
provisions in Section 7(b) of the Indian Self-Determination and
Education Assistance Act (25 U.S.C. 450e(b)).
5. Commitment to Sustain Activities (12 Points)
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.
The criteria for this sub-factor vary according to the type of
project for which you are applying.
a. Public Facilities and Improvement Projects (12 Points)
(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 written
statement from the entity is included in the application that the
entity has developed 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. 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 only 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 written statement from the entity is included in the
application that the entity has developed the operations 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 only four of the
following items (maintenance, repairs, insurance, security, and
replacement reserves) but a satisfactory cost breakdown for annual
expenses was not included. 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
[[Page 27060]]
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 only 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 application includes a written
statement that the entity has developed 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 only three of the
following items (maintenance, repairs, insurance, security, and
replacement reserves). 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 (12 Points)
(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 (12 Points)
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?
(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) 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 (12 Points)
(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) 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 (12 Points)
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.
[[Page 27061]]
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 obtain points for this rating factor, 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 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 (10 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
applicant should describe the project's specific benchmarks, outputs,
outcomes, and goals for enhancing community viability. The applicant
should also indicate how you will measure and evaluate how the goals
are being met.
Applicants are strongly encouraged to use the Logic Model, HUD form
96010, to provide information on the measurable outputs, outcomes and
program evaluation requirements. Alternatively this information can be
submitted in a narrative format.
1. Coordination (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
[[Page 27062]]
must provide a written statement that when submitted, the IHP will
specifically reference the proposed project.
2. Outputs, Outcomes, and/or Goals (up to 8 points). The extent to
which your proposed project identifies, measures and evaluates the
specific benchmarks, outputs, outcomes and/or goals of your project
that 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 Excel\TM\ 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. The Master Logic Model 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. Review and Selection Process
1. Application Selection Process. You must meet all 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. 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 (e).
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 substantially 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.
3. 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.
4. 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 15 points under Rating Factor 1 in
order to meet the minimum point requirements outlined below in this
NOFA.
5. 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 number of points for rating factors 1 through 5 is 100.
6. Minimum Points. To be considered for funding, your application
must receive a minimum of 15 points under Rating Factor 1 and an
application score of 70 points.
7. 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.
8. 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.
9. 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
[[Page 27063]]
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. HUD will notify applicants
by facsimile or via the U.S. Postal Service, return receipt requested.
Applicants will be provided thirty (30) calendar days from the date of
receipt of the HUD notification to respond to these requirements. No
extensions will be provided. If the deadline date falls on a Saturday,
Sunday, or federal holiday, your response must be received by HUD on
the next day that is not a Saturday, Sunday, or federal holiday. 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.
c. The time period for calculating the response deadline for
technical deficiencies and pre-award requirements begins on the day
after receipt of the pre-award letter from the Area ONAP.
10. 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.
11. 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 November 26,
2008. 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 9/29/03). 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 environmental certification submitted
by the grantee. 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.
D. 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.
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; and OMB Circular
A-122, Cost Principles for Nonprofit Organizations; and 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 Consolidated Appropriations Act, 2006 (Pub. L. 109-
115; approved November 30, 2005) 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
[[Page 27064]]
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;
(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 27065]]
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[[Page 27066]]
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-5200-N-20; 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 July 2, 2008.
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, published March 19, 2008 (73 FR 14882), 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 (42 U.S.C. et seq.) as amended.
2. Award Information: In Fiscal Year (FY) 2008, approximately $9
million has been made available for this program by the Consolidated
Appropriations Act, 2008 (Pub. L. 110-161). An applicant can request up
to $700,000 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 million will be made available to fund
First Time HBCU applicants. In addition, approximately $8 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: 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 assist HBCUs 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 Title I of Housing and Community
Development Act of 1974 (42 U.S.C. et seq.) 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.
A ``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
in their application for why they want to do so.
A. Authority
HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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 FY2007 program
funding announcement:
1. Applicants can now request up to $700,000 for a three-year (36
months) grant performance period.
2. Abstract and budget narrative responses must be submitted
electronically and formatted to fit an 8\1/2\-by-11-inch page.
Responses must be double-spaced, with one inch margins (for the top,
bottom, left and right sides of the document), using the standard Times
New Roman 12-point font.
3. Project budgets will be evaluated and scored under Factor 3,
Soundness of Approach. HUD will assess the applicant's budget in
relation to its quality, thoroughness, reasonableness, and rationality
to the proposed project.
4. There is a maximum allowance for administrative cost. Applicants
can utilize up to 20 percent of their grant for payments of reasonable
grant administrative costs related to planning and executing the
project (e.g., preparation/submission of HUD reports, etc.). Detailed
explanations of these costs are provided in the OMB circular A-21, Cost
Principles for Educational Institutions that can be accessed at the
White House Web site at: http://www.whitehouse.gov/omb/circulars/
index.html.
5. Applicants must ensure that 51 percent or more of all funds
awarded will be utilized for the community and/or general public. These
funds are not for the direct benefit of the institution.
6. For the purpose of responding to Rating Factor 1, Capacity of
the Applicant and Relevant Experience subfactor (a) Knowledge and
Experience, HUD now defines Previously Funded Applicants as any
applicants that received funding in FY 1999 through FY 2007. If an
applicant has received a grant prior to these years then they should
respond to this factor as a First-Time Applicant. This definition is
relevant to this rating factor and the abstract only.
7. Applicants that propose ineligible activities will not be
disqualified, but will not receive points under Factor 3, Soundness of
Approach for the ineligible activities. HUD reserves the right to
deduct points under this factor for those activities and/or not fund an
application if the majority of the activities are ineligible.
8. Applicants that have no external leveraging resources (the
institution is not considered an external resource) under Factor 4
Leveraging Resources/Developing Partnerships will receive no points
under this factor. In addition, HUD will now score Factor 4 as follows:
a. Ten (10) points to an applicant that provides leveraging
resources as listed in their application that are 15 percent or more of
the amount requested under this program;
b. Nine (9) points to an applicant that provides leveraging
resources as listed in their application that represents 13 to 14
percent of the amount requested under this program;
c. Eight (8) points to an applicant that provides leveraging
resources as listed in their application that represents 11 to 12
percent of the amount requested under this program;
[[Page 27067]]
d. Seven (7) points to an applicant that provides leveraging
resources as listed in their application that represents 8 to 10
percent of the amount requested under this program;
e. Six (6) points to an applicant that provides leveraging
resources as listed in their application that represents 6 to 7 percent
of the amount requested under this program;
f. Five (5) points to an applicant that provides leveraging
resources as listed in their application that represents 5 percent of
the amount requested under this program; and
g. Zero (0) points to an applicant that provides leveraging
resources as listed in their application that is less than 5 percent of
the amount requested under this program and/or have no external
leveraging resources (remember, the institution/applicant is not
considered an external resource).
II. Award Information
In FY2008, approximately $9 million is made available for this
program. An applicant can request up to $700,000 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 million will be made available to fund
First-Time HBCU applicants. In addition, approximately $8 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 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. 570.201 through Sec. 570.206.
Information regarding these activities can be found online at: http://
www.access.gpo.gov/nara/cfr/waisidx_06/24cfr570_06.html. 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.
Note: 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, the public service
activities over the 15-percent cap will not be considered fundable
and this exclusion will 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
modifications in accordance with the requirements of Section 504 of the
Rehabilitation Act of 1973 (29 U.S.C. 794) and visitability
modifications in accordance with the policy priorities described in the
General Section;
(4) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets compliance with accessibility requirements
such as those under Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) and the Americans with Disabilities Act of 1990 (42 U.S.C.
12101);
(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 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 Networks centers in federally assisted or
insured housing, job training and placement, and recreational needs;
(8) 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 (42 U.S.C. 5305(a)(25));
(9) There is a maximum allowance for administrative cost. Up to 20
percent of the grant may be used for payments of reasonable grant
administrative costs related to planning and executing the project
(e.g., preparation/submission of HUD reports). Detailed explanations of
these costs are provided in OMB circular A-21, Cost Principles for
Educational Institutions that can be accessed at the White House Web
site at: http://www.whitehouse.gov/omb/circulars/index.html;
(10) These funds are not for the direct benefit of the institution;
51 percent or more of all funds must be utilized for the community and/
or general public; and
(11) 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. 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
[[Page 27068]]
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.
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 $700,000 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 a separate DUNS number and
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. 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) (ii)or 570.208(d)(5) or (6);
c. Applicants must ensure that 51 percent or more of all funds
awarded will be utilized for community and/or general public use. These
funds are not for the direct benefit of the institution;
d. Applicants that propose to construct new housing or rehabilitate
existing housing must ensure that their project and/or facilities are
operated in accordance with applicable design and construction
requirements, including either the Fair Housing Act and/or Section 504
of the Rehabilitation Act of 1973 and corresponding HUD implementing
regulations. Please note that in situations where both the Fair Housing
Act design and construction accessibility requirements and Section 504
design and construction accessibility requirements apply, applicants
must apply both standards to obtain maximum accessibility; and
e. Applicants that propose non-housing programs and facilities must
ensure that their projects are operated in compliance with the
requirements of Section 504 of the Rehabilitation Act of 1973, the
American with Disabilities Act (ADA), the Architectural Barriers Act
(ABA), and corresponding HUD implementing regulations. Note that the
accessibility standard for non-housing projects is the Uniform Federal
Accessibility Standards (UFAS).
4. 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.
5. 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 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. Applicants should use the
protocol at http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/
environment/review/protocol.pdf to supply HUD with the information
needed for HUD to start and complete the environmental review. Further
information and assistance on HUD's environmental requirements is
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C.
4851-4856), and relevant subparts of the implementing regulations at 24
CFR Part 35, such as subparts A, B, J, K and R, which apply to
activities under this grant program.
7. 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.
8. 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. See the Section 3 Regulations located at 24 CFR Part 135.36.
9. Affirmatively Furthering Fair Housing Requirements. Under
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to
affirmatively further fair housing. HUD requires the same of its
funding recipients. If you are a successful applicant proposing
housing-related activities, you will have a duty to affirmatively
further fair housing opportunities for classes protected under the Fair
Housing Act. Protected classes include race, color, national origin,
religion, sex, disability, and familial status. For example: (1)
Working with other entities in the community to overcome impediments to
fair housing, such as discrimination in the sale or rental of housing
or in advertising, provision of brokerage services, or lending; (2)
Promoting fair housing choice through the expansion of homeownership
opportunities and improved quality of services for minorities, families
with children, and persons with disabilities; or (3) Providing housing
mobility counseling services.
IV. Application Instructions and Submission Information
A. Instructions To Download 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
[[Page 27069]]
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. 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. Application Content and Forms for Submission
1. Application Content. Applications must consist of the following
elements: Abstract, narrative for the rating factors, budget, budget
narrative, and forms. Applicants that received a wavier of the
electronic application submission requirement must submit their
application in the order below. Copies of the instructions and all
forms are available online at http://www.grants.gov/applicants/apply_
for_grants.jsp.
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 regarding the content of the application
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 14.520;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be October
1, 2008; 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. Abstract. Applicants must include no more than a two-page,
doubled-spaced 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
served, and the impact this project is expected to have on the
community;
(2) A statement that the institution is an eligible applicant
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 regarding the content of this application
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; and
(5) If a previously funded applicant, include the name and date the
past project(s) were funded. Remember HUD now defines Previously Funded
Applicants as any applicants that received funding in FY 1999 through
FY 2007.
c. Narrative statement addressing the rating factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. This NOFA has five rating factors that need to be
addressed. The narrative statement is the main source of information.
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material
in response to factors 1-3, instead, focus on how well the proposal
responds to each of the factors. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. Where there are
subfactors, each subfactor must be addressed and presented separately,
with the short title/name of the subfactor presented. Make sure to
address each subfactor and provide sufficient information about every
element of the subfactor. Do not include any individual's Social
Security Numbers in your application. The narrative section of an
application must be submitted electronically. It must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page.
Responses must be double-spaced (information submitted in chart format
does not have to be doubled-spaced) with one inch margins (for the top,
bottom, left, and right sides of the document), using the standard
Times New Roman 12-point font. Each page of the application must
include the applicant's name and 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. Please do not attach your response to each
factor separately. Please follow the instructions on use of zip files,
file extension, and file names in the General Section. File names
should not contain spaces or special characters.
d. 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 form HUD-424-CB 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 budget narrative 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 and/or budget
narrative, the amount listed on
[[Page 27070]]
the HUD-424-CB will be the amount HUD will use to calculate the amount
the applicant is requesting for funding. 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 each line item.
This information must be electronically submitted and formatted to fit
an 8\1/2\-by-11-inch page. Responses must be doubled-spaced, with one
inch margins (for the top, bottom, left, and right sides of the
document), using the standard Times New Roman 12-point font. Project
budgets will be evaluated and scored under Factor 3, Soundness of
Approach. HUD will assess the soundness of an applicant's approach by
evaluating the quality, thoroughness, reasonableness and rationality of
the proposed project budget. In addition, please provide the name, if
known, hourly or daily rate, and the estimated time that will be
devoted to the project for each consultant. For example, an applicant
proposes to construct a building using HUD funding totaling $200,000.
The following cost estimates 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. Applicants must use a cost
estimate based on 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 a project that involves 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.).
(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 approved 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 the applicant with the
process of establishing a final rate.
e. Appendix. The appendix section of the application must not
exceed 15 pages in length (excluding forms, budget narrative, and
assurances). Each page must include the applicant's name and be
numbered. An applicant should not submit resumes, letters of support,
commitment letters, memoranda of understanding, and/or agreements, or
other back-up materials to supplement the application's narrative. If
this information is included, it will not be considered during the
review process. HUD will not consider the information on any excess
pages. The additional items will also slow the transmission of your
application.
2. Forms. The following forms are required for submission. All
required forms are contained in the electronic application package.
Applicants receiving a waiver of the electronic submission requirements
and submitting a paper copy of the application must place all required
forms in the appendix section of the application.
a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
c. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
e. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
f. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
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! Grant Applicant Survey.
Applicants are not required to complete this form;
i. HUD-40076, Response Sheet Performance Narrative, Previously
Funded HBCU Applicant Only;
j. HUD-96010, Program Outcome Logic Model; and
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
and complete the SF-424, which 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.
3. 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.
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 July 2, 2008, 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.
[[Page 27071]]
D. Intergovernmental Review
This program is excluded from the Intergovernmental Review process.
E. Funding Restrictions
Ineligible CDBG activities are listed at 24 CFR 570.207. Ineligible
activities include but are not limited to the following:
1. Curriculum development and/or expansion of an institution's
existing curriculum;
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); and
5. Activities and/or buildings constructed for only campus use and/
or less than 51 percent community/public use.
