Skip to Content

Notice

Fiscal Year 2008 SuperNOFA for HUD's Discretionary Programs

Document Details

Information about this document as published in the Federal Register.

Published Document

This document has been published in the Federal Register. Use the PDF linked in the document sidebar for the official electronic format.

Start Preamble Start Printed Page 27032

AGENCY:

Office of the Secretary, HUD.

ACTION:

Notice of HUD's 2008 Notice of Funding Availability (NOFA) for HUD's Discretionary Programs (SuperNOFA).

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.

Start Further Info

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.

End Further Info End Preamble Start Supplemental Information

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 Start Printed Page 27033create 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.

Start Signature

Dated: April 15, 2008.

Dawn Luepke,

General Deputy Assistant Secretary for Administration.

End Signature Start Printed Page 27034

Start Printed Page 27035

Start Printed Page 27036

Start Printed Page 27037

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:

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.

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.

ProgramNational TALocal TA
HOME$5,000,000$5,000,000
CHDO (HOME)2,500,0006,000,000
Homeless5,600,0002,000,000
HOPWA820,0000
CDBG1,000,0000
Total14,920,00013,000,000

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 Start Printed Page 27038restrictions identified in Section IV, Subpart E.

Local TA areaHOMECHDO (HOME)Homeless
Alabama$0$030,000
Alaska50,00050,00030,000
Arkansas50,00050,00030,000
California—Northern and Arizona, Nevada400,000850,000180,000
California—Southern350,000500,000165,000
Caribbean100,000100,00030,000
Colorado and Montana, North Dakota, South Dakota, Utah, Wyoming150,000200,00045,000
Connecticut50,000100,00030,000
District of Columbia area50,00050,00030,000
Florida—Southern50,00050,00015,000
Florida—Northern150,000045,000
Georgia150,000150,00045,000
Hawaii100,000100,00030,000
Illinois150,000400,00095,000
Indiana50,00050,00015,000
Kansas and Missouri—Western100,000100,00030,000
Missouri—Eastern50,00050,00015,000
Kentucky200,000150,00045,000
Louisiana50,000100,00030,000
Maryland, except District of Columbia area50,000150,00030,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont150,000200,000120,000
Michigan150,000200,000105,000
Minnesota100,000200,00045,000
Mississippi150,000150,00030,000
Nebraska and Iowa50,00050,00030,000
New Jersey150,000100,00030,000
New Mexico150,000300,00045,000
New York—Downstate200,000450,000135,000
New York—Upstate50,00050,00030,000
North Carolina200,000200,00045,000
Ohio200,000150,00060,000
Oklahoma100,00050,00015,000
Oregon and Idaho100,00050,00030,000
Pennsylvania—Eastern and Delaware50,00050,00015,000
Pennsylvania—Western and West Virginia100,000045,000
South Carolina50,00050,00030,000
Tennessee100,000100,00030,000
Texas—Northern200,000200,00060,000
Texas—Southern100,00050,0000
Virginia, except District of Columbia area100,00050,00030,000
Washington50,00050,00030,000
Wisconsin100,000045,000
Houston100,000100,00030,000
Total5,000,0006,000,0002,000,000

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 Start Printed Page 27039the 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.

ProgramEligible applicants
HOME• A for-profit or nonprofit professional and technical services company or firm that has demonstrated knowledge of the HOME program and the capacity to provide technical assistance services;
• A HOME Participating Jurisdiction (PJ);
• A public purpose organization, established pursuant to state or local legislation, responsible to the chief elected officer of a PJ;
• An agency or authority established by two or more PJs to carry out activities consistent with the purposes of the HOME program; or
• A national or regional nonprofit organization that has membership comprised predominantly of entities or officials of entities of PJs or PJs' agencies or established organizations.
CHDO (HOME)• A public or private nonprofit intermediary organization that customarily provides services, in more than one community, related to the provision of decent housing that is affordable to low-income and moderate-income persons or related to the revitalization of deteriorating neighborhoods; has demonstrated experience in providing a range of assistance (such as financing, technical assistance, construction and property management assistance) to CHDOs or similar organizations that engage in community revitalization; and has demonstrated the ability to provide technical assistance and training for community-based developers of affordable housing.
Note: Any organization funded to assist CHDOs under CD-TA may not undertake CHDO set-aside activities itself within its service area while under cooperative agreement with HUD.
Homeless• A state;
• A unit of general local government;
• A public housing authority; or
• A public or private nonprofit or for-profit organization, including educational institutions and area-wide planning organizations.
HOPWA• A for-profit or nonprofit organization;
• A state; or
• A unit of general local government.
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 Start Printed Page 27040enterprise 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 Start Printed Page 27041recipients 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 Start Printed Page 27042with 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.) Start Printed 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 Start Printed Page 27044CD-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:

Local TA applicants number of HOME program certified staffNational TA applicants number of HOME program certified staffPoints
124
23-46
35-68
4 or more7 or more10

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 Start Printed Page 27045outcomes 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 Start Printed Page 27046limitation 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.

Start Printed Page 27047

Start Printed 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. Start Printed 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). Start Printed 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 ONAPPopulationCeiling
Eastern WoodlandsALL$600,000
Southern PlainsALL800,000
Northern Plains6,001+1,100,000
0-6,000900,000
Southwest50,001+5,500,000
10,501-50,0002,750,000
7,501-10,5002,200,000
6,001-7,5001,100,000
1,501-6,000825,000
0-1,500605,000
NorthwestALL500,000
AlaskaALL600,000

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. Start Printed 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. Start Printed 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. Start Printed 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 Start Printed Page 27054new 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 factorTitlePointsProject type
1CAPACITY OF THE APPLICANT30Minimum of 15 Points Required.
1Managerial, Technical and Administrative Capacity15 or 30*
1.a.Managerial and Technical Staff8All Project Types.
1.b.Project Implementation Plan3 or 8*All Project Types.
1.c.Financial Management2 or 7*All Project Types.
1.d.Procurement and Contract Management2 or 7*All Project Types.
Start Printed Page 27055
2.Past Performance15 or 0*
2.aImplementation Schedule3 or 0*All Project Types.
2.b.Reports3 or 0*All Project Types.
2.c.Close-outs3 or 0*All Project Types.
2.d.Audits3 or 0*All Project Types.
2.e.Findings3 or 0*All Project Types.
2NEED/EXTENT OF THE PROBLEM16
1Need and Viability4All Project Types.
2Project Benefit12All Project Types.
2.a.Public Facilities and Improvement Projects12Public Facilities and Improvement Projects
2.b.Economic Development Projects12Economic Development Projects.
2.c.New Housing Construction, Housing Rehabilitation,12New Housing Construction, Housing Rehabilitation, Land Acquisition to Support.
2.d.Microenterprise Programs12Microenterprise Programs.
3SOUNDNESS OF APPROACH36
1Description of and Rationale for Proposed13All Project Types.
2Budget and Cost Estimates8All Project Types.
3HUD Policy Priorities1All Project Types.
4Intent to Meet Section 3 Requirements2All Project Types.
5Commitment to Sustain Activities12
5.a.Public Facilities and Improvement Projects12Public Facilities and Improvements.
5.b.New Housing Construction, Housing Rehabilitation, and12New Housing Construction, Housing Rehabilitation, and Homeownership Assistance.
5.c.Economic Development Projects12Economic Development Projects.
5.d.Microenterprise Programs12Microenterprise Programs.
5.e.Land Acquisition Projects to Support New Housing12Land Acquisition to Support New Housing.
4LEVERAGING RESOURCES8All Project Types.
5COMPREHENSIVENESS AND COORDINATION10All Project Types.
1Coordination2All Project Types.
2Outputs, Outcomes and/or Goals8All Project Types.
TOTAL100Minimum 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 Start Printed Page 27056projects 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 Start Printed Page 27057applicant 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 § 1003.508.

(2) (0 points) The applicant has not submitted close-out documents to HUD as required by § 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. Start Printed 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 Start Printed Page 27059description 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 Start Printed Page 27060tribe 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. Start Printed 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 costsPoints
Less than 4 percent0
At least 4 percent but less than 11 percent2
At least 11 percent but less than 18 percent4
At least 18 percent but less than 25 percent6
25 percent or more8

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 Start Printed Page 27062must 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 ExcelTM file with dropdown listings from which applicants may select the items in each column that reflect their activity outputs and outcomes. The Master Logic Model listing also identifies the unit of measure that HUD is interested in collecting for the output and outcome selected. Applicants can also select the appropriate estimated number of units of measure to be accomplished and identified for each output and outcome. The space next to the output and outcome is intended to capture the anticipated units of measure. Multiple outputs and outcomes may be selected per project. 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 Start Printed Page 27063concerning 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 Start Printed Page 27064work 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.