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 (OUP) 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. All paper applications must be submitted
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper,
with one inch margins (for the top, bottom, left, and right sides of
the document), and printed in standard Times New Roman 12-point font.
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, experience, and capacity necessary to successfully complete
the proposed project by the end of the grant performance period.
a. Knowledge and Experience for First Time Applicants (25 Points)
for Previously Funded Applicants (10 Points). For the purpose of
responding to this subfactor only, Previously Funded Applicants are any
applicants that received funding in FY 1999 through FY 2007. If an
applicant has received a grant prior to these years they should respond
to this factor as a First Time Applicant. This definition is relevant
to this rating factor ONLY.
In rating this subfactor, HUD will consider the extent to which the
applicant clearly addresses the following:
(1) Identifies key project team members/staff and partners, their
title and name (e.g., project manager/coordinator-Sally Susan Smith,
etc.), respective roles, and time each individual will allot to this
project;
If key personnel have not been hired, identify the position title,
description of duties and responsibilities, and qualifications to be
considered in the selection of personnel, including subcontractors and
consultants;
(2) Describes the knowledge and relevant experience of the proposed
project team members/staff and partners (as outlined above) that will
conduct the day-to-day project activities, consultants (including
technical assistance providers), and contractors in planning and
managing the type of project for which funding is being requested; and
(3) Explains the institution's experience and capacity to
administer and monitor the type of project for which funding is being
requested.
Applicant's staff and partners' (as outlined above) experience and
the institution's capacity to do the work will be judged in terms of
recent and relevant knowledge and skills 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 completed and/or open 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 between FY 1999 through
FY 2007, including the dollar amount awarded and the amount expended
and obligated as of the date the application is submitted. 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 list detailing the date the project(s) was completed; was it
completed during the original grant performance period; if not
completed, why (including when it was or will be completed); if the
project is still in progress, provide details on the project's current
status;
(3) A description of the results (outcomes) achieved consistent
with the approved project management plan. If not completed as proposed
explain why;
(4) A list comparing the amount of proposed leveraged funds and/or
resources (outlined in the original application) to the amount that was
actually leveraged as of the date the application is submitted; 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; compliance with the program's terms and
condition; and receipt of promised leveraged resources. In evaluating
past performance, HUD reserves the right to deduct up to ten (10)
points from this rating score as a result of the information obtained
from HUD's records (i.e., progress and financial reports, monitoring
reports, Program Outcome Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (12 Points)
a. Rating Factor addresses the extent to which there is a need for
funding the proposed project and an indication of
[[Page 27072]]
the importance of meeting the need(s). 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 cite statistics and/or analyses contained in at least one
or more current, sound, and reliable data sources:
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
b. 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 online at: http://
www.ffiec.gov.
c. HUD will also consider data collected within the last five (5)
years to be current. However, applicants must utilize the most current
version of the data source(s) that exists. 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, 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 (41 Points)
This factor addresses the soundness, quality, and effectiveness of
the proposed work plan and the commitment of the applicant to sustain
the proposed project activity(s). Points are awarded under this factor
for the quality of the activities proposed in relation to the need/
problem identified in Factor 2, not for the number of activities
proposed. In addition, if the activities proposed are not eligible, HUD
reserves the right to deduct points under this factor for those
activities and/or not fund an application if the majority of the
activities are ineligible.
a. (25 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, and the anticipated
results (outcomes) they will have on the target population at the end
of the grant performance period.
(1) (20 Points) Specific Activities. The work plan must describe
all proposed project activities and major tasks (steps to complete the
proposed activities) required to successfully implement the proposed
project. The work plan must also identify the anticipated measurable
outcomes these activities will have on the targeted population. In
addressing this subfactor, HUD will consider the following:
(a) Identify the method/planning strategy(s) used during the
development of this application. Describe in detail how the proposed
project/activities to be undertaken were identified and if and how they
connect and /or complement the City's Consolidated Plan. List all
individuals/organizations that were involved in the planning process
for this project and their roles;
(b) Describe each proposed project activity in measurable terms
(e.g., the number of persons to be trained; houses to be built or
rehabilitated; or minorities trained to start businesses, etc.);
(c) Identify the major tasks (steps to complete the proposed
activities) 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 36 months, e.g. to
develop a training program the following steps may occur: Hiring
staffing, purchasing supplies, developing curricula/training modules,
conducting training etc.);
(d) Identify the key team members/staff and partners, as identified
in Factor 1, who will be responsible and accountable for completing
each task;
(e) 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; and
(f) Describe the measurable impact (outcome) that implementing each
activity will have or is expected to have on the target population by
the end of the grant performance period (e.g. number of individuals
employed as a result of training; number of new homeowners as a result
of the number of houses that were built or rehabilitated; or number of
minority-owned businesses started, etc.);
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the target community;
(b) Address the needs identified in Factor 2; and
(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.
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe in detail how it proposes to integrate the
institution's students (this excludes students that are project
recipients/participants) and faculty into proposed project activities.
c. (4 Points) Involvement of the Community. The applicant must
describe in detail how the community (e.g. businesses, residents, and
others) will be involved in the proposed project. The applicant must
identify the specific roles that individuals will and have played in
the proposed project. The community must play an active role in all
stages of the project. Community involvement must be diverse and
representative of the target population/community.
d. (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 FY 2009. In addressing this subfactor, HUD will
evaluate the extent to which a project 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:
[[Page 27073]]
(1) Submit either Part A or Part B (not both) of the completed
questionnaire HUD-27300, ``HUD's Initiative on Removal of Regulatory
Barriers,'' found in the General Section, (2) include appropriate
documentation, (3) identify a point of contact, and (4) indicate how
this priority will be addressed. It is up to the applicant to determine
which of the policy priorities they will address in order to receive
the available two (2) points.
e. (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 part 135). Regulations regarding the provision of Section 3
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) are
located at 24 CFR 135.36.
f. (5 Points) Budget and Cost Estimates. HUD will assess the
soundness of your approach by evaluating the quality, thoroughness, and
rationality of the proposed project budget and budget narrative. The
budget narrative must be broken down by line item. Administrative costs
must be reflected under the appropriate line items (e.g., salaries,
fringe, supplies, costs related to planning and executing the project,
preparation/submission of HUD reports, etc.).
4. Rating Factor 4: Leveraging Resources/Developing Partnerships (10
Points)
This factor addresses the ability of the applicant to develop
partnerships and secure resources that can be combined with HUD's grant
funds to achieve the project's purpose.
a. HUD will consider the extent to which the applicant has
established partnerships with other entities (other than their own
institution) 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.
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 that the institution has waived
may be counted. Applicants that have no external leveraging resources
(the institution/applicant is not considered an external resource) will
receive no points under this factor.
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; and/or
--Faith-based and other community-based organizations.
b. To address this factor, an applicant must provide an outline in
their application that includes the information listed below of all
proposed leveraged resources (including any commitment of resources
from the applicant's own institution). Applicants must have on file at
the time of application submission the original written commitment
letters, memoranda of understanding, and/or agreements. Commitment
letters, memoranda of understanding, and/or agreements must be dated
prior to the application deadline date; if they are dated after the
application deadline date they will not be scored.
Each letter, memorandum of understanding, or agreement must include
the information below:
(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);
(3) A specific description of how each contribution is to be used
toward specific proposed activities (including the actual role the
partner will have in the proposed project activities for which their
contribution will be utilized);
(4) The date the contribution will be made available and a
statement that describes the duration of the contribution; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. This is only
applicable to the original written documentation.
c. Resources will also not be counted for which there is no
commitment letter, memorandum of understanding, agreement, or
quantified level of commitment, and/or when the letter, memorandum of
understanding, or agreement does not address ALL of the requirements
outlined above. Commitment letters, memoranda of understanding, and/or
agreements are not required at the time of application submission but
must be on file at the time of application submission. If commitment
letters, memoranda of understanding, and/or agreements are included
with the application at time of submission they will not be considered
during the review process. However, applicants submitting paper
applications must include all letters, memoranda of understanding, and/
or agreements in the Appendix of the application. Applicants chosen to
proceed to the next step in the selection process will be required to
submit the signed and dated commitment letters, memoranda of
understanding, and/or agreements outlined in the application within
five (5) calendar days after initial contact from 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 and no later than the application
deadline date. In addition, no points will be awarded for general
support letters endorsing the project from organizations, including
elected officials on the local, state, or national levels; therefore,
please do not include them. 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 documents from the
resources/organizations that are listed in the outline in the
application. If OUP does not receive those documents with the required
information within the allotted timeframe, an applicant will not
receive points under this factor.
Note: Submission of a grant award notification from another
entity/agency in place of a commitment letter, memorandum of
understanding, and/or agreement does not meet the requirement of
this factor and will not be accepted.
In scoring this factor, HUD will award:
(1) Ten (10) points to an applicant that provides leveraging
resources as listed in their application that are 15 percent or more of
the amount requested under this program;
(2) Nine (9) points to an applicant that provides leveraging
resources as listed in their application that represents 13 to 14
percent of the amount requested under this program;
(3) Eight (8) points to an applicant that provides leveraging
resources as listed in their application that
[[Page 27074]]
represents 11 to 12 percent of the amount requested under this program;
(4) Seven (7) points to an applicant that provides leveraging
resources as listed in their application that represents 8 to 10
percent of the amount requested under this program;
(5) Six (6) points to an applicant that provides leveraging
resources as listed in their application that represents 6 to 7 percent
of the amount requested under this program; and
(6) Five (5) points to an applicant that provides leveraging
resources as listed in their application that represents 5 percent of
the amount requested under this program.
(7) Zero (0) points to an applicant that provides leveraging
resources as listed in their application that is less than 5 percent of
the amount requested under this program and/or have no external
leveraging resources (remember, the institution/applicant is not
considered an external resource).
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 project'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-96010, ``HUD Program Outcome Logic Model.''
The Program Outcome Logic Model is a summary of the narrative
statements presented in Factors 1 through 3. Therefore, it should be
consistent with the information contained in the narrative statements.
In evaluating this factor, HUD will assess the extent to which the
applicant demonstrates how results of the project will be measured as
outlined in the proposed work plan. To meet this factor requirement,
applicants must submit a completed HUD-96010, ``HUD Program Outcome
Logic Model.'' Applicants must select from the list of activities and
outcomes to determine their specific methods and measures that will be
used to assess progress and evaluate program effectiveness. If an item
is not found on the list of activities or outcomes, applicants can
select ``other'' and then insert the activity and/or outcome and unit
of measurement. Applicants can use the ``other'' option for up to three
activities and three outcomes. See the instructions tab in the Logic
Model for further details. HUD will not accept activities or outcomes
selected as ``other'' that do not contain an identified statement of
the activities/outcomes or units of measurement. Utilizing this form
will help grantees to ensure that performance measures are being met
and they are establishing achievable realistic goals.
a. Program Outcome Logic Model instructions (using a Microsoft
ExcelTM form) are provided in the forms appended to the
Instruction Download from http://www.grants.gov/applicants/apply_for_
grants.jsp. Applicants that do not have access to Microsoft
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at
(717) 730-3705 (this is not a toll-free number).
A narrative response is not required for this factor as all
applicants must use the logic model form to respond to this factor.
However, if a narrative is included, these pages will be included in
the page count. HUD has developed a new approach to completing this
form. Applicants should also review the Program Outcome Logic Model
training, which can be found online at: http://www.hud.gov/Webcasts/
index.cfm.
b. HUD will review the outputs and outcomes in relation to the
needs identified. ``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, and/or provision of stable living
environments through the creation of affordable housing opportunities
(e.g., increased assets to families and communities through the
development of affordable housing).
Applicants must also establish 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:
(1) 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);
and
(2) Measurable outcomes the grant will have on the community in
general and the target area or population.
Applicants must also reference policy priorities, as stated in
response to Factor 3, and relate them to the project's goals, as
appropriate. HUD will evaluate the Program Outcome Logic Model in
accordance with the matrix provided in Attachment 1 of the General
Section.
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 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 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 4 shall be selected. If
there is still a tie, the application with the most points for Factor
1, 2, 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
[[Page 27075]]
selections have been made, the remaining funds will be carried over to
the next funding cycle's competition.
HUD will not fund any portion of an application that is not
eligible for funding under regulatory requirements; does not meet the
requirements of the NOFA; or may be duplicative of other funded
programs or activities/tasks from prior year awards. Only the eligible
portions of an application will be funded. When the majority of the
activities are ineligible, HUD will not fund the application.
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, 2008.
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
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. Applicants may also write to Ms.
Wilson via e-mail at Ophelia.Wilson@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), OMB Circular A-21 (Cost Principles for Educational
Institutions) and OMB Circular 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. See the General Section for 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 the General Section for
further discussion.
6. Code of Conduct. See the General Section for further discussion.
7. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). Successful applicants may not
exclude participants or beneficiaries on the basis of race, color, or
national origin under Title VI of the Civil Rights Act. To ensure that
program information is accessible to persons with limited English
proficiency on the basis of national origin, successful applicants may
follow HUD's Final Guidance to Federal Financial Assistance Recipients
Regarding Title VI Prohibition Against National Origin Discrimination
Affecting Limited English Proficient Persons, 72 FR 2732 (Jan. 22,
2007).
C. Reporting
1. All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of three
components: a narrative that must reflect the activities undertaken
during the reporting period; a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary of costs
incurred during the reporting period; and a HUD-96010, Program Outcome
Logic Model form, which identifies output and outcome achievements.
2. Applicants selected for funding should also be aware that they
will be required to report sub-award information within 30 days of
making a sub-award in an amount of $25,000 or greater as required by
the Federal Funding Accountability and Transparency Act of 2006 (Public
Law 109-282). The Federal Funding Accountability and Transparency Act
of 2006 calls for the establishment of a central Web site that makes
available to the public full disclosure of all entities receiving
federal funds. Applicants should be aware that the law requires the
information provided on the federal Web site to include the following
elements related to all sub-award transactions of $25,000 or greater.
(a) The name of the entity receiving the award;
(b) The amount of the award;
(c) Information on the award, including the transaction type,
funding agency, the North American Industry Classification System code
or Catalog of Federal Domestic Assistance number (where applicable),
program source, and an award title descriptive of the purpose of each
funding action;
(d) The location of the entity receiving the award and primary
location of performance under the award, including the city, state,
congressional district, and country;
(e) A unique identifier (DUNS number) of the entity receiving award
and of the parent entity of the recipient (DUNS number of the parent
entity) should the entity be owned by another entity;
(f) Federal parent award number and sub-award grant number;
(g) The tier level the sub-award was made at; and
(h) Any other relevant information specified by OMB.
There are exceptions for sub-awards less than $25,000 made to
individuals or to an entity whose annual expenditures are less than
$300,000.
Applicants should also be aware that the sub-award provision
carries to all tiers (e.g., a direct award is made by HUD to an
organization that in turn makes an award to another organization that
then makes another award and so on). Collection of the tier level at
which the award is made as well as federal parent award number can help
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability
Transparency Act of 2006 requirements will be finalized through a
future Federal Register notice.
VII. Agency Contacts
Applicants may contact Ophelia Wilson at (202) 402-4390 or Susan
Brunson at (202) 402-3852. 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. mailto:
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.
[[Page 27076]]
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.
[[Page 27077]]
[GRAPHIC] [TIFF OMITTED] TN12MY08.005
[[Page 27078]]
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-5200-N-05; OMB Approval Number
is 2528-0198.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.514.
F. Dates: The application deadline date is July 2, 2008.
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, published March 19, 2008 (73 FR 14882), 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) 2008, approximately $6
million has been made available for this program by the Consolidated
Appropriations Act, 2008 (Pub. L. 110-161), plus an additional $55,724
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 program grant.
A. Authority
HUD's authority for making this funding available under this NOFA
is the Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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) 2007
program funding announcement:
1. Applicants must ensure that 51 percent or more of all funds
awarded will be utilized for the community and/or general public. These
funds are not for the direct benefit of the institution.
2. Applicants that propose rehabilitation and/or construction
activities of a building located on a campus must commit to sustaining
that facility for the purpose of the activity proposed in their
application for at least five (5) years after the end of the grant
performance period.
3. Abstract and budget narrative must be electronically submitted
and formatted to fit an 8\1/2\-by-11-inch page. Responses must be
double-spaced, with one inch margins (for the top, bottom, left, and
right sides of the document), using the standard Times New Roman 12-
point font.
4. For the purpose of responding to Rating Factor 1: Capacity of
the Applicant and Relevant Experience Subfactor (a) Knowledge and
Experience, HUD now defines Previously Funded Applicants as any
applicants that received funding in FY 2001 through FY 2007. If an
applicant has received a grant prior to these years then they should
respond to this factor as a First Time Applicant. This definition is
relevant to this rating factor and abstract only.
5. Project budgets will be evaluated and scored under Factor 3
Soundness of Approach. HUD will assess the applicant's budget in
relation to its quality, thoroughness, reasonableness and rationality
to the proposed project.
6. Applicants that propose ineligible activities will not be
disqualified, but will not receive points under Factor 3 Soundness of
Approach for the ineligible activities. HUD reserves the right to
deduct points under this factor for those activities and/or not fund an
application if the majority of the activities are ineligible.
7. Applicants that have no external leveraging resources (the
institution is not considered an external resource) under Factor 4
Leveraging Resources/Developing Partnerships will receive no points
under this factor.
II. Award Information
In FY2008, approximately $6 million is made available for this
program and an additional $55,724 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.
[[Page 27079]]
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.
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.access.gpo.gov/nara/cfr/waisidx_06/24cfr570_06.html.
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
modifications in accordance with the requirements of the Section 504 of
the Rehabilitation Act of 1973 (29 U.S.C. 794) and visitability
modifications in accordance with the policy priorities described in the
General Section. Applicants that propose rehabilitation and/or
construction of a building on campus must sustain that facility for the
purpose of the activities proposed in this grant for at least five (5)
years after the end of the grant performance period.
(4) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets, and compliance with accessibility
requirements, such as those under Section 504 of the Rehabilitation Act
of 1973 (29 U.S.C. 794) and the Americans with Disabilities Act of 1990
(42 U.S.C. 12101);
(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 (42 U.S.C. 5305(a)(25));
(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 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);
(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 Networks 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 executing
of the project (e.g., preparation/submission of HUD reports). Detailed
explanations of these costs are provided in OMB circular A-21, Cost
Principles for Educational Institutions that can be accessed at the
White House Web site at: http://www.whitehouse.gov/omb/circulars/
index.html;
(11) These funds are not for the direct benefit of the institution;
51 percent or more of all funds must be utilized for the community and/
or general public; and
(12) 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.
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 online at: http://www.hud.gov/offices/cpd/
communitydevelopment/library/deskguid.cfm.
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
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 and meet the enrollment requirements as defined
in Section III.A.
d. Institutions that received an HSIAC grant in FY 2007 are not
eligible to submit an application under this NOFA. If an institution
received an HSIAC grant in FY 2004, FY 2005, or FY 2006, the
institution may apply under this NOFA as long as it proposes a
different activity (activities) that 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 July 2, 2008,
the application deadline date.
[[Page 27080]]
3. Program Requirements. 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)(ii) or 570.208(d)(5) or (6);
c. Applicants must ensure that 51 percent or more of all funds
awarded will be utilized for the community and/or general public. These
funds are not for the direct benefit of the institution.
d. Applicants that propose to construct new housing or rehabilitate
existing housing must ensure that their project and/or facilities are
operated in accordance with applicable design and construction
requirements, including either the Fair Housing Act and/or Section 504
of the Rehabilitation Act of 1973 and corresponding HUD implementing
regulations. Please note that in situations where both the Fair Housing
Act design and construction accessibility requirements and Section 504
design and construction accessibility requirements apply, applicants
must apply both standards to obtain maximum accessibility; and
e. Applicants that propose non-housing programs and facilities must
ensure that their projects are operated in compliance with the
requirements of Section 504 of the Rehabilitation Act of 1973, the
American with Disabilities Act (ADA), the Architectural Barriers Act
(ABA), and corresponding HUD implementing regulations. Note that the
accessibility standard for non-housing projects is the Uniform Federal
Accessibility Standards (UFAS).
4. 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.
5. 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 properties prior to HUD approval of specific properties or
areas. An application constitutes an assurance that the institution
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 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. Applicants should use the
protocol at http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/
environment/review/protocol.pdf to supply HUD with the information
needed for HUD to start and complete the environmental review. Further
information and assistance on HUD's environmental requirements is
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C.
4851-4856), and relevant subparts of the implementing regulations at 24
CFR part 35, such as subparts A, B, J, K and R, which apply to
activities under this grant program.
7. 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.
8. 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. See the Section 3 Regulations located at 24 CFR Part 135.36.
9. Affirmatively Furthering Fair Housing Requirements. Under
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to
affirmatively further fair housing. HUD requires the same of its
funding recipients. If you are a successful applicant proposing
housing-related activities, you will have a duty to affirmatively
further fair housing opportunities for classes protected under the Fair
Housing Act. Protected classes include race, color, national origin,
religion, sex, disability, and familial status. For example: (1)
Working with other entities in the community to overcome impediments to
fair housing, such as discrimination in the sale or rental of housing
or in advertising, provision of brokerage services, or lending; (2)
Promoting fair housing choice through the expansion of homeownership
opportunities and improved quality of services for minorities, families
with children, and persons with disabilities; or (3) Providing housing
mobility counseling services.
IV. Application Instructions and Submission Information
A. Instructions to Download 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. 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. Application Content and Forms for Submission
1. Application Content. Applications must consist of the following
elements: Abstract, narrative, budget, budget narrative, and forms.
Applicants that received a wavier of the electronic application
submission requirement must submit their application in the order
below. Copies of the instructions and all forms are available online at
http://www.grants.gov/applicants/apply_for_grants.jsp.
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 regarding the content of the
application from HUD;
[[Continued on page 27081]]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
]
[[pp. 27081-27130]] Fiscal Year 2008 SuperNOFA for HUD's Discretionary Programs
[[Continued from page 27080]]
[[Page 27081]]
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 October
1, 2008; 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. Abstract. Applicants must include no more than a two-page,
doubled-spaced 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
served, and the impact this project is expected to have on the
community;
(2) A statement that the institution is an eligible applicant
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
HSI: at least 25 percent of the full-time undergraduate students
enrolled in an institution are Hispanic;
(4) The designated contact person, including phone number,
facsimile number, and e-mail address (this is the person who will
receive all correspondence regarding the content of this application
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; and
(6) If a previously funded applicant, include the name and date the
past project(s) were funded. Remember HUD now defines Previously Funded
Applicants as any applicants that received funding in FY 2001 through
FY 2007.
c. Narrative statement addressing the rating factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. This NOFA has five rating factors that need to be
addressed. The narrative statement is the main source of information.
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material
in response to factors 1-3; instead, focus on how well the proposal
responds to each of the factors. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. Where there are
subfactors, each subfactor must be addressed and presented separately,
with the short title/name of the subfactor presented. Make sure to
address each subfactor and provide sufficient information about every
element of the subfactor. Do not include any individual's Social
Security Numbers in your application. The narrative section of an
application must be submitted electronically. It must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page.
Responses must be double-spaced (information submitted in chart format
does not have to be doubled-spaced) with one-inch margins (for the top,
bottom, left, and right sides of the document), using the standard
Times New Roman 12-point font. Each page of the application must
include the applicant's name and 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. Please do not attach your response to each
factor separately. Please follow the instructions on use of zip files,
file extension, and file names in the General Section. File names
should not contain spaces or special characters.
d. 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 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 and Puerto Rico 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/workshops. Partners described in Factor 4
Leveraging Resources/Developing Partnerships cannot receive funding
from this grant; if they are included, points will be deducted under
Factor 3, subfactor f. Budget and Cost Estimates.
Applicants must also submit form HUD-424-CB to reflect the total
cost (summary) for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, the HUD-424-CB, and
budget narrative 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 and/or budget narrative, the
amount listed on the HUD-424-CB will be the amount HUD will use to
calculate the amount the applicant is requesting for funding. 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 each line item.
This information must be electronically submitted and formatted to fit
an 8\1/2\-by-11-inch page. Responses must be double-spaced, with one-
inch margins (for the top, bottom, left, and right sides of the
document), using the standard Times New Roman 12-point font. Project
budgets will be evaluated and scored under Factor 3, Soundness of
Approach. HUD will assess the soundness of an applicant's approach by
evaluating the quality, thoroughness, reasonableness, and rationality
of the proposed project budget. In addition, please provide the name,
if known, hourly or daily rate, and the estimated time that will be
devoted on the project for each consultant. For example, an applicant
proposes to construct a building using HUD funding totaling $200,000.
The following cost estimates 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
[[Page 27082]]
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 institution and/or 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. Applicants must
use cost estimates based on 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 a project that involves 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
approved 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.
e. Appendix. The appendix section of the application must not
exceed 15 pages in length (excluding forms, budget narrative, and
assurances). Each page must include the applicant's name and be
numbered. An applicant should not submit resumes, letters of support,
commitment letters, memoranda of understanding, and/or agreements, or
other back-up materials to supplement the application's narrative. If
this information is included, it will not be considered during the
review process. HUD will not consider the information on any excess
pages. The additional items will also slow the transmission of your
application.
2. Forms. The following forms are required for submission. All
required forms are contained in the electronic application package.
Applicants receiving a waiver of the electronic submission requirements
and submitting a paper copy of the application must place all required
forms in the appendix section of the application.
a. SF-424 Supplement Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
c. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
e. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
f. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
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! Grant Applicant Survey.
Applicants are not required to complete this form;
i. HUD-96010, Program Outcome Logic Model; and
j. 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
and complete the SF-424, which 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.
3. Certifications, 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.
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 July 2, 2008, 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 the Intergovernmental Review process.
E. Funding Restrictions
Ineligible CDBG activities are listed at 24 CFR 570.207. Ineligible
activities include but are not limited to the following:
1. Curriculum development and/or expansion of an institution's
existing curriculum;
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); and
5. Activities and/or buildings constructed for only campus use and/
or less than 51 percent community/public use.
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:
[[Page 27083]]
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 (OUP) 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. All paper applications must be submitted
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper,
with one-inch margins (for the top, bottom, left, and right sides of
the document), and printed in standard Times New Roman 12-point font.
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, experience, and capacity necessary to
successfully complete the proposed project by the end of the grant
performance period.
a. Knowledge and Experience for First Time Applicants (25 Points);
For Previously Funded Applicants (10 Points). For the purpose of
responding to this subfactor only, Previously Funded Applicants are any
applicants that received funding in FY 2001 through FY 2007. If an
applicant received a grant prior to these years they should respond to
this factor as a First Time Applicant. This definition is relevant to
this rating factor ONLY.
In rating this subfactor, HUD will consider how well an applicant
clearly addresses the following:
(1) Identifies key project team members/staff and partners, their
titles and names (e.g., project manager/coordinator--Sally Susan Smith,
etc.), respective roles, and time each individual will allot to this
project.
If key personnel have not been hired, identify the position title,
description of duties and responsibilities, and qualifications to be
considered in the selection of personnel, including subcontractors and
consultants;
(2) Describes the knowledge and relevant experience of the proposed
project team member/staff and partners (as outlined above) that will
conduct the day-to-day project activities, consultants (including
technical assistance providers), and contractors in planning and
managing the type of project for which funding is being requested; and
(3) Explains the institution's experience and capacity to
administer and monitor the type of project for which funding is being
requested.
Applicant's staff and partners' (as outlined above) experience and
the institution's capacity to do the work will be evaluated in terms of
recent and relevant knowledge and skills 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 completed and/or open 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 between FY 2001 through
FY 2007, including the dollar amount awarded and the amount expended
and obligated as of the date the application is submitted;
(2) A list detailing the date the project(s) was completed; was it
completed during the original three-year grant performance period; if
not completed, why (including when it was or will be completed); if the
project is still in progress, provide details on the project's current
status;
(3) A description of the achieved results (outcomes) consistent
with the approved project management plan. If not completed as
proposed, explain why;
(4) A list comparing the amount of proposed leveraged funds and/or
resources (outlined in the original application) to the amount that was
actually leveraged as of the date the application is submitted; 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; compliance with the program's terms and
conditions; and receipt of promised leveraged resources. In evaluating
past performance, HUD reserves the right to deduct up to ten (10)
points from this rating score as a result of the information obtained
from HUD's records (i.e., progress and financial reports, monitoring
reports, Program Outcome Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (8 Points).
a. Rating Factor 2 addresses the extent to which there is a need
for funding the proposed project 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 cite statistics and/or analyses contained in at least one
or more current, sound, and reliable data sources:
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
b. 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 online at: http://
www.ffiec.gov.
c. HUD will consider data collected within the last five (5) years
to be current. However, applicants must utilize the most current
version of the data source(s) that exists. 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, 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 (45 Points). This factor
addresses the soundness, quality, and effectiveness of the proposed
work plan and the commitment of the applicant to sustain the proposed
activity(s). Points are awarded under this factor for the quality of
the activities proposed in relation to the need/problem identified in
Factor 2, not for the number of activities proposed. In addition, if
the activities proposed are not eligible, HUD reserves the right to
deduct points under
[[Page 27084]]
this factor for those activities and/or not fund an application if the
majority of the activities are ineligible.
a. (30 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, the anticipated results
(outcomes), and the impact they will have on the target population at
the end of the grant performance period.