Start Printed Page 27065

Start Printed 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 81/2-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; Start Printed 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 § 570.201 through § 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 Start Printed Page 27068Program 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 Start Printed Page 27069difficulty 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 81/2-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 Start Printed Page 27070the 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 81/2-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. Start Printed 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 81/2-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 Start Printed Page 27072the 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: Start Printed 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 Start Printed Page 27074represents 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 Start Printed Page 27075selections 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. Start Printed Page 27076Public 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.

Start Printed Page 27077

Start Printed 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 81/2-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. Start Printed Page 27079Institutions 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 § 570.201 through § 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. Start Printed 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; Start Printed Page 27081therefore, 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 81/2-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 81/2-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 Start Printed Page 27082expertise 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: Start Printed 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 81/2-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 Start Printed Page 27084this 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) Start Printed Page 27085of 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 Start Printed Page 27086effectiveness. 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 Start Printed Page 27087Web 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.

Start Printed Page 27088

Start Printed 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 81/2-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 Start Printed Page 27090U.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 § 570.201 through § 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 Start Printed Page 27091Section 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 Start Printed Page 27092Institution, 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 81/2-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 81/2-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 Start Printed Page 27093considered 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 81/2-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 Start Printed Page 27094and 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 Start Printed 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 Start Printed Page 27096not 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: Start Printed 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 Start Printed Page 27098agency, 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.

Start Printed Page 27099

Start Printed 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 81/2-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; Start Printed 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 Start Printed Page 27102economic 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 81/2-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 Start Printed Page 27103calculate 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 81/2-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 Start Printed Page 27104submit 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 81/2-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.Start Printed 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 Start Printed Page 27106deadline 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 Start Printed Page 27107Program 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 Start Printed Page 27108required 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.

Start Printed Page 27109

Start Printed 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 Start Printed Page 27111both 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 Start Printed Page 27112applicants 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 eBusiness Point of Contact to submit an application via Grants.gov. The AOR must be able to make a legally binding agreement with HUD. See the General Section for further information.

b. Table of Contents.

c. Executive Summary (700 words or less). The Executive Summary should, at a minimum, include a summary of the proposed research project that addresses the following information:

(1) Specific purpose of the manuscript/dissertation;

(2) Methodology being used; and

(3) How the student meets the eligibility criteria for the program from which she/he is requesting funding.

In addition, include the following information:

(1) Student's address, telephone number, facsimile number, and e-mail address; and

(2) The faculty advisor's name, title, department, address, telephone number, facsimile number, and e-mail address. This person will serve as the Principal Investigator for this grant.

d. 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 four rating factors that need to be addressed. The narrative statement is the main source of information. Therefore, it is very important that the student becomes fully familiar with the rating factors for the program from which he/she is requesting funding. The narrative should be numbered in accordance with each factor and subfactor. Please do not repeat material in response to the four factors; instead, focus on how well the proposal responds to each of the factors. Make sure to address each factor and subfactor and provide sufficient information about every element. Do not include any individual's Social Security Numbers in this application. The application narrative, bibliographies, and any supporting references must not exceed 15 pages in length (excluding forms, assurances, budget narrative, Table of Contents, Executive Summary, and letter of support) and must be submitted electronically and formatted to fit an 81/2-by-11-inch paper, double-spaced, with one inch margins (for the top, bottom, left, and right sides of the document) and in standard Times New Roman 12-point font. Each page must be numbered and the name of the student and university must be on each page. The double-spacing requirement applies to the narrative section of the application (excluding references and bibliographies). Note that although submitting pages in excess of the page limit will not disqualify the application, HUD will not consider the information on any excess page. This exclusion may result in a lower score or failure to meet a threshold requirement. All applicants submitting electronic applications must attach their narrative response to Rating Factors 1-3 as one attachment. 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.Start Printed Page 27113

e. Budget. The budget submission must include the following:

(1) HUD-424-CB, “Grant Application Detailed Budget.” This budget 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.

Make sure that the amount 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 the HUD-424-CB form so that all items are included in the total. The budget form must be fully completed. If there is any inconsistency between any required forms and/or budget narrative, the HUD-424-CB will be used. If this correction puts an application over the grant maximum, the doctoral student will not be able to correct the amount requested and the application will be disqualified. 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 doctoral student arrived at the cost estimate for each line item. The proposed cost 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.

(3) Indirect cost. Indirect cost rates cannot be charged under these programs.

f. Appendix. The appendix section of an application must not exceed five (5) 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/curriculum vitas, 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. 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. However, doctoral students receiving a waiver of the electronic submission requirements that are submitting a paper copy of the application must place all required forms in this section.

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-2993, Acknowledgement of Applicant Receipt. Complete this form only if you have received a waiver to the electronic application submission requirement. Applicants are not required to include this form;

f. HUD-2994-A, You Are Our Client! Grant Applicant Survey. Applicants are not required to complete this form;

g. HUD-96010, Program Outcome Logic Model; and

h. 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 download the cover page and then make multiple copies to provide to any of the entities responsible for submitting faxed materials to HUD on your behalf. Please do not use your own fax cover sheet. HUD will not read any faxes that are sent without the HUD-96011 fax transmittal cover page.

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 June 12, 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 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

These programs are excluded from the Intergovernmental Review process.

E. Funding Restrictions

1. Funding will only be provided to doctoral students who meet the standards for eligible applicants outlined in Section III. A. under the program for which they are requesting funding.

2. Grant funds awarded for programs under this NOFA may not be used to pay for tuition, computer hardware, or meals.

3. Indirect cost rates and honorariums cannot be charged against grants under this program.

4. Institutions that have had previously awarded grants under these programs terminated for non-performance and have outstanding funds owed to HUD resulting from the termination, will be excluded from competition until the outstanding funds are repaid. (Applicants must comply with the Delinquent Federal Debt Requirement as defined in the General Section).

5. Early Doctoral Student Research Grant (EDSRG) Program. Three thousand dollars of the grant funds will be held until the doctoral student's research manuscript has been completed and accepted for presentation at a conference or publication in a refereed journal by the end of the grant period, or a committee of three faculty members (including the faculty sponsor, as the principal investigator of the grant) has determined and certified to HUD that the manuscript is of high quality and worthy of submission to academic conferences or journals, and two copies of the research product and a CD-ROM are submitted to HUD in its final version.

6. Doctoral Dissertation Research Grant (DDRG) Program. Six thousand dollars of the grant funds will be held until the doctoral student's dissertation has been completed, approved by the committee, and two final copies and a CD-Rom are submitted to HUD in its final version.

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Please read the General Section carefully and completely for the electronic Start Printed Page 27114submission and receipt procedures for all applications because failure to comply may disqualify a doctoral student's 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 81/2-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 to do the Research (25 Points). In reviewing this factor, HUD will determine the extent to which the doctoral student clearly addresses the following:

a. Describe the skills and expertise you possess to conduct research. Research skills and expertise will be judged in terms of how recent they are. Research skills and expertise developed within the last two (2) years will be considered recent.

b. Describe the knowledge and experience you possess to undertake the proposed research hypotheses. Knowledge and experience will be judged in terms of how relevant it is to the research proposed (e.g., course work, teaching, research projects, and presentations). Knowledge and experience developed within the last five (5) years in the area of the proposed research will be considered relevant.

c. Provide a detailed list that outlines the preliminary steps that were taken (e.g., literature review, research hypotheses, questions to be answered) to identify the proposed manuscript/dissertation topic/hypotheses.

2. Rating Factor 2: Need for the Research (15 Points). This factor addresses the extent to which there is a need and a demand for funding the proposed research. HUD encourages doctoral students to undertake research that will assist the Department in implementing its policy priorities and which help the Department achieve its goals and objectives in FY2008. In reviewing this factor, HUD will determine the extent to which the doctoral student clearly addresses the following:

a. Describe the need for funding the proposed research manuscript/dissertation (i.e., based on questions derived from identified gaps in the literature, and/or knowledge from professional practice).

b. Discuss the results or findings the proposed research manuscript/dissertation is expected to produce and explain why the information will be generally accepted by researchers and practitioners in your field and other related disciplines.

c. Explain the direct relationship between the proposed manuscript/dissertation and at least one of HUD's annual goals and objectives (i.e., the research that will be produced could have an effect on HUD's strategic goals and programs and policies to achieve these goals). For a full list and explanation of the annual goals and objectives, please refer to the General Section.