(1) (24 Points) Specific Activities. The work plan must describe
all proposed activities and major tasks (steps to complete the proposed
activities) required to successfully implement the proposed project.
The work plan must also identify the anticipated measurable outcomes
these activities will have on the targeted population. In addressing
this subfactor, HUD will consider the following:
(a) Identify the method/planning strategy(s) used during the
development of this application. Describe in detail how the proposed
project/activities to be undertaken were identified. List all
individuals/organizations that were involved in the planning process
for this project and their roles;
(b) Describe each proposed project activity in measurable terms
(e.g., the number of persons to be trained; houses to be built or
rehabilitated; or minorities trained to start businesses, etc.);
(c) Identify the major tasks (steps to complete the proposed
activities) 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.g., to
develop a training program the following steps may occur: hiring
staffing, purchasing supplies, developing curricula/training modules,
conducting training, etc);
(d) Identify the key team members/staff and partners, as identified
in Factor 1, who will be responsible and accountable for completing
each task;
(e) 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; and
(f) Describe the measurable impact (outcomes) that implementing
each activity will have or is expected to have on the target population
by the end of the grant performance period (e.g., number of individuals
employed as a result of training; number of new homeowners as a result
of the number of houses that were built or rehabilitated; or number of
minority-owned businesses started, etc).
(2) (6 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the target community;
(b) Address the needs identified in Factor 2; and
(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.
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe in detail how it proposes to integrate the
institution's students (this excludes students that are project
recipients/participants) and faculty into proposed project activities.
c. (4 Points) Involvement of the Community. The applicant must
describe in detail how the community (e.g., businesses, residents, and
others) will be involved in the proposed project (e.g., development of
an advisory committee that includes representatives of the target
community). The applicant must identify the specific roles that
individuals will and have played in the proposed project. The community
must play an active role in all stages of the project. Community
involvement must be diverse and representative of the target
population/community.
d. (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 FY 2009. In rating this subfactor,
HUD will evaluate the extent to which a project 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) Submit either Part A or Part B (not both) of the complete
questionnaire HUD-27300, ``HUD Initiative on Removal of Regulatory
Barriers,'' found in the General Section, (2) include appropriate
documentation, (3) identify a point of contact, and (4) indicate how
this priority will be addressed. It is up to the applicant to determine
which of the policy priorities they will address in order to receive
the available two (2) points.
e. (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 part 135).
Regulations regarding the provision of Section 3 of the Housing and
Urban Development Act of 1968 (12 U.S.C. 1701u) are located at 24 CFR
135.36.
f. (4 Points) Budget and Cost Estimates. HUD will assess the
soundness of your approach by evaluating the quality, thoroughness, and
rationality of the proposed project budget and budget narrative. The
budget narrative must be broken down by line item. Administrative costs
must be reflected under the appropriate line items (e.g., salaries,
supplies, costs related to planning and executing the project,
preparation/submission of HUD reports, etc.).
4. Rating Factor 4: Leveraging Resources/Developing Partnerships (10
Points)
This factor addresses the ability of the applicant to develop
partnerships and secure resources that can be combined with HUD's grant
funds to achieve the project's purpose.
a. HUD will consider how well an applicant has established
partnerships with other entities (other than their own institution) 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)
[[Page 27085]]
of the proposed project activities. 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 that the institution has waived may be counted. Applicants that
have no external leveraging resources (the institution/applicant is not
considered an external resource) will receive no points under this
factor.
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; and
--Faith-based and other community-based organizations.
b. To address this factor, an applicant must provide an outline in
their application that includes the information listed below of all
proposed leveraged resources (including any commitment of resources
from the applicant's own institution). Applicants must have on file at
the time of application submission the original written commitment
letters, memoranda of understanding, and/or agreements. Commitment
letters, memoranda of understanding, and/or agreements must be dated
prior to the application deadline date; if they are dated after the
application deadline date they will not be scored.
Each letter, memorandum of understanding, or agreement must include
the information below:
(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);
(3) A specific description of how each contribution is to be used
toward specific proposed activities (including the actual role the
partner will have in the proposed project activities for which their
contribution will be utilized);
(4) The date the contribution will be made available and a
statement that describes the duration of the contribution; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. This is only
applicable to the original written documentation.
c. Resources will not be counted for which there is no commitment
letter, memorandum of understanding, agreement, or quantified level of
commitment, and/or when the letter, memorandum of understanding, or
agreement does not address all of the requirements outlined above.
Commitment letters, memoranda of understanding, and/or agreements are
not required at the time of application submission but must be on file
at the time of application submission. If commitment letters, memoranda
of understanding, and/or agreements are included with the application
at the time of submission they will not be considered during the review
process. However, applicants submitting paper applications must include
all letters, memoranda of understanding, and/or agreements in the
Appendix of the application. Applicants chosen to proceed to the next
step in the selection process will be required to submit the signed and
dated commitment letters, memoranda of understanding, and/or agreements
outlined in the application within five (5) calendar days after initial
contact from the 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
and no later than the application deadline date. In addition, no points
will be awarded for general support letters endorsing the project from
organizations, including elected officials on the local, state, or
national levels; therefore, please do not include them. 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 documents from the resources/organizations that are listed in
the outline in the application. If OUP does not receive those documents
with the required information within the allotted timeframe, an
applicant will not receive points under this factor.
Note: Submission of a grant award notification from another
entity/agency in place of a commitment letter, memorandum of
understanding, and/or agreement does not meet the requirement for
this factor and will not be accepted.
In scoring this factor, HUD will award
(1) Ten (10) points to an applicant that provides leveraging
resources as listed in their application that are 15 percent or more of
the amount requested under this program;
(2) Nine (9) points to an applicant that provides leveraging
resources as listed in their application that represents 13 to 14
percent of the amount requested under this program;
(3) Eight (8) points to an applicant that provides leveraging
resources as listed in their application that represents 11 to 12
percent of the amount requested under this program;
(4) Seven (7) points to an applicant that provides leveraging
resources as listed in their application that represents 8 to 10
percent of the amount requested under this program;
(5) Six (6) points to an applicant that provides leveraging
resources as listed in their application that represents 6 to 7 percent
of the amount requested under this program;
(6) Five (5) points to an applicant that provides leveraging
resources as listed in their application that represents 5 percent of
the amount requested under this program; and
(7) Zero (0) points to an applicant that provides leveraging
resources as listed in their application that is less than 5 percent of
the amount requested under this program and/or have no external
leveraging resources (remember, the institution/applicant is not
considered an external resource).
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 project'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-96010, ``Program Outcome Logic Model.'' The
Program Outcome Logic Model is a summary of the narrative statements
presented in Factors 1-3. Therefore, the information submitted on the
Logic Model should be consistent with the information contained in the
narrative statements.
In evaluating this factor, HUD will assess the extent to which the
applicant demonstrates how results of the project will be measured as
outlined in the proposed work plan. To meet this factor requirement,
applicants must submit a completed HUD-96010, ``Program Outcome Logic
Model.'' Applicants must select from the list of activities and
outcomes to determine their specific methods and measures that will be
used to assess progress and evaluate program
[[Page 27086]]
effectiveness. If an item is not found on the list of activities or
outcomes, applicants can select ``other'' and then insert the activity
and/or outcome and unit of measurement. Applicants can use the
``other'' option for up to three activities and three outcomes. See the
instructions tab in the Logic Model for further details. HUD will not
accept activities or outcomes selected as ``other'' that do not contain
an identified statement of the activities/outcomes or units of
measurement. Utilizing this form will help grantees to ensure that
performance measures are being met and they are establishing achievable
realistic goals.
a. Program Outcome Logic Model instructions (using a Microsoft
ExcelTM form) are provided in the forms appended to the
Instruction Download from http://www.grants.gov/applicants/apply_for_
grants.jsp. Applicants that do not have access to Microsoft
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at
(717) 730-3705 (this is not a toll-free number).
A narrative response is not required for this factor as all
applicants must use the logic model form to respond to this factor.
However, if a narrative is included, these pages will be included in
the page count. HUD has developed a new approach to completing this
form. Applicants should also review the Program Outcome Logic Model
training, which can be found online at: http://www.hud.gov/Webcasts/
index.cfm.
b. HUD will review the outputs and outcomes in relation to the
needs identified. ``Outcomes'' are benefits accruing to the community
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, and/or provision of stable living
environments through the creation of affordable housing opportunities
(e.g., increased assets to families and communities through the
development of affordable housing).
Applicants must also establish 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:
(1) 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);
and
(2) Measurable outcomes the grant will have on the community in
general and the target area or population.
Applicants must also reference policy priorities, as stated in
response to Factor 3, and relate them to the project's goals, as
appropriate.
HUD will evaluate the Program Outcome Logic Model in accordance
with the matrix provided in Attachment 1 of the General Section.
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 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 for Factors 1-5; 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 4 shall be selected. If there is still
a tie, the application with the most points for Factors 1, 2 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.
HUD will not fund any portion of an application that is not
eligible for funding under regulatory requirements; does not meet the
requirements of the NOFA; or may be duplicative of other funded
programs or activities/tasks from prior year awards. Only the eligible
portions of an application will be funded. When the majority of the
activities are ineligible, HUD will not fund the application.
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,
2008.
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
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), OMB Circular A-21 (Cost Principles for Educational
Institutions) and OMB Circular A-133 (Audits of States, Local
Governments, and Non-Profit Organizations). Applicants can access the
OMB circulars at the White House
[[Page 27087]]
Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. See the General Section for 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 the General Section for
further discussion.
6. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). Successful applicants may not
exclude participants or beneficiaries on the basis of race, color, or
national origin under Title VI of the Civil Rights Act. To ensure that
program information is accessible to persons with limited English
proficiency on the basis of national origin, successful applicants may
follow HUD's Final Guidance to Federal Financial Assistance Recipients
Regarding Title VI Prohibition Against National Origin Discrimination
Affecting Limited English Proficient Persons, 72 FR 2732 (Jan. 22,
2007).
7. Code of Conduct. See the General Section for further discussion.
C. Reporting
1. All grant recipients under this NOFA are required to submit
semi-annual progress reports. The progress reports shall consist of
three components: a narrative that must reflect the activities
undertaken during the reporting period; a financial report that
reflects costs incurred by budget line items, as well as a cumulative
summary of costs incurred during the reporting period; and a HUD-96010,
Program Outcome Logic Model which identifies output and outcome
achievements.
2. Applicants selected for funding should also be aware that they
will be required to report sub-award information within 30 days of
making a sub-award in an amount of $25,000 or greater as required by
the Federal Funding Accountability and Transparency Act of 2006 (Public
Law 109-282). The Federal Funding Accountability and Transparency Act
of 2006 calls for the establishment of a central Web site that makes
available to the public full disclosure of all entities receiving
federal funds. Applicants should be aware that the law requires the
information provided on the federal Web site to include the following
elements related to all sub-award transactions $25,000 or greater.
(a) The name of the entity receiving the award;
(b) The amount of the award;
(c) Information on the award, including the transaction type,
funding agency, the North American Industry Classification System code
or Catalog of Federal Domestic Assistance number (where applicable),
program source, and an award title descriptive of the purpose of each
funding action;
(d) The location of the entity receiving the award and primary
location of performance under the award, including the city, state,
congressional district, and country;
(e) A unique identifier (DUNS number) of the entity receiving award
and of the parent entity of the recipient (DUNS number of the parent
entity) should the entity be owned by another entity;
(f) Federal parent award number and sub-award grant number,
(g) The tier level the sub-award was made at; and
(h) Any other relevant information specified by OMB.
There are exceptions for sub-awards less than $25,000 made to
individuals or to an entity whose annual expenditures are less than
$300,000.
Applicants should also be aware that the sub-award provision
carries to all tiers (e.g., a direct award is made by HUD to an
organization that in turn makes an award to another organization that
then makes another award and so on). Collection of the tier level at
which the award is made as well as federal parent award number can help
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability
Transparency Act of 2006 requirements will be finalized through a
future Federal Register notice.
VII. Agency Contacts
Applicants may contact Madlyn Wohlman-Rodriguez at (202) 402-5939
or Susan Brunson, at (202) 402-3852. 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.
[[Page 27088]]
[GRAPHIC] [TIFF OMITTED] TN12MY08.006
[[Page 27089]]
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-5200-N-13; 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 July 2, 2008.
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, published March 19, 2008 (73 FR 14882), 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 (42 U.S.C. et seq.) as amended.
2. Award Information. In Fiscal Year (FY) 2008, approximately $3
million has been made available for this program by the Consolidated
Appropriations Act, 2008 (Pub. L. 110-161). 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. 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 (42 U.S.C. et seq.) as amended.
A. Authority
HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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) 2007
program funding announcement:
1. Abstract and budget narrative must be electronically submitted
and formatted to fit an 8\1/2\-by-11-inch page. Responses must be
double-spaced, with one inch margins (for the top, bottom, left, and
right sides of the document), using the standard Times New Roman 12-
point font.
2. Project budgets will be evaluated and scored under Factor 3,
Soundness of Approach. HUD will assess the applicant's budget in
relation to its quality, thoroughness, reasonableness, and rationality
to the proposed project.
3. Applicants that propose ineligible activities will not be
disqualified, but will not receive points under Factor 3 Soundness of
Approach for the ineligible activities. HUD reserves the right to
deduct points under this factor for those activities and/or not fund an
application if the majority of the activities are ineligible.
4. Applicants that have no external leveraging resources (the
institution is not considered an external resource) under Factor 4
Leveraging Resources/Developing Partnerships will receive no points
under this factor.
5. Applicants must ensure that 51 percent or more of all funds
awarded will be utilized for the community and/or general public. These
funds are not for the direct benefit of the institution.
II. Award Information
In FY2008, approximately $3 million is made available for this
program. 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. 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
[[Page 27090]]
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 online at: http://
www.access.gpo.gov/nara/cfr/waisidx_06/24cfr570_06.html.
a. 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
modifications in accordance with the requirements of Section 504 of the
Rehabilitation Act of 1973 (29 U.S.C. 794) and visitability
modifications in accordance with the policy priorities described in the
General Section;
(4) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets, and compliance with accessibility
requirements, such as those under Section 504 of the Rehabilitation Act
of 1973 (29 U.S.C. 794) and the Americans with Disabilities Act of 1990
(42 U.S.C. 12101);
(5) 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 (42 U.S.C. 5305(a)(25));
(6) 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;
(7) 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);
(8) 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;
(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; and
(10) Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and executing
the project (e.g., preparation/submission of HUD reports, etc.).
Detailed explanations of these costs are provided in the OMB circular
A-21, Cost Principles for Educational Institutions that can be accessed
at the White House Web site at: http://www.whitehouse.gov/omb/
circulars/index.html.
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
of these 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 online at: http://www.hud.gov/offices/cpd/
communitydevelopment/library/deskguid.cfm.
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 $800,000 for a
three-year (36 months) grant performance period.
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 and meet the enrollment requirements as
defined in Section III.A.
d. Institutions that received grants in FY 2007 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. 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)(ii) or 570.208(d)(5) or (6);
c. Applicants must ensure that 51 percent or more of all funds must
be utilized for community/ general public use. These funds are not for
the direct benefit of the institution;
d. Applicants that propose to construct new housing or rehabilitate
existing housing must ensure that their project and/or facilities are
operated in accordance with applicable design and construction
requirements, including either the Fair Housing Act and/or Section 504
of the Rehabilitation Act of 1973 and corresponding HUD implementing
regulations. Please note that in situations where both the Fair Housing
Act design and construction accessibility requirements and Section 504
design and construction accessibility requirements apply, applicants
must apply both standards to obtain maximum accessibility; and
e. Applicants that propose non-housing programs and facilities must
ensure that their projects are operated in compliance with the
requirements of
[[Page 27091]]
Section 504 of the Rehabilitation Act of 1973, the American with
Disabilities Act (ADA), the Architectural Barriers Act (ABA), and
corresponding HUD implementing regulations. Note that the accessibility
standard for non-housing projects is the Uniform Federal Accessibility
Standards (UFAS).
4. 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.
5. 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 properties prior to HUD approval of specific properties or
areas. An application constitutes an assurance that the institution
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 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. Applicants should use the
protocol at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/
environment/review/protocol.pdf to supply HUD with the information
needed for HUD to start and complete the environmental review. Further
information and assistance on HUD's environmental requirements is
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C.
4851-4856), and relevant subparts of the implementing regulations at 24
CFR part 35, such as subparts A, B, J, K and R, which apply to
activities under this grant program.
7. 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.
8. 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. See the Section 3 Regulations located at 24 CFR 135.36.
9. Affirmatively Furthering Fair Housing Requirements. Under
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to
affirmatively further fair housing. HUD requires the same of its
funding recipients. If you are a successful applicant proposing
housing-related activities, you will have a duty to affirmatively
further fair housing opportunities for classes protected under the Fair
Housing Act. Protected classes include race, color, national origin,
religion, sex, disability, and familial status. For example: (1)
Working with other entities in the community to overcome impediments to
fair housing, such as discrimination in the sale or rental of housing
or in advertising, provision of brokerage services, or lending; (2)
Promoting fair housing choice through the expansion of homeownership
opportunities and improved quality of services for minorities, families
with children, and persons with disabilities; or (3) Providing housing
mobility counseling services.
IV. Application Instruction and Submission Information
A. Instructions to Download 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. Application Content and Forms for Submission
1. Application Content. Applications must consist of the following
elements: abstract, narrative, budget, budget narrative, and forms.
Applicants that received a wavier of the electronic application
submission requirement must submit their application in the order
below. Copies of the instructions and all forms are available online at
http://www.grants.gov/applicants/apply_for_grants.jsp.
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 regarding the content of the
application from HUD; 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 14.515;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be October
1, 2008; 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. Abstract. Applicants must include no more than a two-page,
doubled-spaced 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
served, and the impact this project is expected to have on the
community;
(2) A statement that the institution is an eligible applicant
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
Alaska Native
[[Page 27092]]
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 regarding the content of this application
from HUD; therefore, please ensure the accuracy of the information);
and
(5) The project director, if different from the designated contact
person, for the project, including phone number, facsimile number, and
e-mail address.
c. Narrative statement addressing the rating factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. This NOFA has five rating factors that need to be
addressed. The narrative statement is the main source of information.
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material
in response to factors 1-3; instead, focus on how well the proposal
responds to each of the factors. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. Where there are
subfactors, each subfactor must be addressed and presented separately,
with the short title/name of the subfactor presented. Make sure to
address each subfactor and provide sufficient information about every
element of the subfactor. Do not include any individual's Social
Security Numbers in your application. The narrative section of an
application must be submitted electronically. It must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page.
Responses must be double-spaced (information submitted in chart format
does not have to be doubled-spaced) with one inch margins (for the top,
bottom, left and right sides of the document), using the standard Times
New Roman 12-point font. Each page of the application must include the
applicant's name and 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.
Please do not attach your response to each factor separately. Please
follow the instructions on use of zip files, file extension, and file
names in the General Section. File names should not contain spaces or
special characters.
d. 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 form HUD-424-CB to reflect the total
cost (summary) for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, HUD-424-CB, and
budget narrative 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 and/or budget narrative, the
amounted listed on the HUD-424-CB will be the amount HUD will use to
calculate the amount the applicant is requesting for funding. 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 all line items.
This information must be electronically submitted and formatted to fit
an 8\1/2\-by-11-inch page. Responses must be doubled-spaced, with one
inch margins (for the top, bottom, left and right sides of the
document), using the standard Times New Roman 12-point font. Project
budgets will be evaluated and scored under Factor 3, Soundness of
Approach. HUD will assess the soundness of an applicant's approach by
evaluating the quality, thoroughness, reasonableness, and rationality
of the proposed project budget. In addition, please provide the name,
if known, hourly or daily rate, and the estimated time that will be
devoted on the project for each consultant. For example, an applicant
proposes to construct a building using HUD funding totaling $200,000.
The following cost estimates reflect 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. 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 a project that involves 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
approved 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.
e. Appendix. The appendix section of the application must not
exceed 15 pages in length (excluding forms, budget narrative, and
assurances). Each page must include the applicant's name and be
numbered. An applicant should not submit resumes, letters of support,
commitment letters, memoranda of understanding and/or agreements, or
other back-up materials to supplement the application's narrative. If
this information is included, it will not be
[[Page 27093]]
considered during the review process. HUD will not consider the
information on any excess pages. The additional items will also slow
the transmission of your application.
2. Forms. The following forms are required for submission. All
required forms are contained in the electronic application package.
Applicants receiving a waiver of the electronic submission requirements
and submitting a paper copy of the application must place all required
forms in the appendix section of the application.
a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey'' (SF-424 SUPP) on Grants.gov);
b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
c. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
e. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
f. HUD-2991, Certification of Consistency with the Consolidated
Plan, if applicable;
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! Grant Applicant Survey.
Applicants are not required to complete this form;
i. HUD-96010, Program Outcome Logic Model; and
j. 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
and complete the SF-424, which 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.
3. 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.
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 July 2, 2008, 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 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 the Intergovernmental Review process.
E. Funding Restrictions
Ineligible CDBG activities are listed at 24 CFR 570.207. Ineligible
activities include but are not limited to the following:
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 (OUP) 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. All paper applications must be submitted
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper,
with one inch margins (for the top, bottom, left, and right sides of
the document), and printed in standard Times New Roman 12-point font.
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, experience, and capacity necessary to
successfully complete the proposed project by the end of the grant
performance period.
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) Identifies key project team members/staff and partners, their
title and name (e.g., project manager/coordinator--Sally Susan Smith,
etc.), respective roles, and time each will allot to this project.
If key personnel have not been hired, identify the position title,
description of duties and responsibilities, and qualifications to be
considered in the selection of personnel, including subcontractors and
consultants;
(2) Describes the knowledge and relevant experience of the proposed
project team members/staff and partners (as outlined above) that will
conduct the day-to-day project activities, consultants (including
technical assistance providers), and contractors in planning and
managing the type of project for which funding is being requested; and
(3) Explains the institution's experience and capacity to
administer
[[Page 27094]]
and monitor the type of project for which funding is being requested.
Applicant's staff and partners' experience and capacity to do the
work will be judged in terms of recent and relevant knowledge and
skills 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 completed and/or open 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 the application is submitted;
(2) A list detailing the date the project(s) was completed; was it
completed during the original three-year grant performance period; if
not completed, why (including when it was or will be completed); if the
project is still in progress, provide details on the project's current
status;
(3) A description of the achieved results (outcomes) consistent
with the approved project management plan. If not completed as
proposed, explain why;
(4) A list comparing the amount of proposed leveraged funds and/or
resources (outlined in the original application) to the amount that was
actually leveraged as of the date the application is submitted; 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 reports; compliance with the program's terms and conditions;
and receipt of promised leveraged resources. In evaluating past
performance, HUD reserves the right to deduct up to ten (10) points
from this rating score as a result of the information obtained from
HUD's records (i.e., progress and financial reports, monitoring
reports, Program Outcome Logic Model submissions, and amendments).
2. Rating Factor 2: Need/Extent of the Problem (8 Points).
a. This factor addresses the extent to which there is a need for
funding the proposed project 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 cite statistics and/or analyses contained in at least one
or more current, sound, and reliable data sources:
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
b. 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 online at: http://
www.ffiec.gov.
c. HUD will consider data collected within the last five (5) years
to be current. However, applicants must utilize the most current
version of the data source(s) that exists. 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, 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 (45 Points). This factor
addresses the soundness, quality, and effectiveness of the proposed
work plan and the commitment of the applicant to sustain the proposed
project activity(s). Points are awarded under this factor for the
quality of the activities proposed in relation to the need/problem
identified in Factor 2, not for the number of activities proposed. In
addition, if the activities proposed are not eligible, HUD reserves the
right to deduct points under this factor for those activities and/or
not fund an application if the majority of the activities are
ineligible.
a. (30 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, the anticipated results
(outcomes), and the impact they will have on the target population at
the end of the grants performance period.
(1) (25 Points) Specific Activities. The work plan must describe
all proposed project activities and major tasks (steps to complete the
proposed activities) required to successfully implement the proposed
project. The work plan must also identify the anticipated measurable
outcomes these activities will have on the target population. In
addressing this subfactor, HUD will consider the following:
(a) Identify the method/planning strategy(ies) used during the
development of this application. Describe in detail how the proposed
project/activities to be undertaken were identified. List all
individuals/organizations that were involved in the planning process
for this project and their roles;
(b) Describe each proposed project activity in measurable terms
(e.g., the number of homes that will be renovated, the number of jobs
created, etc.);
(c) Identify the major tasks (steps to complete the proposed
activities) 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.g., to
develop a training program the following steps may occur: hiring
staffing, purchasing supplies, developing curricula/training modules,
conducting training, etc.);
(d) Identify the key team members/staff and partners, as identified
in Factor 1, who will be responsible and accountable for completing
each task;
(e) 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; and
[[Page 27095]]
(f) Describe the measurable impact (outcomes) that implementing
each activity will have or is expected to have on the target population
by the end of the grant performance period (e.g., number of individuals
employed as of training; number of new homeowners as a result of the
number of houses that were built or rehabilitated, etc.).
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in the target community;
(b) Address the needs identified in Factor 2; and
(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.
b. (3 Points) Involvement of the Faculty and Students. The
applicant must describe in detail how it proposes to integrate the
institution's students (this excludes students that are project
recipients/participants) and faculty into the proposed project
activities.
c. (4 Points) Involvement of the Community. The applicant must
describe in detail how the community was involved in the planning of
the proposed project and how they will be involved in its
implementation (e.g., development of an advisory committee that
includes representatives of the target community). The applicant must
identify the specific roles individuals will play in all stages of the
project. Community involvement must be representative of the target
population/community.
d. (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 2009. In rating this subfactor, HUD will
evaluate the extent to which a project 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) Submit either Part A or Part B (not both) of the completed
questionnaire HUD-27300 ``HUD's Initiative on Removal of Regulatory
Barriers,'' found in the General Section, (2) include appropriate
documentation, (3) identify a point of contact, and (4) indicate how
this priority will be addressed. It is up to the applicant to determine
which of the policy priorities they will address in order to receive
the available two (2) points.
e. (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 part 135).
Regulations regarding the provision of Section 3 of the Housing and
Urban Development Act of 1968 (12 U.S.C. 1701u) are located at 24 CFR
135.36.
f. (4 Points) Budget and Budget Narrative. HUD will assess the
soundness of your approach by evaluating the quality, thoroughness, and
rationality of the proposed project budget and narrative. The budget
narrative must be broken down by line item. Administrative costs must
be reflected under the appropriate line items (e.g., salaries, fringe,
supplies, costs related to planning and executing the project,
preparation/submission of HUD reports, etc.).
4. Rating Factor 4: Leveraging Resources/Developing Partnerships
(10 Points). This factor addresses the ability of the applicant to
develop partnerships and secure resources that can be combined with
HUD's grant funds to achieve the project's purpose.
a. HUD will consider the extent to which the applicant has
established partnerships with other entities (other than their
institution) 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.
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 that the institution has waived
may be counted. Applicants that have no external leveraging resources
(the institution/applicant is not considered an external resource) will
receive no points under this factor.
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; and/or
--Faith-based and other community-based organizations.
b. To address this factor, an applicant must provide an outline in
their application that includes the information listed below of all
proposed leveraged resources (including any commitment of resources
from the applicant's own institution). Applicants must have on file at
the time of application submission the original commitment letters,
memoranda of understanding, and/or agreements. Commitment letters,
memoranda of understanding, and/or agreements must be dated prior to
the application deadline date; if they are dated after the application
deadline date they will not be scored.
Each letter, memorandum of understanding, or agreement must include
the information below:
(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);
(3) A specific description of how each contribution is to be used
toward specific proposed activities (including the actual role the
partner will have in the proposed project activities for which their
contribution will be utilized);
(4) The date the contribution will be made available and a
statement that describes the duration of the contribution; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. This is only
applicable to the original written documentation.
c. Resources will not be counted for which there is no commitment
letter, memorandum of understanding, agreement, or quantified level of
commitment, and/or when the letter, memorandum of understanding, or
agreement does not address ALL of the requirements outlined above.
Commitment letters, memoranda of understanding, and/or agreements are
[[Page 27096]]
not required at the time of application submission but must be on file
at the time of application submission. If commitment letters, memoranda
of understanding, and/or agreements are included, with the application
at time of submission they will not be considered during the review
process. However, applicants submitting paper applications must include
all letters, memoranda of understanding, and/or agreements in the
Appendix of the application. Applicants chosen to proceed to the next
step in the selection process for award will be required to submit the
signed and dated commitment letters, memoranda of understanding, and/or
agreements outlined in the application within five (5) calendar days
after initial contact from the OUP. Letters, memoranda of
understanding, and/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 and no later than the application deadline date.