3. Rating Factor 3: Soundness of Approach (50 Points). This factor addresses the relationship between the need proposed in Factor 2, the quality and effectiveness of the proposed research and methodology and the actions regarding HUD's policy priorities. This factor will be evaluated based on the extent to which the proposed work plan will demonstrate the following:

a. (22 Points) Quality of Research.

(1) State the proposed research question/hypotheses and how it relates to the need you described in Factor 2;

(2) Describe in detail the proposed research design as it relates to the question/hypotheses stated above;

(3) Explain how the proposed methodology will be used to complete the proposed manuscript/dissertation;

(4) Discuss why you think the research design and methodology proposed is most appropriate and will produce data and information that will successfully answer the research hypothesis;

(5) Identify potential obstacles in completing the research and discuss how they will be handled. If your research is dependent on any data sources that are not readily obtainable and require obtaining permission to access them, please outline the alternatives that will be utilized to complete the research should access to the data sources not be obtained; and

(6) Describe the quality assurance mechanisms that will be integrated into the proposed research design to ensure the validity and quality of the results.

b. (20 Points) Specific Activities. The work plan must identify all the major tasks/benchmarks involved in completing the proposed research. The tasks/benchmarks must be presented in a logical sequence of steps and phases, with individual tasks described for each, as well as plans for data management and analysis.

(1) Indicate the sequence in which these tasks/benchmarks will be performed;

(2) The sequence and duration of this effort should be presented in quarterly (3 month) intervals for the entire life of the grant (use of a milestone chart to present this information is recommended);

(3) Describe the plan that will be used to manage and analyze the data; and

(4) Identify any key individuals assisting in the proposed activities. Efforts on the part of the doctoral student who proposes extremely complex and time-consuming data collection efforts (e.g., major longitudinal studies or a very large number of site visits within the grant period) will be determined less feasible for completion within the allotted grant performance period. For example, if the proposed methodology is based on information that may not be publicly available until after the end of the grant period (e.g., Census information), or a data collection plan that will take longer than the allotted grant performance period, zero points will be awarded for this factor.

The major tasks and benchmarks/deliverables identified must be consistent with those present on the HUD-96010, Program Outcome Logic Model.

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 addressing this subfactor, HUD will evaluate the extent to which a program will further and support HUD priorities. The quality of the responses provided to one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority is addressed. Start Printed Page 27115Applicants that just list a priority will receive no points.

The total number of points an applicant can receive under this subfactor is two (2). Each policy priority addressed has a point value of one (1) point, with the exception of the policy priority 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 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. (3 Points) Dissemination Strategies. In reviewing this subfactor, HUD will assess the doctoral student's ability to disseminate results of the research. Describe your plan to disseminate the research. Common dissemination strategies include proposing to present the research at academic and professional conferences, publishing research in peer-reviewed academic journals or research briefs and editorials in trade publications, issuing press releases, targeted mailings, use of Web sites, e-mail, list-serves, and other efforts intended to target findings to a relevant audience of researchers, policy makers and practitioners.

e. (3 Points) Institutional Support. This subfactor addresses the student's ability to secure support from their institution. The student must provide a support letter from the institution that details and outlines the specific types of support/resources the institution will provide to support the student's research (i.e., labor cost to transcribe interviews, assistance with cost associated with data collection, student workspace, etc.). This support must be in addition to what is provided to all PhD. students. The letter must also describe the dollar value of the in-kind goods and/or service committed. This letter must be included with the application at the time of submission and be signed by the appropriate executive officer/official authorized at the University.

4. Rating Factor 4. Achieving Results and Program Evaluation (10 Points). This factor reflects HUD's goal to embrace high standards of management and accountability. It measures the student's commitment to assess their performance to complete their proposed research within the grant performance period. Students are required to develop an effective, quantifiable, outcome oriented evaluation plan for measuring performance and determining the outputs to achieve their proposed outcome(s). 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).

Note:

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 ultimate goals. A student must clearly identify the outcomes to be measured and achieved. Examples of outcomes are the completion of the research manU.S.C.ript/dissertation, the cultivation of research skills to the student, the plan to disseminate the research, and the benefits of the research study to HUD's policy priorities and annual goals and objectives.

In addition, a student must establish outputs that lead to the ultimate achievement of the outcomes. “Outputs” are the direct benchmarks and indicators that will allow a student to measure their performance. Performance indicators should be objectively quantifiable and measure actual achievements. At a minimum, an applicant must address the following activities in the evaluation plan:

(1) Identify benchmarks that will be used to track the progress of your study; and

(2) Indicate the sequence in which tasks will be performed.

Students must also reference policy priorities, as stated in your 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. These individuals may be included to obtain certain expertise.

3. Ranking. In order to be funded, an application must receive a minimum score of 75 points out of a possible 100 for Factors 1 through 4. The RC/EZ/EC-II communities' two bonus points described in the General Section do not apply to this NOFA. HUD will fund applications under each program in rank order, until all available program funds are awarded. If two or more applications have the same number of points, the application with the higher Start Printed Page 27116points for Factor 3, shall be selected. If there is still a tie, the application with the higher points for Factor 2, shall be selected. HUD 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 offer to the next highest-ranking 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 (not students) in writing. HUD may require winning applicants to participate in additional negotiations before receiving an official award. For further discussion on this matter, please refer to the General Section.

B. Administrative and National Policy Requirements. Refer to the General Section

1. Debriefing. The General Section provides the procedures for requesting a debriefing. All requests for debriefings must be made in writing and submitted within 30 days of receipt of comments to Susan Brunson, 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. Brunson via e-mail at Susan.S.Brunson@hud.gov.

2. Environmental Requirements. The provision of assistance under these programs is categorically excluded from environmental review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance actions for related environmental authorities under 24 CFR 50.19(b)(1) and (b)(9).

3. 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.

C. Reporting Requirements

All doctoral students that receive grant funds under this program NOFA are required to submit a report and Program Outcome Logic Model halfway through the grant period, on the progress to date that has been made toward completion of the research product and the likelihood that it will be completed on time.

At the end of the grant performance period doctoral students must submit to HUD two copies and a CD-Rom of the approved manuscript/dissertation in its final version and a final complete Program Outcome Logic Model. Titles of the manuscript/dissertation must not be changed from the title awarded unless prior approval has been received from HUD.

VII. Agency Contacts

Doctoral students may contact Susan Brunson, Office of University Partnerships at (202) 402-3852 or Sherone Ivey at (202) 402-4200. Persons with speech or hearing impairments may call the Federal Information Relay Service TTY at 800-877-8339. Except for the “800” number, these telephone numbers are not toll-free. Students may also reach Ms. Brunson via e-mail at Susan.S.Brunson@hud.gov and/or Sherone Ivey at Sherone.Ivey@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 2528-0216 (for the Early Doctoral Student Research Grant Program) and 2528-0213 (for the Doctoral Dissertation Research Grant Program). 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 44 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 reports, 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.

Start Printed Page 27117

Start Printed Page 27118

Fair Housing Initiatives Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban Development, Office of Fair Housing and Equal Opportunity.

B. Funding Opportunity Title: Fair Housing Initiatives Program (FHIP).

C. Announcement Type: Initial Announcement.

D. Funding Opportunity Number: The OMB Approval Number is 2529-0033. The Federal Register number for this NOFA is FR-5200-N-11.

E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Private Enforcement Initiative (PEI); Education and Outreach Initiative (EOI) 14.408.

F. Dates: The application deadline date shall be on or before July 9, 2008. Applications must be received and validated by Grants.gov no later than 11:59:59 pm on the application deadline date. Please see the General Section of the SuperNOFA (the General Section) published March 19, 2008 (73 FR 14882), for information on electronic deadline and timeliness requirements.

G. Optional, Additional Overview Content Information

1. Funding Breakdown. This year there are three initiatives: Private Enforcement, Education and Outreach, and the Fair Housing Organization Initiatives. The following is a breakdown of each Initiative (please see the chart located in Section III.A. of this NOFA for more information on each of these components):

a. Private Enforcement Initiative (PEI)

(1) General Component, and

(2) Performance Based Funding Component

b. Education and Outreach Initiative (EOI)

(1) Regional/Local/Community-Based

(a) General Component

(b) Clinical Law School Component. This Component provides legal practitioners with training in the area of fair housing. Eligible applicants are law schools accredited by the American Bar Association. The component is for the development and implementation of a legal curriculum that relates to fair housing.

(2) National-Based Program: National Media Campaign Component. There are two components under PEI (General and Performance Based Funding Components). Three under EOI (General, Clinical Law School, and National Med Campaign Components).

c. Fair Housing Organizations Initiative (FHOI). This initiative is to develop or expand the ability of existing eligible organizations to provide fair housing enforcement and to establish new fair housing enforcement organizations.

Continued Development Component. This component provides funding to QFHOs, FHOS, and Nonprofit groups organizing to build their capacity to provide fair housing enforcement. Only applicants who were sponsored under previous FHOI Establishing New Organizations component grants may apply under the Continued Development Component.

2. Electronic Applications. For FY2008, FHIP electronic applications will be available on http://www.Grants.gov/​/Fand_​grant_​opportunities.jsp and http://www.grants.gov/​/Apply_​for_​grants.jsp. For further instructions on electronic application submission requirements using Grants.gov, please read the General Section.

3. Fair Housing Initiatives Program (FHIP) Funding. FHIP funds are used to increase compliance with the Fair Housing Act (the Act) and with substantially equivalent State and local fair housing laws. Approximately $22,800,000 in FY2008 funds and any potential recapture is allocated to three (3) initiatives as follows:

a. Private Enforcement Initiative (PEI) $19,000,000;

b. Education and Outreach Initiative (EOI) $2,800,000;

c. Fair Housing Organizations Initiative (FHOI) $1,000,000.

4. Award Agreements. HUD expects to award a cost reimbursable cooperative agreement or grant agreement to each applicant selected for award. Upon completion of negotiations, HUD reserves the right to use the funding instrument it determines is most appropriate.

5. Eligible Applicants. Eligible applicants are Qualified Fair Housing Enforcement Organizations (QFHOs) and Fair Housing Enforcement Organizations (FHOs), see 24 CFR 125.103; public or private, for-profit or not-for-profit organizations or institutions and other public or private entities that are formulating or carrying out programs to prevent or eliminate discriminatory housing practices (including entities that will be established as a result of receiving an award under this FHIP NOFA); agencies of State or local governments; and agencies that participate in the Fair Housing Assistance Program (FHAP). For the EOI National Program, eligible applicants are QFHOs, other fair housing enforcement organizations, and other non-profit organizations representing groups of persons protected under title VIII of the Civil Rights Act of 1968.

6. Private Enforcement Initiative—Performance-Based Funding Component.

(a) Applicants awarded PBFC funding in FY 2006 and 2007 are not eligible to submit applications for additional PEI funding for a three-year period based upon the fiscal year in which the grant was awarded.

(b) Applicants awarded funding in FY 2008 under this component will be eligible to apply for additional PEI funding three fiscal years from the date the grant is awarded, subject to appropriations.

(c) If a grantee's performance is assessed by the HUD Government Technical Representative (GTR) as anything less than “Excellent”, then the grantee is both:

(i) Prohibited from drawing down funds on their current grant, and

(ii) Prohibited from receiving PBFC funding in the second or third grant year if applicable. Applicants selected for funding under the PBFC will be required to submit a Statement of Work (SOW) and a separate budget for each actual year of the agency's activities, for a period of three fiscal years commensurate with the level of funding and based upon appropriations.

7. Start Date. For planning purposes, assume a start date no later than October 19, 2008.

Full Text Of Announcement

I. Funding Opportunity Description

Authority. Section 561 of the Housing and Community Development Act of 1987, as amended, (42 U.S.C. 3616) established FHIP. The implementing regulations are found at 24 CFR Part 125. If you are interested in applying for funding under the FHIP, please review carefully the General Section of the SuperNOFA (hereafter, the General Section), the FHIP Authorizing Statute (Sec. 561 of the Housing and Community Development Act of 1987, as amended), and the FHIP Regulations (24 CFR 125.103-501).

A. FHIP Initiatives and Components

The FHIP assists fair housing activities that increase compliance with the Fair Housing Act and with substantially equivalent fair housing laws administered by State and local government agencies under the Fair Housing Assistance Program (FHAP). Recipients of FHIP funding are obliged to affirmatively further fair housing. Under the General Section, applicants for FHIP funds must address their obligation to affirmatively further fair Start Printed Page 27119housing in the application. Applicants must address housing discrimination covered by the Act. Consistent with the Department's FHIP rule at 24 CFR 125.105, applicants must describe practices in the proposed service area that adversely affect the achievement of the goal of fair housing; specify activities to address these adverse practices, to be conducted with FHIP funds including the final product(s) and/or any reports to be produced; and describe the expected long-term results. Applicants will provide this information in their responses to the Rating Factors or by a separate affirmatively furthering fair housing statement.

1. Private Enforcement Initiative (PEI). This Initiative assists private, tax-exempt fair housing enforcement organizations in the investigation and enforcement of alleged violations of the Act and substantially equivalent State and local fair housing laws. There are two components under this Initiative: the General Component and the Performance-Based Funding Component.

2. Education and Outreach Initiative (EOI). This Initiative assists organizations that inform the general public about their rights and obligations under the Act and substantially equivalent State and local fair housing laws. Under this Initiative, there are two programs with a total of three components. They are the EOI—Regional/Local/Community-Based Program (R/L/C-B), General Component and Clinical Law School Component, and the EOI—National-Based Program; National-Media Campaign Component.

EOI applicants are required to describe a referral process that will result in referral of fair housing complaints to HUD or Fair Housing Assistance Program (FHAP) substantially equivalent agencies. If funded, the grantee will be required to develop and implement the complaint referral process referenced in the application.

3. Fair Housing Organization Initiative (FHOI) This component provides funding to QFHOs, FHOs, and nonprofit groups organizing to build their capacity to provide fair housing enforcement. Only applicants who were sponsored under previous FHOI Establishing New Organizations Component grants may apply under the Continued Development Component.

B. Other

1. Program Definitions. The definitions that apply to this FHIP section of the NOFA are:

a. Broad-based proposals are those that address more than one type of housing transaction covered under the Act. Examples of covered housing transactions include the rental, sales, or financing of housing. (See also Full Service Projects below.)

b. Complainant means any person, including the Assistant Secretary for Fair Housing and Equal Opportunity at HUD, who files a complaint under Section 810 of the Fair Housing Act.

c. Disability Advocacy Groups means organizations that traditionally have advocated for the civil rights of persons with disabilities. This would include organizations such as Independent Living Centers and cross-disability legal services groups. Such organizations must be experienced in providing services to persons with a broad range of disabilities, including physical, cognitive, and psychiatric/mental disabilities. Such organizations must demonstrate actual involvement of persons with disabilities throughout their activities, including on staff and board levels.

d. Enforcement proposals are potential complaints under the Act that are timely, jurisdictional, and well-developed, and that could reasonably be expected to become enforcement actions if an impartial investigation found evidence supporting the allegations and the case proceeded to a resolution with HUD or FHAP agency involvement.

e. Fair Housing Act means Title VIII of the Civil Rights Act of 1968 as amended by the Fair Housing Amendments Act of 1988 (42 U.S.C. 3600-3620).

f. Fair Housing Assistance Program (FHAP) agencies as described in 24 CFR part 115 mean State and local fair housing enforcement government agencies that receive FHAP funds to administer laws deemed substantially equivalent to the Act.

g. Fair Housing Enforcement Organization (FHO) means an organization engaged in fair housing activities as defined in 24 CFR 125.103.

h. Full-service projects must include the following enforcement-related activities in the project application: Interviewing potential victims of discrimination; taking complaints; testing; evaluating testing results; conducting preliminary investigations; conducting mediation; enforcing meritorious claims through litigation or referral to administrative enforcement agencies; and disseminating information about fair housing laws.

i. Grassroots organizations see, General Section of the SuperNOFA.

j. Jurisdiction under the Act is established when the complaint is timely filed; the complainant has standing; the respondent and the dwelling involved (where the complaint involves a provision or denial of a dwelling) is covered by the Act; and the subject matter and the basis of the alleged discrimination constitute illegal practices as defined by the Act.

k. Meritorious claims means enforcement activities by an organization that resulted in lawsuits, consent decrees, legal settlements, HUD or substantially equivalent agency (under 25 CFR 115.6) conciliations and organization initiated settlements with the outcome of monetary awards for compensatory and/or punitive damages to plaintiffs or complaining parties, or other affirmative relief, including the provision of housing (24 CFR 125.103).

l. Mortgages with unacceptable terms or conditions or resulting from unacceptable practices means a mortgage or a group or category of mortgages with one or more terms or conditions as specified under 24 CFR 81.2.

m. Operating budget means an organization's total planned budget expenditures from all sources, including the value of in-kind and monetary contributions, in the period for which funding is requested.

n. Qualified Fair Housing Enforcement Organization (QFHO) means an organization engaged in fair housing activities as defined in 24 CFR 125.103.

o. Regional/Local/Community-Based Activities are defined at 24 CFR 125.301(a) and (d).

p. Rural Areas means any of the following:

(1) A non-urban place having fewer than 2,500 inhabitants (within or outside of the metropolitan areas).