In addition, no points will be awarded for general support letters
endorsing the project from organizations, including elected officials
on the local, state, or national levels; therefore, please do not
include them. 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 documents from the resources/
organizations that are listed in the outline in the application. If OUP
does not receive those documents with the required information within
the allotted timeframe, an applicant will not receive points under this
factor.
Note: Submission of a grant award notification from another
entity/agency in place of a commitment letter, memorandum of
understanding, and/or agreement does not meet the requirement of
this factor and will not be accepted.
In scoring this factor, HUD will award:
(1) Ten (10) points to an applicant that provides leveraging
resources as listed in their application that are 15 percent or more of
the amount requested under this program;
(2) Nine (9) points to an applicant that provides leveraging
resources as listed in their application that represents 13 to 14
percent of the amount requested under this program;
(3) Eight (8) points to an applicant that provides leveraging
resources as listed in their application that represents 11 to 12
percent of the amount requested under this program;
(4) Seven (7) points to an applicant that provides leveraging
resources as listed in their application that represents 8 to 10
percent of the amount requested under this program;
(5) Six (6) points to an applicant that provides leveraging
resources as listed in their application that represents 6 to 7 percent
of the amount requested under this program;
(6) Five (5) points to an applicant that provides leveraging
resources as listed in their application that represents 5 percent of
the amount requested under this program; and
(7) Zero (0) points to an applicant that provides leveraging
resources as listed in their application that is less than 5 percent of
the amount requested under this program and/or have no external
leveraging recourses (remember, the institution/applicant is not
considered an external resource).
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 project'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-96010, ``HUD Program Outcome Logic Model.''
The Program Outcome Logic Model is a summary of the narrative
statements presented in Factors 1 through 3. Therefore, the information
submitted on the Logic Model should be consistent with the information
contained in the narrative statements.
In evaluating this factor, HUD will assess the extent to which the
applicant demonstrates how results of the project will be measured as
outlined in the proposed work plan. To meet this factor requirement,
applicants must submit a completed HUD-96010, ``Program Outcome Logic
Model.'' Applicants must select from the list of activities and
outcomes to determine their specific methods and measures that will be
used to assess progress and evaluate program effectiveness. If an item
is not found on the list of activities or outcomes, applicants can
select ``other'' and then insert the activity and/or outcome and unit
of measurement. Applicants can use the ``other'' option for up to three
activities and three outcomes. See the instructions tab in the Logic
Model for further details. HUD will not accept activities or outcomes
selected as ``other'' that do not contain an identified statement of
the activities/outcomes or units of measurement. Utilizing this form
will help grantees to ensure that performance measures are being met
and they are establishing achievable realistic goals.
a. Program Outcome Logic Model instructions (using a Microsoft
ExcelTM form) are provided in the forms appended to the
Instruction Download from http://www.grants.gov/applicants/apply_for_
grants.jsp. Applicants that do not have access to Microsoft
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at
(717) 730-3705 (this is not a toll-free number).
A narrative response is not required for this factor as all
applicants must use the logic model form to respond to this factor.
However, if a narrative is included, these pages will be included in
the page count. HUD has developed a new approach to completing this
form. Applicants should also review the Program Outcome Logic Model
training, which can be found online at: http://www.hud.gov/webcasts/
index.cfm.
b. HUD will review the outputs and outcomes in relation to the
needs identified. ``Outcomes'' are benefits accruing to the community
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 provision of stable
living environments through the creation of affordable housing
opportunities.
Applicants must also establish 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:
[[Page 27097]]
(1) 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);
and
(2) Measurable outcomes the grant will have on the community in
general and the target area or population.
Applicants must also reference policy priorities, as stated in
response to Factor 3, and relate them to the project's goals, as
appropriate.
HUD will evaluate the Program Outcome Logic Model in accordance
with the matrix provided in Attachment 1 of the General Section.
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 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 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 4 shall be selected. If
there is still a tie, the application with the most points for Factors
1, 2 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.
HUD will not fund any portion of an application that is not
eligible for funding under regulatory requirements; does not meet the
requirements of the NOFA; or may be duplicative of other funded
programs or activities/tasks from prior year awards. Only the eligible
portions of an application will be funded. When the majority of the
activities are ineligible, HUD will not fund the application.
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,
2008.
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
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.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), OMB Circular A-21 (Cost Principles for Educational
Institutions) and OMB Circular 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. See the General Section for 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 the General Section for
further discussion.
6. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). Successful applicants may not
exclude participants or beneficiaries on the basis of race, color, or
national origin under Title VI of the Civil Rights Act. To ensure that
program information is accessible to persons with limited English
proficiency on the basis of national origin, successful applicants may
follow HUD's Final Guidance to Federal Financial Assistance Recipients
Regarding Title VI Prohibition Against National Origin Discrimination
Affecting Limited English Proficient Persons, 72 Fed. Reg. 2732 (Jan.
22, 2007).
7. Code of Conduct. See the General Section for further discussion.
C. Reporting
1. All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of three
components: a narrative that must reflect the activities undertaken
during the reporting period; a financial report that reflects costs
incurred by budget line item as well as a cumulative summary of cost
incurred during the reporting period; and a HUD-96010, Program Outcome
Logic Model form, which identifies output and outcome achievements.
2. Applicants selected for funding should also be aware that they
will be required to report sub-award information within 30 days of
making a sub-award in an amount of $25,000 or greater as required by
the Federal Funding Accountability and Transparency Act of 2006 (Public
Law 109-282). The Federal Funding Accountability and Transparency Act
of 2006 calls for the establishment of a central Web site that makes
available to the public full disclosure of all entities receiving
federal funds. Applicants should be aware that the law requires the
information provided on the federal Web site to include the following
elements related to all sub-award transactions $25,000 or greater.
(a) The name of the entity receiving the award;
(b) The amount of the award;
(c) Information on the award, including the transaction type,
funding
[[Page 27098]]
agency, the North American Industry Classification System code or
Catalog of Federal Domestic Assistance number (where applicable),
program source, and an award title descriptive of the purpose of each
funding action;
(d) The location of the entity receiving the award and primary
location of performance under the award, including the city, state,
congressional district, and country;
(e) A unique identifier (DUNS number) of the entity receiving award
and of the parent entity of the recipient (DUNS number of the parent
entity) should the entity be owned by another entity;
(f) Federal parent award number and sub-award grant number,
(g) The tier level the sub-award was made at; and
(h) Any other relevant information specified by OMB.
There are exceptions for sub-awards less than $25,000 made to
individuals or to an entity whose annual expenditures are less than
$300,000.
Applicants should also be aware that the sub-award provision
carries to all tiers (e.g., a direct award is made by HUD to an
organization that in turn makes an award to another organization that
then makes another award and so on). Collection of the tier level at
which the award is made as well as federal parent award number can help
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability
Transparency Act of 2006 requirements will be finalized through a
future Federal Register notice.
VII. Agency Contacts
Applicants may contact Sherone Ivey at (202) 402-4200 or Susan
Brunson at (202) 402-3852. 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.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.
[[Page 27099]]
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[[Page 27100]]
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-5200-N-16; 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 July 2, 2008.
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, published March 19, 2008 (73 FR 14882), 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) 2008, approximately $5
million has been made available for this program by Consolidated
Appropriations Act, 2008 (Pub. L. 110-161). An applicant can request up
to $750,000 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. Institutions that have received three or more
grants under this program in the past are not eligible under this NOFA.
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
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). 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) 2007
program funding announcement.
1. Institutions that have received three or more grants under this
program in the past are not eligible to submit an application for
funding under this NOFA.
2. Applicants can now request up to $750,000 for a three-year (36
months) grant performance period.
3. Abstract and budget narrative must be electronically submitted
and formatted to fit an 8\1/2\-by-11-inch page. Responses must be
double-spaced, with one-inch margins (for the top, bottom, left and
right sides of the document), using the standard Times New Roman 12-
point font.
4. Project budgets will be evaluated and scored under Factor 3,
Soundness of Approach. HUD will assess the applicant's budget in
relation to its quality, thoroughness, reasonableness, and rationality
to the proposed project.
5. Applicants that propose ineligible activities will not be
disqualified, but will not receive points under Factor 3 Soundness of
Approach for the ineligible activities. HUD reserves the right to
deduct points under this factor for those activities and/or not fund an
application if the majority of the activities are ineligible.
II. Award Information
In FY2008, approximately $5 million is made available by the
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). An applicant
can request up to $750,000 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 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. Institutions that have received three or more grants
under this program in the past are not eligible to submit an
application for funding under this NOFA. 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.
a. Examples of eligible activities include, but are not limited to:
(1) Building a new facility (e.g., classrooms, administrative
offices, health and cultural centers, gymnasium, technology centers,
etc.);
(2) Renovating an existing or acquired facility;
(3) Expanding an existing or acquired facility;
(4) Equipping university facilities (e.g., lab equipment, library
books, furniture, etc.);
(5) Property acquisition;
(6) Health screening;
(7) Homeownership counseling/training;
(8) Technical assistance to establish, expand or stabilize micro-
enterprises;
(9) Crime, alcohol and/or drug-abuse prevention activities;
[[Page 27101]]
(10) Youth leadership development programs/activities;
(11) Tutoring/mentoring programs;
(12) Child care/development programs;
(13) Cultural activities/programs; and
(14) Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and executing
the project (e.g., preparation/submission of HUD reports, etc.).
Detailed explanations of these costs is provided in OMB circular A-21,
Cost Principles for Educational Institutions that can be accessed at
the White House Web site at: http://www.whitehouse.gov/omb/circulars/
index.html.
b. Each activity proposed for funding must meet at least one of the
three Community Development Block Grant (CDBG) program 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
of these 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 online at: http://www.hud.gov/offices/cpd/
communitydevelopment/library/deskguid.cfm.
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 $750,000 for a
three-year (36 months) grant performance period.
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 have received three or more grants under this
program in the past 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. Applicants must meet the following program
requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Although 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.
4. 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. However, in
accordance with HCDA section 107(e)(2), the Secretary waives the
provisions of HCDA section 110 with respect to TCUP 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.
5. 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. Applicants should use the
protocol at: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/
environment/review/protocol.pdf to supply HUD with the information
needed for HUD to start and complete the environmental review. Further
information and assistance on HUD's environmental requirements is
available at http://www.hud.gov/offices/cpd/environment/index.cfm.
6. Lead-Based Paint Requirements. Institutions and their sub-
grantees, contractors, and subcontractors must comply with the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the
Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C.
4851-4856), and relevant subparts of the implementing regulations at 24
CFR part 35, such as subparts A, B, J, K and R, which apply to
activities under this grant program.
7. 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.
8. 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
[[Page 27102]]
economic opportunities to Section 3 residents and Section 3 business
concerns. See the Section 3 Regulations located at 24 CFR 135.36.
9. Affirmatively Furthering Fair Housing Requirements. Under
Section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to
affirmatively further fair housing. HUD requires the same of its
funding recipients. If you are a successful applicant proposing
housing-related activities, you will have a duty to affirmatively
further fair housing opportunities for classes protected under the Fair
Housing Act. Protected classes include race, color, national origin,
religion, sex, disability, and familial status. For example: (1)
Working with other entities in the community to overcome impediments to
fair housing, such as discrimination in the sale or rental of housing
or in advertising, provision of brokerage services, or lending; (2)
Promoting fair housing choice through the expansion of homeownership
opportunities and improved quality of services for minorities, families
with children, and persons with disabilities; or (3) Providing housing
mobility counseling services.
IV. Application Instruction and Submission Information.
A. Instructions to Download 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. Application Content and Forms for Submission
1. Application Content. Applications must consist of the following
elements: abstract, narrative, budget, budget narrative, and forms.
Applicants that received a wavier of the electronic application
submission requirement must submit their application in the order
below. Copies of the instructions and all forms are available online
at: http://www.grants.gov/applicants/apply_for_grants.jsp.
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 regarding the contents of
the application 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 October 1,
2008; 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. Abstract. Applicants must include no more than a two-page,
doubled-spaced 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
served, and the impact this project is expected to have on the
institution;
(2) A statement that the institution is an eligible applicant
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 regarding the contents of this application;
therefore, please ensure the accuracy of the information); and
(4) The project director, if different from the designated contact
person for the project, including phone number, facsimile number, and
e-mail address.
c. Narrative statement addressing the rating factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. This NOFA has five rating factors that need to be
addressed. The narrative statement is the main source of information.
Applicants are advised to review each factor carefully for program-
specific requirements. All applicants submitting electronic
applications must attach their narrative responses to Rating Factors 1-
4 as one attachment. Remember, Factor 5 is addressed by using the HUD-
96010, Program Outcome Logic Model form. Please do not repeat material
in response to factors 1-3; instead, focus on how well the proposal
responds to each of the factors. The response to each factor should be
concise and contain only information relevant to the factor, yet
detailed enough to address each factor fully. Where there are
subfactors, each subfactor must be addressed and presented separately,
with the short title/name of the subfactor presented. Make sure to
address each subfactor and provide sufficient information about every
element of the subfactor. Do not include any individual's Social
Security Numbers in your application. The narrative section of an
application must be submitted electronically. It must not exceed 50
pages in length (excluding forms, budget narrative, assurances, and
abstract) and must be formatted to fit an 8\1/2\-by-11-inch page.
Responses must be double-spaced (information submitted in chart format
does not have to be doubled-spaced) with one inch margins (for the top,
bottom, left, and right sides of the document), using the standard
Times New Roman 12-point font. Each page of the application must
include the applicant's name and 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. Please do not attach your response to each
factor separately. Please follow the instructions on use of zip files,
file extension, and file names in the General Section. File names
should not contain spaces or special characters.
d. 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 TCUP conference/workshop every year
of the three-year grant performance period. To
[[Page 27103]]
calculate travel expenses, applicants should use Washington, DC as the
site of all conferences/workshops.
Applicants must also submit form HUD-424-CB to reflect the total
cost (summary) for the entire grant performance period (Grand Total).
Make sure that the amounts shown on the SF-424, HUD-424-CB, and
budget narrative 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 and/or budget
narrative, the amount listed on the HUD-424-CB will be the amount HUD
will use to calculate the amount the applicant is requesting for
funding. 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 all line items.