(2) A county or parish with an urban population of 20,000 or fewer inhabitants or less.

(3) Territory, including its persons and housing units, in rural portions of “extended cities.” The Census Bureau identifies the rural portions of extended cities.

(4) Open country that is not part of or associated with an urban area. The USDA describes “open country” as a site separated by open space from any adjacent densely populated urban area. Open space includes undeveloped land, agricultural land, or sparsely settled areas, but does not include physical barriers (such as rivers and canals), public parks, commercial and industrial developments, small areas reserved for recreational purposes, or open space set aside for future development. Start Printed Page 27120

(5) Any place with a population not in excess of 20,000 and not located in a Metropolitan Statistical Area.

q. Statement of Work (SOW) means a document that accurately reflects all the tasks necessary to do the work, all the steps needed for good management control and specificity regarding work to be done and deliverables, and that provides a basis for mutual understanding of the requirements and tasks.

r. Technical Evaluation Panel (TEP) means a panel whose mission is to accomplish sound, impartial and comprehensive evaluation of proposals consistent with the guidelines of the Notice of Funding Availability.

s. Traditional Civil Rights Organizations mean non-profit organizations or institutions and/or private entities with a history and primary mission of securing Federal civil rights protection for groups and individuals protected under the Act or substantially equivalent State or local laws and that are engaged in programs to reduce discriminatory housing practices.

t. Underserved Areas mean jurisdictions where there are no Fair Housing Initiatives Program or Fair Housing Assistance Program agencies and where either no public or private fair housing enforcement organizations exist or the jurisdiction is not sufficiently served by one or more public or private enforcement fair housing organizations and there is a need for service.

u. Underserved Populations mean groups of individuals who fall within one or more of the categories protected under the Act and who are:

(1) Of an immigrant population (especially racial and ethnic minorities who are no English-speaking or limited English proficient);

(2) In rural populations,

(3) The homeless,

(4) Persons with disabilities (e.g., physical or mental) who can be historically documented to have been subject to discriminatory practices not having been the focus of Federal, State or local fair housing enforcement efforts, or

(5) Persons in areas that are heavily impacted with minorities and there is inadequate protection and ability to provide service from the State or local government or private fair housing organizations.

II. Award Information

For Fiscal Year 2008, $24,000,000 is appropriated for the Fair Housing Initiatives Program (FHIP). This appropriated amount may be supplemented by recaptured FHIP funds awarded in previous years. Of this amount, approximately $22,800,000 is being made available on a competitive basis to eligible organizations responding to this FHIP NOFA. See the chart in Section III.A. for a program breakdown by Initiative/Component, eligible applicant, funding, and project period.

A. Award Instrument. The type of funding instrument HUD may offer a successful applicant which sets forth the relationship between HUD and the awardee will be a grant or cooperative agreement, where the principal purpose is the transfer of funds, property, services, or anything of value to the awardee to accomplish an eligible public purpose. The agreement will identify the eligible activities to be undertaken, financial controls, and special conditions, including sanctions for violations of the agreement. HUD will determine the type of instrument under which the award will be made and monitor progress to ensure that the grantee has achieved the objectives set out in the agreement. Failure to meet such objectives may be the basis for HUD determining the awardee to be in default of the grant or cooperative agreement and exercising available sanctions, including suspension, termination, and/or the recapture of funds. Also, HUD may refer violations or suspected violations to enforcement offices within HUD, the Department of Justice, or other enforcement authorities.

If funds are awarded as a Cooperative Agreement, HUD will also exercise the right to have substantial involvement by conducting quarterly reviews and approval of all proposed deliverables documented in the applicant's Work Plan or Statement of Work (SOW), and determining whether the agency meets all certification and assurance requirements. HUD will conduct this performance assessment, in part, by using the Logic Model (HUD-96010) submitted by the applicant and approved by HUD in the award agreement (Rating Factor 5). If upon completion of this assessment by the Government Technical Representative (GTR) a determination is made that the quarterly requirements have not been met, the grantee will be obligated to provide additional information or make modifications to its work plan and activities, as necessary, in a timeframe to be established by the GTR.

B. Project Starting Period. For planning purposes, assume a start date no later than October 19, 2008.

III. Eligibility Information

A. Eligible Applicants and Activities

The following chart details each FHIP Initiative/Component and the approximate Funding Available along with Eligible Applicants and Activities:

Initiative/ComponentAllocation amount availableApplicant eligibilityProject periodAward capsApplicant eligible activities
Private Enforcement Initiative (PEI)—General Component: Assists private, tax-exempt fair housing enforcement organizations in the investigation and enforcement of alleged violations of the Fair Housing Act and substantially equivalent State and local fair housing laws$4,000,000Fair Housing Enforcement Organizations (FHOs) with at least one year of experience in complaint intake, complaint investigation, testing for fair housing violations, and meritorious claims in the two years prior to the filing of the application (24 CFR 125.401(b)(2) and Qualified Fair Housing Enforcement Organizations (QFHOs) with at least two years of enforcement related experience as noted above, and meritorious claims in the three years prior to filing this application (24 CFR 125.103)12-18 months$275,000Eligible activities include: (1) Complaint intake of allegations of housing discrimination, testing, evaluating testing results, or providing other investigative and complaint support for administrative and judicial enforcement of fair housing laws; (2) Investigation of individual complaints and systemic housing discrimination for further enforcement processing by HUD through testing and other investigative methods; (3) Mediation or other voluntary resolution of allegations of fair housing discrimination after a complaint has been filed; and (4) litigating fair housing cases including procuring expert witnesses.
Start Printed Page 27121
Private Enforcement Initiative (PEI)—Performance Based Funding Component (PBFC): Assists private, tax-exempt fair housing enforcement organizations in the investigation and enforcement of alleged violations of the Fair Housing Act and substantially equivalent State and local fair housing laws$15,000,000QFHOs (with at least two years of enforcement related experience) who have (1) received excellent performance reviews for FHIP PEI awards made in two FYs (FY pertains to the year for which the funding was appropriated) beginning with FY 2002 through FY 2006; and (2) have received a minimum score of 95 on the most recent of the two of these performance reviews by the FHEO Government Technical Representative36 months$275,000 per year for a three-year duration, based upon appropriations. Eligible PBFC applicants must receive a minimum score of 95 from the FY '08 Technical Evaluation Panel (TEP) to be considered for fundingFor a list of eligible activities see PEI activities above.
Education and Outreach Initiative (EOI)—General Component: Open to applicants for fair housing education and outreach activities. Applicants may also address the fair housing needs of persons with disabilities, the education of consumers about fair housing, financial literacy, credit management, and how to avoid high cost loans and abusive lending practices that violate the Fair Housing Act$1,300,000QFHOs, FHOs, public or private for profit or not for profit organizations or institutions, or other public or private entities that carry out programs to prevent or eliminate discriminatory practices. This includes agencies of State or local governments and agencies that participate in the Fair housing Assistance Program (FHAP). See FHIP NOFA—Eligibility information12-18 months$100,000Eligible activities may include, but are not limited to conducting educational symposia or other training; developing innovative fair housing activities or materials into languages applicable to your community throughout your project area; providing outreach and information on fair housing through printed and electronic media; developing and distributing FH brochures, PSAs for radio, television, and newspaper advertisements.
Education and Outreach Initiative (EOI) Clinical Law School Component: Applications are solicited for this component to organize and operate a fair housing legal-clinical education program that will benefit the public by producing well-trained clinicians and lawyers who are capable of educating and informing the public on fair housing rights and obligations$500,000Applicants who are accredited by the American Bar Association12 months$500,000In addition to the above, activities must include the following: developing curricula and conducting training, seminars, conferences and /or, symposia for students, clinicians and lawyers on fair housing rights and obligations.
Education and Outreach Initiative (EOI)—National-Based Program—National Media Campaign Component: Applicants must provide a centralized coordination effort for the development, implementation, and distribution of a fair housing media campaign with emphasis on a fair housing public service announcement$1,000,000QFHOs, other fair housing enforcement organizations, and other non-profit organizations representing groups of persons protected by under title VIII of the Civil Rights Act of 196812 months$1,000,000Eligible activities may include seminars, conferences, symposia, developing and distributing brochures, PSAs, and radio, television and newspaper advertisements (in various languages). The above activities must be conducted on a national level.
Fair Housing Organizations Initiative (FHOI)—Continued Development Component$1,000,000QFHOs, FHOs and Nonprofit groups organizing to build capacity to provide fair housing enforcement. Only applicants who were sponsored under previous FHOI Establishing New Organizations Component grants may apply under the Continued Development Component12 months$100,000 to $150,000 based on Need, Extent of the Problem, and Budget RequirementsSee PEI above.