This information must be electronically submitted and formatted to fit
an 8\1/2\-by-11-inch page. Responses must be doubled-spaced, with one
inch margins (for the top, bottom, left, and right sides of the
document), using the standard Times New Roman 12-point font. Project
budgets will be evaluated and scored under Factor 3, Soundness of
Approach. HUD will assess the soundness of an applicant's approach by
evaluating the quality, thoroughness, reasonableness, and rationality
of the proposed project budget. In addition, please provide the name,
if known, hourly or daily rate, and the estimated time that will be
devoted to the project for each consultant. For example, an applicant
proposes to construct an addition to an existing building using HUD
funding that will cost approximately $200,000. The following cost
estimates 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 institution and/or 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. 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 a project that involves 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
approved 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.
e. Appendix. The appendix section of an application must not exceed
15 pages in length (excluding forms, budget narrative, and assurances).
Each page must include the applicant's name and be numbered. An
applicant should not submit resumes, letters of support, commitment
letters, memoranda of understanding and/or agreements, or other back-up
materials to supplement the application's narrative. If this
information is included, it will not be considered during the review
process. HUD will not consider the information on any excess pages. The
additional items will also slow the transmission of your application.
2. Forms. The following forms are required for submission. All
required forms are contained in the electronic application package.
Applicants receiving a waiver of the electronic submission requirements
and submitting a paper copy of the application must place all required
forms in the appendix section of the application.
a. SF-424 Supplement, Survey on Ensuring Equal Opportunities for
Applicants (``Faith Based EEO Survey (SF-424 SUPP)'' on Grants.gov);
b. SF-LLL, Disclosure of Lobbying Activities, if applicable;
c. HUD-27300, Questionnaire for HUD's Removal of Regulatory
Barriers (``HUD Communities Initiative Form'' on Grants.gov), if
applicable;
d. HUD-2880, Applicant/Recipient Disclosure/Update Report (``HUD
Applicant Recipient Disclosure Report'' on Grants.gov), if applicable;
e. HUD-2990, Certification of Consistency with RC/EZ/EC-II
Strategic Plan, if applicable;
f. 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;
g. HUD-2994-A, You Are Our Client! Grant Applicant Survey.
Applicants are not required to complete this form;
h. HUD-96010, Program Outcome Logic Model; and
i. 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
and complete the SF-424, which 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 cover sheet. HUD
will not read any faxes that are sent without the HUD-96011 fax
transmittal cover page.
3. 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.
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 July 2, 2008, the application deadline date. In an
effort to address any issues with transmission of your application,
applicants are strongly encouraged to
[[Page 27104]]
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 the Intergovernmental Review process.
E. Funding Restrictions
Ineligible activities for funding under this program include, but
are not limited to the following:
1. Renovation and/or building 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 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
6. Curriculum development and/or expansion on an institution's
existing curriculum.
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 (OUP) 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. All paper applications must be submitted
on 8\1/2\-by-11-inch paper, double-spaced, on one side of the paper,
with one inch margins (for the top, bottom, left, and right sides of
the document), and printed in standard Times New Roman 12-point font.
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, experience, and capacity necessary to
successfully implement the proposed project by the end of the grant
performance period.
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) Identifies key project team members/staff, their title and name
(e.g., project manager/coordinator-Sally Sue Smith, etc.), respective
roles, and time each will allot to this project;
If key personnel have not been hired, identify the position title,
description of duties and responsibilities, and qualifications to be
considered in the selection of personnel, including subcontractors and
consultants;
(2) Describes the knowledge and relevant experience of the proposed
project team members/staff (as outlined above) that will conduct the
day-to-day project activities, consultants (including technical
assistance providers), and contractors in planning and managing the
type of project for which funding is being requested; and
(3) Explains the institution's experience and capacity to
administer and monitor the type of project for which funding is being
requested.
Applicant's staff experience and the institution's capacity to do
the work will be judged in terms of recent and relevant knowledge and
skills 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 completed and/or open 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 the
application is submitted;
(2) A list detailing the date the project(s) was completed; was it
completed during the original three-year grant performance period; and
if not completed, why (including when it was or will be completed); if
the project is still in progress, provide details on the project's
current status;
(3) A description of the achieved results (outcomes) consistent
with the approved project management plan. If not completed as proposed
explain why;
(4) A list comparing the amount of proposed leveraged funds and/or
resources (outlined in the original application) to the amount that was
actually leveraged as of the date the application is submitted; 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 reports; and compliance with the program's required terms and
conditions. In evaluating past performance, HUD reserves the right to
deduct up to ten (10) points from this rating score as a result of the
information obtained from HUD's records (i.e., progress and financial
reports, monitoring reports, Program Outcome Logic Model submission,
and amendments).
2. Rating Factor 2: Need/Extent of the Problem (8 points).
a. This factor addresses the extent to which there is a need for
funding the proposed project 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 cite
statistics and/or analyses contained in at least one or more current,
sound, and reliable data sources:
(1) Describe the need(s); and
(2) Describe the importance of meeting the proposed needs.
[[Page 27105]]
b. 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. Applicants must include the source and date of the
information presented.
3. Rating Factor 3: Soundness of Approach (49 points). This factor
addresses the soundness, quality, and effectiveness of the proposed
work plan and the commitment of the applicant to sustain the proposed
project activity(s). Points are awarded under this factor for the
quality of the activities proposed in relation to the need/problem
identified in Factor 2, not for the number of activities proposed. In
addition, if the activities proposed are not eligible, HUD reserves the
right to deduct points under this factor for those activities and/or
not fund an application if the majority of the activities are
ineligible.
a. (40 Points) Quality of Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project activities, the anticipated results
(outcomes), and the impact they will have on the target population at
the end of the grant performance period.
(1) (35 points) Specific Activities. The work plan must describe
all proposed project activities and major tasks (steps to complete the
proposed activities) required to successfully implement the proposed
project. The work plan must also identify the anticipated measurable
outcomes these activities will have on the targeted population. In
addressing this subfactor, HUD will consider the following:
(a) Identify the method/planning strategy(s) used during the
development of this application. Describe in detail how the proposed
project/activities to be undertaken were identified.
(b) Describe each proposed project activity in measurable terms
(e.g., 50 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);
(c) Identify the major tasks (steps to complete the proposed
activities) required in sequential order to successfully implement and
complete each proposed project activity. Include the target completion
dates for the tasks (6-month intervals, up to 36 months);
(d) Identify the key team members/staff, as identified in Factor 1,
who will be responsible and accountable for completing each task;
(e) 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; and
(f) Describe the measurable impact (outcomes) that implementing
each activity will have or is expected to have on the target population
by the end of the grant performance period (e.g., number of facilities
built, number of classrooms equipped etc.).
(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 in detail how it proposes to integrate the
institution's students (this excludes students that are project
recipients/participants) 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 2009. In rating this subfactor, HUD will
evaluate the extent to which a project 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 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 related to
removal of regulatory barriers to affordable housing, which has a value
of up to two (2) points. To receive these two (2) points, an applicant
must: (1) Submit either Part A or Part B (not both) of the completed
questionnaire HUD-27300 ``HUD's Initiative on Removal of Regulatory
Barriers,'' found in the General Section, (2) include appropriate
documentation, (3) identify a point of contact, and (4) indicate how
this priority will be addressed. It is up to the applicant to determine
which of the policy priorities they will address in order to receive
the available two (2) points.
d. (5 Points) Budget and Budget Narrative. HUD will assess the
soundness of your approach by evaluating the quality, thoroughness, and
rationality of the proposed project budget and narrative. The budget
narrative must be broken down by line item. Administrative costs must
be reflected under the appropriate line items (e.g., salaries, fringe,
costs related to planning and executing the project, preparation/
submission of HUD reports, etc.).
4. Rating Factor 4: Leveraging Resources (6 points). This factor
addresses the ability of the applicant to secure resources that can be
combined with HUD's grant funds to achieve the project's purpose.
a. HUD will consider the extent to which the applicant secures
additional resources to increase the effectiveness of the proposed
program activities. Overhead and other institutional costs that the
institution has waived can be counted.
Examples of potential sources for outside assistance include:
--Tribal, federal, state, and local governments;
--Federal, state, and local governments;
--Local or national nonprofit organizations;
--Financial institutions and/or private businesses;
--Foundations; and/or
--Faith-based and other community-based organizations.
b. To address this factor, an applicant must provide an outline in
their application that includes the information listed below of all
proposed leveraged resources (including any commitment of resources
from the applicant's own institution). Applicants must have on file at
the time of application submission the original commitment letters,
memoranda of understanding, and/or agreements. Commitment letters,
memoranda of understanding, and/or agreements must be dated prior to
the application
[[Page 27106]]
deadline date; if they are dated after the application deadline date
they will not be scored.
Each letter, memorandum of understanding, or agreement must include
the following information below:
(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);
(3) A specific description of how each contribution is to be used
toward specific proposed activities;
(4) The date the contribution will be made available and a
statement that describes the duration of the contribution; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. This is only
applicable to the original written documentation.
c. Resources will also not be counted for which there is no
commitment letter, memorandum of understanding, agreement, or
quantified level of commitment, and/or when the letter, memorandum of
understanding, or agreement does not address ALL of the requirements
outlined above. Commitment letters, memoranda of understanding and/or
agreements are not required at the time of application submission but
must be on file at the time of application submission. If commitment
letters, memoranda of understanding, and/or agreements are included
with the application at time of submission they will not be considered
during the review process. However, applicants submitting paper
applications must include all letters, memoranda of understanding, and/
or agreements in the Appendix of the application. Applicants chosen to
proceed to the next step in the selection process will be required to
submit the signed and dated commitment letters, memoranda of
understanding, and/or agreements outlined in the application within
five (5) calendar days after initial contact from OUP. Letters,
memoranda of understanding, and/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 and no later than the application
deadline date. In addition, no points will be awarded for general
support letters endorsing the project from organizations, including
elected officials on the local, state, or national levels; therefore,
please do not include them. 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 documents from the
resources/organizations that are listed in the outline in the
application. If OUP does not receive those documents with the required
information within the allotted timeframe, an applicant will not
receive points under this factor.
Note: Submission of a grant award notification from another
entity/agency in place of a commitment letter, memorandum of
understanding, and/or agreement does not meet the requirement of
this factor and will not be accepted.
In scoring this factor, HUD will award:
(1) Six (6) points to an applicant that provides leveraging
resources as listed in their application that represent 10 percent or
more of the amount requested under this program;
(2) Five (5) points to an applicant that provides leveraging
resources as listed in their application that represent 9 percent of
the amount requested under this program;
(3) Four (4) points to an applicant that provides leveraging
resources as listed in their application that represent 8 percent of
the amount requested under this program;
(4) Three (3) points to an applicant that provides leveraging
resources as listed in their application that represent 7 percent of
the amount requested under this program;
(5) Two (2) points to an applicant that provides leveraging
resources as listed in their application that represent 6 percent of
the amount requested under this program; and
(6) One (1) point to an applicant that provides leveraging
resources as listed in their application that represent 5 present of
the amount requested under this program.
(7) Zero (0) points to an applicant that provides leveraging
resources as listed in their application that is less than 4 percent of
the amount requested under this program.
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 project'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-96010, ``Program Outcome Logic Model.'' The
Program Outcome Logic Model is a summary of the narrative statements
presented in Factors 1 through 3. Therefore, the information submitted
on the Logic Model should be consistent with the information contained
in the narrative statements.
In evaluating this factor, HUD will assess the extent to which the
applicant demonstrates how results of the project will be measured as
outlined in the proposed work plan. To meet this factor requirement,
applicants must submit a completed HUD-96010, ``Program Outcome Logic
Model.'' Applicants must select from the list of activities and
outcomes to determine their specific methods and measures that will be
used to assess progress and evaluate program effectiveness. If an item
is not found on the list of activities or outcomes, applicants can
select ``other'' and then insert the activity and/or outcome and unit
of measurement. Applicants can use the ``other'' option for up to three
activities and three outcomes. See the instructions tab in the Logic
Model for further details. HUD will not accept activities or outcomes
selected as ``other'' that do not contain an identified statement of
the activities/outcomes or units of measurement. Utilizing this form
will help grantees to ensure that performance measures are being met
and they are establishing achievable realistic goals.
a. Program Outcome Logic Model instructions (using a Microsoft
ExcelTM form) are provided in the forms appended to the
Instruction Download from http://www.grants.gov/applicants/apply_for_
grants.jsp. Applicants that do not have access to Microsoft
ExcelTM should contact the 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 and/or The Center for Applied Management Practices at
(717) 730-3705 (this is not a toll-free number).
A narrative response is not required for this factor as all
applicants must use the logic model form to respond to this factor.
However, if a narrative is included, these pages will be included in
the page count. HUD has developed a new approach to completing this
form. Applicants should also review the
[[Page 27107]]
Program Outcome Logic Model training, which can be found online at:
http://www.hud.gov/webcasts/index.cfm.
b. HUD will review the outputs and outcomes in relation to the
needs identified. ``Outcomes'' are benefits accruing to TCUs during or
after participation in the TCUP. Applicants must clearly identify the
outcomes to be measured and achieved. Examples of outcomes include
increased number of classroom spaces available, increased student
enrollment and graduation rates, etc.
Applicants must also establish 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:
(1) Short- and long-term objectives to be achieved; and
(2) Measurable outcomes the grant will have on the university or
the target population.
Applicants must also reference policy priorities, as stated in
response to Factor 3, and relate them to the project's goals, as
appropriate.
HUD will evaluate the Program Outcome Logic Model in accordance
with the matrix provided in Attachment 1 of the General Section.
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 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 for Factors 1-5; 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 4 shall be selected. If there is still
a tie, the application with the most points for Factors 1, 2, 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.
HUD will not fund any portion of an application that is not
eligible for funding under regulatory requirements; does not meet the
requirements of the NOFA; or may be duplicative of other funded
programs or activities/tasks from prior year awards. Only the eligible
portions of an application will be funded. When the majority of the
activities are ineligible, HUD will not fund the application.
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, 2008.
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
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.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), OMB Circular A-21 (Cost Principles for Educational
Institutions) and OMB Circular 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. See the General Section for further
discussion.
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 Government Contractors' Labor Relations on
Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
7. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). Successful applicants may not
exclude participants or beneficiaries on the basis of race, color, or
national origin under Title VI of the Civil Rights Act. To ensure that
program information is accessible to persons with limited English
proficiency on the basis of national origin, successful applicants may
follow HUD's Final Guidance to Federal Financial Assistance Recipients
Regarding Title VI Prohibition Against National Origin Discrimination
Affecting Limited English Proficient Persons, 72 FR 2732 (Jan. 22,
2007).
8. Code of Conduct. See the General Section for further discussion.
C. Reporting
1. All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of three
components: A narrative that must reflect the activities undertaken
during the reporting period; a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary report
during the reporting period; and a HUD-96010, Program Outcome Logic
Model form, which identifies output and outcomes achieved.
2. Applicants selected for funding should also be aware that they
will be
[[Page 27108]]
required to report sub-award information within 30 days of making a
sub-award in an amount of $25,000 or greater as required by the Federal
Funding Accountability and Transparency Act of 2006 (Pub. L. 109-282).
The Federal Funding Accountability and Transparency Act of 2006 calls
for the establishment of a central Web site that makes available to the
public full disclosure of all entities receiving federal funds.
Applicants should be aware that the law requires the information
provided on the federal Web site to include the following elements
related to all sub-award transactions $25,000 or greater.
(a) The name of the entity receiving the award;
(b) The amount of the award;
(c) Information on the award, including the transaction type,
funding agency, the North American Industry Classification System code
or Catalog of Federal Domestic Assistance number (where applicable),
program source, and an award title descriptive of the purpose of each
funding action;
(d) The location of the entity receiving the award and primary
location of performance under the award, including the city, state,
congressional district, and country;
(e) A unique identifier (DUNS number) of the entity receiving award
and of the parent entity of the recipient (DUNS number of the parent
entity) should the entity be owned by another entity;
(f) Federal parent award number and sub-award grant number;
(g) The tier level the sub-award was made at; and
(h) Any other relevant information specified by OMB.
There are exceptions for sub-awards less than $25,000 made to
individuals or to an entity whose annual expenditures are less than
$300,000.
Applicants should also be aware that the sub-award provision
carries to all tiers (e.g., a direct award is made by HUD to an
organization that in turn makes an award to another organization that
then makes another award and so on). Collection of the tier level at
which the award is made as well as federal parent award number can help
in tracing the sub-award data as it tiers down several levels. Sub-
award reporting requirements to meet the Federal Funding Accountability
Transparency Act of 2006 requirements will be finalized through a
future Federal Register notice.
VII. Agency Contacts
Applicants may contact Sherone Ivey at (202) 402-4200, or Susan
Brunson at (202) 402-3852. 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.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 2528-0215. 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.
[[Page 27109]]
[GRAPHIC] [TIFF OMITTED] TN12MY08.008
[[Page 27110]]
The Early Doctoral Student Research Grant Program and Doctoral
Dissertation Research Grant 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: The Early Doctoral Student Research
Grant (EDSRG) Program and the Doctoral Dissertation Research Grant
(DDRG) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: FR-5200-N-22; OMB Approval Numbers
are:
1. Early Doctoral Student Research Grant Program is 2528-0216.
2. Doctoral Dissertation Research Grant Program is 2528-0213.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The
CFDA Numbers for the programs in this NOFA are as follows:
1. Early Doctoral Student Research Grant Program is 14.517
2. Doctoral Dissertation Research Grant Program is 14.516
F. Dates: The application deadline date is June 12, 2008.
Applications must be received and validated by Grants.gov by the
deadline date. Please be sure to read the General Section, published
March 19, 2008 (73 FR 14882), for electronic submission and receipt
requirements.
G. Additional Overview Content Information
1. Purpose of the University Partnership Dissertation Programs:
a. Early Doctoral Student Research Grant (EDSRG) Program. To enable
pre-candidacy doctoral students enrolled at institutions of higher
education accredited by a national or regional accrediting agency
recognized by the U.S. Department of Education to cultivate their
research skills through the preparation of research manuscripts that
focus on policy-relevant housing and urban development issues.
b. Doctoral Dissertation Research Grant (DDRG) Program. To enable
doctoral candidates enrolled at institutions of higher education
accredited by a national or regional accrediting agency recognized by
the U.S. Department of Education to complete their research and
dissertations on policy-relevant housing and urban development issues.
2. Award Information. In Fiscal Year (FY) 2008, approximately
$400,000 has been made available for the following Office of University
Partnerships (OUP) dissertation programs.
a. Early Doctoral Student Research Grant Program. Approximately
$100,000 is available for funding. The maximum grant performance period
is 12 months. The maximum amount that can be requested to sponsor a
doctoral student is $15,000.
b. Doctoral Dissertation Research Grant Program. Approximately
$300,000 is available for funding. The maximum grant performance period
is 24 months. The maximum amount that can be requested to sponsor a
doctoral student is $25,000.
If funding allotted for the EDSRG program remains after all
eligible EDSRG doctoral students have been selected for award, those
remaining funds will be made available to fund eligible DDRG doctoral
students. If funding remains after all eligible DDRG doctoral students
have been selected for award, the remaining funds will be made
available to fund eligible EDSRG doctoral students.
3. Eligible Applicants. Institutions of higher education accredited
by a national or regional accrediting agency recognized by the U.S.
Department of Education that sponsor a doctoral student is the official
applicant. However, the sponsored doctoral student is responsible for
the completion of the application (with the assistance of the
institution) and must meet the following program requirements:
a. Early Doctoral Student Research Grant Program. Pre-candidacy
doctoral students sponsored for funding under this program must meet
the following requirements:
(1) Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled as a full-time student in an accredited
doctoral program;
(2) Have a major or concentration within a field related to housing
and urban development;
(3) Have not taken the preliminary/comprehensive examinations;
(4) Completed at least two semesters or three terms of a doctoral
studies program (depending on the course structure of the institution);
and
(5) Have an assigned faculty advisor to supervise the research
manuscript.
b. Doctoral Dissertation Research Grant Program. Doctoral students
sponsored for funding under this program must meet the following
requirements:
(1) Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled in an accredited doctoral program;
(2) By the application deadline date, the student's dissertation
proposal/prospectus will be accepted by the full dissertation
committee;
(3) The student will have an assigned dissertation advisor; and
(4) By September 1, 2008, the student will have satisfactorily
completed all other written and oral doctoral degree requirements,
including all examinations, except the dissertation.
Full Text of Announcement
I. Funding Opportunity Description
A. Early Doctoral Student Research Grant (EDSRG) Program
The purpose of the EDSRG program is to enable pre-candidacy
doctoral students enrolled at an institution of higher education
accredited by a national or regional accrediting agency recognized by
the U.S. Department of Education to cultivate their research skills
through the preparation of research manuscripts that focus on policy-
relevant housing and urban development issues. The FY2008 EDSRG program
seeks to fund research studies that may impact federal problem solving
and policymaking and that are relevant to HUD's policy priorities and
annual goals and objectives. See the General Section for discussion of
these priorities and annual goals and objectives.
B. Doctoral Dissertation Research Grant (DDRG) Program
The purpose of the DDRG program is to enable doctoral candidates
enrolled at institutions of higher education accredited by a national
or regional accrediting agency recognized by the U.S. Department of
Education to complete their research and dissertations on policy-
relevant housing and urban development issues. The FY2008 DDRG program
seeks to fund research studies that may impact federal problem solving
and policymaking and that are relevant to HUD's policy priorities and
annual goals and objectives. See the General Section for discussion of
these priorities and annual goals and objectives.
C. Topics
All research topics must focus on domestic issues that may impact
federal problem solving and policymaking and that are relevant to HUD's
policy priorities and annual goals and objectives. Examples of topics
addressing these issues (applicable to
[[Page 27111]]
both the EDSRG and DDRG programs) include but are not limited to:
1. Increase Homeownership Opportunities.
a. Increase Minority Homeownership.
b. Simplify the Home Buying Process (RESPA reform) and Reduce
Settlement Costs.
c. Set Appropriate Housing Goals for the GSEs.
d. Counter Predatory Lending.
e. Help Low-Income Homeowners Avoid Default and Foreclosure.
f. Evaluate Housing Counseling.
2. Promote Decent Affordable Housing.
a. Reduce Regulatory Barriers to the Development of Affordable
Housing, and all forms of Multifamily Housing.
b. Develop Creative Strategies for Expanding the Availability of
Affordable Housing.
c. Strengthen the Delivery of HUD-Funded Rental Assistance and
Assistance Provided Through the Low-Income Housing Tax Credit.
d. Promote Self-Sufficiency Among Residents of Public and Assisted
Housing.
e. Meet the Housing-Related Needs of the Elderly.
f. Meet the Housing-Related Needs of Persons with Disabilities.
g. Improve Housing Quality and Affordability through Technology and
Design.
3. Strengthen Communities.
a. End Chronic Homelessness.
b. Prevent Homelessness.
c. Strengthen Cities.
d. Meet the Housing and Community and Economic Development Needs of
Residents of High-Needs Areas, including Appalachia, the Mississippi
Delta, and Indian Country.
4. Ensure Equal Opportunity in Housing.
a. Reduce Housing Discrimination.
b. Improve Housing Accessibility for Persons with Disabilities.
5. Embrace High Standards of Ethics, Management, and
Accountability.
a. Reduce Fraud, Waste, and Abuse in HUD-Funded Programs.
b. Improve the Effectiveness of HUD Programs Through Program
Evaluations and Performance Measurement.
6. Promote Participation of Faith-Based and Community
Organizations.
a. Strengthen the Capacity of Faith-Based and Community
Organizations.
D. Authority
HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2008 (Pub. L. 110-161). These programs
are undertaken under HUD's research authority under Title V of the
Housing and Urban Development Act of 1970. They are being implemented
through this NOFA which, among other things, establishes the policies
governing their operation.
E. Modifications
Listed below are major modifications from the Fiscal Year (FY) 2007
program-funding announcement:
1. A support letter from the doctoral student's institution will
now be scored under Factor 3, Institutional Support. Applicants are now
required to submit the letter with the application. This letter must
provide details on what type of assistance the institution will give to
the student to support the student's research.
2. Indirect cost rates cannot be charged against this grant.
II. Award Information
In FY 2008, approximately $400,000 has been made available for the
Office of University Partnerships (OUP) dissertation programs as
follows:
A. Early Doctoral Student Research Grant Program. Approximately
$100,000 will be made available for funding under this program. The
maximum grant performance period is 12 months. The maximum amount that
can be requested to sponsor a doctoral student is $15,000.
B. Doctoral Dissertation Research Grant Program. Approximately
$300,000 will be made available for funding under this program. The
maximum grant performance period is 24 months. The maximum amount that
can be requested to sponsor a doctoral student is $25,000.
HUD intends to fund the highest scoring EDSRG and DDRG doctoral
applications until all available funds are awarded under each program.
Once all eligible applicants are selected for award under the EDSRG, if
funding is left from the original funding allotted for the EDSRG
program due to an insufficient number of eligible EDSRG applicants, the
remaining funds will be made available to fund eligible DDRG doctoral
students that could not be funded because all funds allotted under the
DDRG program have been utilized. Similarly, once all eligible DDRG
applicants are selected for award, if any funding allotted for the DDRG
program remains due to an insufficient number of eligible DDRG
applicants, the remaining funds will be made available to fund eligible
EDSRG doctoral students that could not be funded because all EDSRG
funds will be utilized.
III. Eligibility Information
A. Eligible Applicants. Institutions of higher education accredited
by a national or regional accrediting agency recognized by the U.S.
Department of Education that sponsor doctoral students are eligible to
apply. An institution can sponsor more than one doctoral student. Each
student is responsible for the completion of his or her own application
(with the assistance of the institution) and must meet the following
program requirements:
1. Early Doctoral Student Research Grant Program. Pre-candidacy
doctoral students applying for funding under this program must meet the
following requirements:
a. Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled as a full-time student in an accredited
doctoral program;
b. Have not taken the preliminary/comprehensive examinations;
c. Have completed at least two semesters or three terms of a
doctoral studies program (depending on the course structure of the
institution);
d. Have an assigned faculty advisor to supervise the research
manuscript.
2. Doctoral Dissertation Research Grant Program. Doctoral students
applying for funding under this program must meet the following
requirements:
a. Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled in an accredited doctoral program;
b. By the application deadline date, the student's dissertation
proposal/prospectus has been accepted by the full dissertation
committee
c. The student will have an assigned dissertation advisor; and
d. By September 1, 2008, the student will have satisfactorily
completed all other written and oral doctoral degree requirements,
including all examinations, except the dissertation.
B. Cost Sharing or Matching. None Required.
C. Other
1. Eligible Activities. Grant funds awarded under this NOFA must be
used to support direct costs incurred in the timely completion of the
research product. Eligible costs include stipends, computer software,
and purchase of data, travel expenses to collect data, transcription
services, and compensation for interviews.
2. Threshold Requirements Applicable to All Applicants. All
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applicants and doctoral students 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 doctoral student must meet the eligibility requirement for
the program for which they are requesting funding as defined in Section
III.A;
b. University sponsorship. The university shall enter into a Grant
Agreement with HUD that provides for payment of the grant by HUD to the
university and from the university to the approved doctoral student,
and that further provides all required certifications and assurances;
The University shall agree to provide, as the Principal Investigator
under the Grant Agreement, a faculty advisor or chairperson of the
doctoral student's dissertation committee who shall supervise the
student's work under the Grant Agreement;
c. The student's institution must provide a letter agreeing to
support the student;
d. The applicant may not request more funding than the grant
maximum allocated for the program for which they are requesting funding
as outlined in Section II;
e. Only one application package can be submitted per doctoral
student. Students who have received funding in the past are not
eligible to receive funding under the same program;
f. Applications must receive a minimum score of 75 points to be
considered for funding;
g. The University (the official applicant on behalf of the student)
must have a DUNS number to receive HUD grant funds (See the General
Section); and
h. Electronic applications must be received and validated by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
dateline date.
IV. Application Instructions and Submission Information
A. Instructions to Download 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. Applicants must be
registered to submit an application via Grants.gov. See the General
Section for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk.
B. Application Content and Forms for Submission
1. Application Content. Applications must consist of the following
elements: table of contents, executive summary, narrative for the
rating factors, budget, budget narrative, and forms. Applicants that
received a wavier of the electronic application submission requirement
must submit their application in the order below. Copies of the
instructions and all forms are available online at http://
www.grants.gov/applicants/apply_for_grants.jsp.
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The name of the applicant for these programs is the University.
Please make sure that the University's address is listed on this form
(not the student's information);
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact person. This is
the University contact that will receive all pertinent information from
HUD regarding this grant; therefore please ensure the accuracy of the
information;
(3) The total grant amount requested for the total performance
period of the grant;
(4) The University's Employer Identification/Tax ID;
(5) The DUNS Number;
(6) The Catalog of Federal Domestic Assistance Number for the
program from which you are requesting funding; and
(a) Early Doctoral Student Research Grant Program is 14.517.
(b) Doctoral Dissertation Research Grant Program is 14.516.
(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 eB