Eligibility of Successor Organizations for PEI. HUD recognizes that QFHOs and FHOs may merge either with each other or other organizations. The merger of a QFHO or an FHO with a new organization that has a separate Employer Identification Number (EIN) does not confer QFHO or FHO status upon the successor organization. To determine whether the successor organization meets eligibility requirements for this Initiative, HUD will look at the enforcement-related experience of the successor organization (based upon the successor organization's EIN). The successor organization must establish in its application that it is a private, tax-exempt organization with the requisite two years of enforcement-related experience for a QFHO or one year experience for an FHO to be eligible to apply under the PEI Initiative.

B. Cost Sharing or Matching. No matching funds are required for the Education and Outreach, Private Enforcement, or Fair Housing Organizations Initiatives.

C. Other

1. Threshold Requirements

Program Requirements for All Initiatives. In addition to the civil rights and other threshold requirements found in Section III of the General Section, FHIP program applications must also meet the following requirements:

a. Protected Classes. All FHIP-funded projects must address housing Start Printed Page 27122discrimination based upon race, color, religion, sex, disability, familial status, and/or national origin. All services and activities must be available to the protected class members.

b. Tax Exempt Status. Applicants for the PEI Initiative must be a 501(c)(3) tax-exempt organization as determined by the Internal Revenue Service (IRS) prior to the application deadline date to be eligible for funding. Please provide an IRS report showing 501(c)(3) status.

c. Name Check Review. See the General Section.

d. Poor Performance. Applicants are ineligible for funding if they are previous FHIP grantees that have received a “Poor” performance rating for their most recent performance rating by the Government Technical Representative (GTR). HUD will assess performance ratings for applicants who have received FHIP funding in grant years 2004 through 2006. If the applicant has received a “Poor” performance rating for its most recent performance rating by the GTR, the application is then ineligible for the FY2008 competition. An applicant that disagrees with its determination of ineligibility for the FY2008 competition because of a “Poor” performance rating must adequately address the factors resulting in the “Poor” performance rating to HUD's satisfaction before the FHIP application deadline date. If the “Poor” performance rating is not resolved to the Department's satisfaction before the application deadline date, the applicant is ineligible to apply for the FY2008 FHIP NOFA competition. HUD is interested in improving the performance of all grantees; therefore, applicants who are deemed ineligible because of a “Poor” performance rating have the right and are encouraged to seek HUD technical assistance to improve their performance to be eligible for future NOFA competitions. Applicants who received a “Poor” performance rating prior to FY2004 must provide written documentation that they have implemented remedies to address those identified issues and concerns that contributed to this “Poor” performance rating. This written documentation should be an addendum to the Abstract.

e. Suits Against the United States. An application is ineligible for funding if, as a current or past recipient of FHIP funds, the organization used any funds provided by HUD for the payment of expenses in connection with litigation against the United States (24 CFR 125.104(f)).

f. Other Litigation. An application is ineligible for funding if the organization used funds provided by HUD under this program to settle a claim, satisfy a judgment, or fulfill a court order in any defensive litigation (42 U.S.C. 3616 note Sec. 561(i)).

g. Maximum Award. Applicants are ineligible for funding if they have requested funding in excess of the maximum amount allowed under the Initiative or Component for which they applied. In addition, inconsistencies in the requested amount and/or miscalculations that result in amounts over the maximum award amounts will be considered excessive; therefore the application will be considered ineligible.

h. Dun and Bradstreet Numbering System (DUNS) Numbering Requirement. Refer to the General Section for information regarding the DUNS requirement. You will need a DUNS number to complete your electronic application because it is a mandatory field on the electronic application. The Grants.gov registration also requires use of the DUNS number.

i. Majority of Eligible Activities. Greater than 80 percent of the activities and costs within the Statement of Work (SOW) and budget must be fair housing related activities.

j. Fair Housing Assistance Program (FHAP). FHAP agencies under a suspension based on agency performance, as designated under 24 CFR 115.211(b) at time of application are ineligible for funding.

k. Minimum Technical Evaluation Panel (TEP) Score. HUD convenes a Technical Evaluation Panel (TEP) to review applications against the Rating Factors in this NOFA to determine a score. Applicants must receive a minimum TEP score of 75 to be considered for funding except for the PEI Performance Based Funding Component where a minimum score of 95 is necessary to be considered for funding.

l. Application Preference. Applicants may submit multiple applications to the FHIP NOFA. For those who submit multiple applications you may receive only one award. Grantees who received previous PEI-PBFC awards that are current are not eligible to receive other FHIP funds.

m. Independence of Awards. The application submitted must be independent and capable of being implemented without reliance on the selection of other applications. Applicants applying under the Education and Outreach Initiative may not use the performance (e.g., performance review rating or successfully completed activities) of another EOI organization to meet the requirements of Rating Factor 1.

n. Training Funds. The proposed budget must set aside funds in the amount of $7,000 for EOI, PEI and FHOI components and $7,000 annually for a 36-month duration for PBFC to participate in HUD mandatory sponsored or approved training.

Do not specify amounts over $7,000 for training set-aside in this category. If an applicant has not included this funds allocation in the budget and the applicant is selected for an award, HUD will modify the applicant's budget, reallocating the appropriate amount for training.

o. Accessibility Requirements. All activities, facilities, and materials funded by this program must be accessible to and visitable by persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54). See General Section for definition of “visitable” or HUD's Web site at http://www.concretechange.org.

p. Fair Housing Act. Applicants are expected to address housing discrimination covered under the Act. HUD is determined to ensure equal opportunity and access to housing in communities across the nation.

q. Research Activities. Applicants are ineligible for funding if between 90-100 percent of their project is aimed at research.

r. Limited English Proficiency (LEP). Successful applicants must ensure that their programs do not exclude persons on the basis of race, color, and national origin under Title VI of the Civil Rights Act. This may mean providing language assistance services for persons with limited English proficiency on the basis of their nationality. The Department published Final Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons (72 FR 2732), published in the January 22, 2007 Federal Register, to assist recipients in identifying language assistance needs and developing language assistance strategies.

s. OMB Circular. For-profit awardees are not allowed to earn a profit and must adhere to OMB Circular A-133.

t. Single Audit Requirement. All applicants who have expended $500,000 or more in Federal financial assistance within a single year (this can be a program or fiscal year) must be audited in accordance with the OMBA-133 requirements as established in 24 CFR part 84 and 24 CFR part 85.

u. Reimbursement Requirement. PEI and FHOI grantees are required to reimburse the Federal government the amount of the grant from all settlements, conciliations, and agreements reached as a result of their use of FHIP funds. Start Printed Page 27123The grantees however may choose to use the funds as program income to further fair housing activities rather than returning these funds to HUD. Using these funds for this purpose must be pre-approved in writing by the Government Technical Representative assigned to the grant.

v. Clinical Law School Component. To be eligible under this Component, an institution must be:

(1) Recognized by the American Bar Association as having an accredited law school;

(2) Legally authorized by the State where it is located to provide a bachelor's degree program and a law degree program;

w. National Based Program—National Media Campaign Component. Applicants as their primary purpose must provide advertising and media services, and must have at least five years of experience as an advertisement/media or public relations organization. In addition, an applicant must include as part of its application proposal a subcontract with an established qualified fair housing enforcement organization or be a qualified fair housing enforcement organization. Applicants will be ineligible if they fail to meet these requirements. Applicants should also address Limited English Proficiency within their applications.

x. Fair Housing Organizations Initiative—Continued Development Component. This component provides funding to QFHOs, FHOs, and Nonprofit groups organizing to build their capacity to provide fair housing enforcement. Only applicants who were sponsored under previous FHOI-Establishing New Organizations Components (ENOC) grants, prior to FY2005, may apply under the Continued Development Component.

y. Fair Housing Organizations Initiative—ENOC grantees are required to complete three years of grant experience, starting from the date the grant agreement is executed, before receiving any other FHIP funding.

2. Other Program Requirements by Initiative. Under the PBFC in FY2008, applicants must receive a minimum TEP score of 95 to be considered for funding.

3. Performance Measures and Products. For All Initiatives and Components. Applicants must submit in their application a Logic Model (Form HUD 96010), which provides outputs and outcomes. Applicants are also to identify the tools they will use to identify program progress against their proposed outputs and outcomes. See reporting requirements for using the Logic Model and the frequency of the reporting. The form is located in the Instruction Download at http://www.grants.gov/​applicants/​apply_​for_​grants.jsp for the FHIP. An example of a completed Logic Model is included in this NOFA. The eLogic Model form is a Microsoft ExcelTM form, which provides a drop-down list from which the applicant selects the responses that best fits their proposed program of activities/outputs and outcomes. The form, in HTML fillable format and a text Logic Model Master file, is available on the Web site at http://www.grants.gov/​applicants/​apply_​for_​grants.jsp for applicants that do not have access to Microsoft ExcelTM. Training will be provided by satellite broadcast and Webcast. The training materials and schedule will be available at the above HUD Web site. Applicants should check the Web site for dates and times for HUD training on the Logic Model.

4. Testing Requirements for PEI and FHOI Applicants. All applicants that propose testing must review the FHIP Regulation at 24 CFR 125.10 and address these requirements in their application.

a. Review and Approval of Testing Methodology. If your application proposes testing, other than rental housing testing, HUD may require you to submit copies of the following documents to HUD for review and approval prior to your carrying out the testing activities.

(1) The testing methodology to be used;

(2) The training materials to be provided for testing; and

(3) Other forms, protocols, cover letters, etc., used in the conduct of testing and reporting of results.

If HUD approved your testing methodology for FY2006 and FY2007, you do not need to resubmit your testing methodology, unless your methodology approved by HUD is being revised. If changes are being considered or you have not had your testing methodology previously approved by HUD, you must submit a request for approval in your application.

b. Retainer Fees. FHIP recipients are under specific restrictions regarding establishment of retainer agreements and recovery of legal fees from HUD funded cases. Data on fees, settlements, and verdicts are matters of public record. Awardees must provide this information to HUD on an annual basis. Neither the grantee nor the individual(s) on whose behalf any action is filed can request to HUD to waive these provisions.

IV. Application and Submission Information

A. Obtaining an Application. This section describes how you may obtain application forms and additional information about the FHIP. Copies of the published General Section, FHIP NOFA and application forms may be downloaded from the Grants.gov Web site at http://www.grants.gov or if you have difficulty accessing the information you may receive customer support from Grants.gov by calling their help line at (800) 518-GRANTS or sending an e-mail to support@grants.gov. If you do not have internet access and you need to obtain a copy of the NOFA you may contact HUD's NOFA Information Center toll-free at (800) HUD-8929. Persons with hearing or speech impairments may access the Information Center by calling the Federal Information Relay Service at (800) 877-8339.

B. Content and Form of Application Submission

All applicants must read and adhere to Initiative-specific submission requirements. Applicants are encouraged to review the chart entitled “Summary of Initiatives/Components.” To submit documents using the facsimile method, see the General Section for specific procedures governing facsimile submission.

1. For All Applicants. The maximum length of the narrative response is ten (10) pages per factor. The narrative pages must be double-spaced. This includes all text, titles and headings. (However, you may single space footnotes, quotations, references, captions, charts, forms, tables, figures and graphs.) You are required to use 12-point font. You must respond fully to each rating factor to obtain maximum points. Failure to provide narrative responses to all factors other than factor five or omitting requested information will result in less than the maximum points available for the given rating factor or sub-factor. Failure to provide double-spaced, 12-point font narrative responses will result in five points being deducted from your overall score.

2. The chart below gives a brief description of all items to be included in the application: Start Printed Page 27124

Complete application package containsRequired form and content
Application for Federal AssistanceForm SF-424; (per required form).
Survey for Ensuring Equal Opportunity for ApplicantsSF-424 Supplement (“Faith Based EEO Survey (SF-424 SUPP)” on Grants.gov); (per required form).
Budget informationForms SF-424CB and SF-424-CBW) (“HUD Detailed Budget Form and Worksheet” on Grants.gov); (per required form).
Disclosure of Lobbying ActivitiesSF-LLL, if applicable; (per required form).
Applicant-Recipient Disclosure Update ReportHUD-2880 (“HUD Applicant Recipient Disclosure Report” on Grants.gov); (per required form).
Certification of Consistency with RC/EZ/EC-IIs Strategic PlanHUD-2990; (per required form).
Acknowledgement of Applicant receipt (Required only if you are granted waiver to the electronic application requirement)HUD-2993; (per required form).
You are our client grant application survey (optional)HUD-2994-A; (per required form).
Program Outcome Logic ModelHUD-96010; (per required form).
Third Party Documentation Facsimile TransmittalHUD-96010 (“Facsimile Transmittal Form” on Grants.gov); (per required form).
Facsimile Transmittal FormHUD-96011; (per required form).
Race and Ethnic Data Reporting FormHUD-27061; (per required form).
America's Affordable Communities InitiativeHUD-27300 (“HUD Communities Initiative Form” on Grants.gov); (per required form).
Narrative for Rating Factors 1-4Format described in Section IV.B of this announcement; Described in Section IV.B of this announcement.
Statement of WorkFormat described in Section V A.3.b of this announcement.
Narrative Budget Work PlanFormat described in Section V.A.3.c of this announcement.
Commitment letters from third parties contributing funds or in-kind resourcesNo specific form or format, but content is specified under Rating Factor 4; Third parties' affirmations of amounts of their commitments.
Affirmatively Furthering Fair Housing StatementShort summary of how the applicant will address their obligation to affirmatively further fair housing. No specific form or format.
Addendum to Abstract—Correction of Poor Performance (as appropriate)Written documentation that performance issues and concerns have been cured. No specific form or format.
Project AbstractShort summary of project activities, areas of concentration and persons to be served. Amount requested and preference for funding, as applicable. No specific form or format.

C. Submission Dates and Times. Applications must be received and validated by http://www.grants.gov/​applicants/​apply_​for_​grants.jsp no later than 11:59.59 PM Eastern Time on the application deadline date of July 9, 2008 to be considered timely filed. Validation may take up to 72 hours; therefore, confirmation of receipt of your application by Grants.gov is not a validation that your application was complete and acceptable to HUD. Grants.gov will also reject applications that do not meet the submission deadline requirement. See the General Section for further details.

D. Intergovernmental Review. Intergovernmental Review is not applicable to this program.

E. Funding Restrictions

1. PEI and FHOI Limitations for Education & Outreach—There is a 10 percent limit on the dollar amount allowed for education and outreach related activities that can be funded in an enforcement award. If you exceed the limit, points will be deducted in the rating process and if awarded, funds will be adjusted to maintain the required limitation.

2. Administrative Costs. Eligible administrative costs include leases for office space, under the following conditions:

(1) The lease must be for facilities not requiring rehabilitation or construction;

(2) No repairs or renovations of the property may be undertaken with Federal funds; and

(3) Properties in the Coastal Barrier Resource System designated under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be leased with Federal funds.

F. Other Submission Requirements. Electronic delivery via http://www.grants.gov/​applicants/​apply_​for_​grants.jsp is HUD's required method for application submission. Applicants interested in applying for FHIP funding must submit their applications electronically or request a waiver from the Assistant Secretary of FHEO. The request must state the basis for the waiver. HUD's regulation on waivers, found in 24 CFR part 5, states that waivers can be granted for cause. Applicants must submit their waiver requests, in writing at least 15 days prior to the application deadline, to Ms. Kim Kendrick, Assistant Secretary for Fair Housing and Equal Opportunity, 451 7th Street, SW., Room 5100,Washington, DC, 20410. A copy of all waiver requests must simultaneously be submitted to Myron P. Newry, Director, FHEO-FHIP Support Division, (same address as above), Room 5226, or by e-mail to Myron.P.Newry@hud.gov. If granted a waiver, the notification will provide instructions on where to submit the application and how many copies are required. HUD will not accept a paper application without a waiver being granted. If you receive a waiver of the electronic application submission requirement, your application must be received by HUD no later than 11:59:59 PM on July 9, 2008, the application submission deadline date.

V. Application Review Information

A. Criteria for PEI, EOI, and FHOI applications (other than the National Based Program) and FHOI applications. The criteria for rating and ranking applications, as well as the maximum points for each Rating Factor, are provided below. The maximum number of points awarded any application is 100. An additional two Bonus Points may apply (See General Section).

1. Rating Factor 1: Capacity of Applicant and Relevant Organizational Experience (25 Points)

You must describe staff expertise and your organization's ability to complete the proposed activities within the grant period. If you are a current FHIP grantee and you received a “Fair” performance rating on your current FHIP grant, you will receive “0” points under this factor for subfactors (b) and (c). Start Printed Page 27125

In General. You must describe your staffing plan and the extent to which you plan to add staff (employees) or contractors. If your application proposes using contractors and these subcontractor activities amount to more than 10 percent of your total activities, you must submit a separate budget for each subcontractor. Failure to include a separate budget will result in your application receiving lower points.

a. Number and expertise of staff (this includes contractors and consultants). (5) Points for current FHIP grantees, (10) Points for New Applicants. You must provide a complete summary of staff expertise that will show sufficient, qualified staff that will be available to complete the proposed activities. This summary should include: Names of staff person(s), amount of time each will spend on project, number of years of fair housing/civil rights experience for each person, titles of staff persons, and a brief paragraph on each staff member which outlines his or her experience. Do not include resumes or other lengthy or detailed documents. Applicants who submit resumes or other lengthy documents relating to staff experience will have points deducted from their application when the ten-page per rating factor submission requirement limit is exceeded.

For PEI and FHOI Only: To receive maximum points for PEI and FHOI, your day-to-day program manager must devote a minimum of 75 percent of his/her time to this project. This individual must be located in the metropolitan area where the project will be carried out. This information must be included in the response to this Factor. PEI and FHOI applicants whose day-to-day managers do not have at least 75 percent of their time dedicated to the project, will be awarded no points under this sub-factor. You may not designate more than one person to meet this 75 percent criterion. Your application must also clearly identify those persons that are staff at the time this submission, and those persons who will be assigned at a later date. Indicate whether the staff person is assigned to work full-time or part-time (if part-time, indicate the percentage of time each person will devote to the project). EOI applicants must devote at least 50% of their time to the project.

If you are applying for the EOI-Clinical Law School Component, you must:

(1) Show that you will have sufficient, qualified staff or faculty who will be available to initiate and develop a clinical law curriculum. Applicants may show experience by including information on the development and implementation of other curriculum and/or training in areas such as fair housing. Please provide a copy of a curriculum implementation plan, if available, and/or information on developing a curriculum.

(2) Have experience in recruitment of law students (submit a projection of the number of students expected to participate in and complete the program), marketing (submit a plan to promote the fair housing curriculum and clinical law program), and fair housing;

(3) Implement the curriculum design with an ABA-accredited law school; and

(4) Partnering under the Clinical Law School Component. Please provide a brief description of the activities that each partner will undertake and how this partnership will enhance the project. (Please refer to Participation of Minority-Serving Institutions in HUD Programs in the General Section.)

(a) You must identify all administrators of the clinical program and describe each of their functions, qualifications, and experience;

(b) Identify persons who will constitute the faculty for the program and describe their functions, qualifications, and experience; and

(c) Identify and describe the functions and qualifications of any other program staff.

(5) Describe the knowledge and experience of the proposed day-to-day program manager (whose duties and responsibilities include managing all program and administrative activities as outlined in the SOW and ensuring that all timelines are met), in planning and managing a fair housing legal-clinical program. Indicate the percentage of time that key personnel will devote to your project.

b. Organizational experience. (15) Points for current FHIP grantees; (15) Points for new applicants. In responding to this sub-factor, you, the applicant, must show that your organization has:

(1) Conducted past project(s) similar in scope and complexity (whether FHIP-funded or not) to the project proposed in your application, or

(2) Engaged in activities that, although not similar, are readily transferable to the proposed project. You must provide a listing of all affiliate and/or subsidiary organizations, and identify which of these organizations will assist you in the development and/or implementation of any portion of your proposed FY2008 FHIP funded project. If you do not have any affiliates or subsidiaries, you should state this in your application.

(a) If you are applying for funding under PEI and FHOI, you must provide the following information when responding to this sub-factor:

(i) If you propose to conduct testing (other than rental or accessibility testing), provide a brief narrative that documents you have conducted successful testing in those areas.

(ii) Describe the actions you have taken to comply with the requirement that you reimburse the Federal government for compensation received or likely to be received from FHIP-funded enforcement activities or that the compensation received be used as program income to further fair housing activities. If you are a current grantee and you have not addressed this requirement to reimburse the Federal government or use the funds as program income to further fair housing activities, please explain. Two (2) points will be deducted from this sub-factor if you have not complied with this program requirement.

(b) EOI applicants must show that they have engaged in projects that are Regional/Local/Community-based. Your experience will be judged in terms of recent, relevant and successful experience of your staff to undertake eligible activities. In rating this factor, HUD will consider experience within the last three years to be recent, experience pertaining to the specific activities to be relevant, and experience producing measurable accomplishments to be successful. The more recent the experience and the more experience that your own staff members who work on the project have in successfully conducting and completing similar activities, the greater the number of points you will receive for this rating factor.

(c) If you are submitting an application under the EOI—Clinical Law School Component, you must develop a comprehensive design concept Action Plan for the Clinical Law School. The Action Plan must include a design concept and academic structure approach that HUD will use in assessing your capacity to develop and operate a Fair Housing Legal-Clinical Program. The Action Plan should clearly distinguish classroom and practicum elements.

To assess your capacity to design and implement a fair housing curriculum, please provide documented information that your organization has conducted clinical project(s) similar in scope and complexity to the one being proposed. You must describe the knowledge and experience of all of the proposed faculty and staff dedicated to this FHIP funded activity indicating whether they have prior knowledge and experience in Start Printed Page 27126establishing and implementing a similar clinical law project.

For FHOI—CDC applicants, you must describe your FHOI-ENOC history, e.g. identify the funded entity and their support, and how FHOI-ENOC funds were used to build your capacity or establish your organization. Also describe how you benefited from FHOI-ENOC funds and give a description of your fair housing investigative and enforcement activities undertaken as a result of the FHOI-ENOC.

c. Performance on past project(s). (5) Points for current FHIP grantees; (0) Points for new applicants. HUD will assess your organization's past performance in conducting activities relevant to your application. The past performance assessment of current FHIP grantees will be based on your most recent performance assessment by the HUD Government Technical Representative (GTR) for the past three (3) completed fiscal years (FY2004 through FY2006).

HUD staff will provide this information to the Technical Evaluation Panel (TEP) that will evaluate your application. Based on your past performance, the following points will be added to your score under this rating sub-factor:

(1) 5 points if you received a “Excellent” performance assessment; and

(2) 0 points if you received a “Good” performance assessment.

Transfer of Performance. Applicants submitting applications under PEI and EOI may not use another organization's performance review for assessment under this sub-factor. If you do, you will receive 0 points under this sub-factor and sub-factor b, above.

2. Rating Factor 2: Need/Distress/Extent of the Problem (20 Points)

This factor addresses the extent to which there is a need for funding the proposed activities to address documented fair housing problems in target area(s). You will be evaluated on the information that you submit that describes the fair housing need in the geographic area you propose to serve, its urgency and how your project is responsive to that need, and your affirmatively furthering fair housing plan.

Applicants should document and use any relevant information from HUD's Housing Discrimination Study 2000 (HDS2000) to respond to this factor. Other sources of information can be used to support this rating factor. You must use sound data sources to identify the level of need in the geographic area and the urgency, and provide Web site addresses for each data source (e.g., Analysis of Impediments to Fair Housing Choice (AI), fair housing studies, etc.). Do not include copies of the original reports or other materials in your application. Applicants that provide copies of detailed studies, including Consolidated Plans (including Analysis of Impediments) for their referenced project area will have points deducted from this factor based upon the 10 page submission requirement limit. Instead, reference these reports, statistics, or other data sources you used that are sound and reliable. This includes but is not limited to, HUD or other Federal, State or local government reports analyses, relevant economic and/or demographic data. This should be inclusive of those that show segregation, foundation reports and studies, news articles, and other information that relate to the identified need. Provide the Web site where these reports may be found for reference, if applicable. Chapter V of the Fair Housing Planning Guide, Vol. 1 has other suggestions for supporting documentation. You may access the Guide from the HUD Web site at http://www.hud.gov./​offices/​adm/​grants/​fundsavail.cfm.

To the greatest extent possible, the data used should be specific to the area where the proposed activity will be conducted. You should document needs as they apply to that specific area(s) where your proposed activities will be targeted and your proximity to the target area, not the entire locality or State. If the data presented does not specifically address the target area, you should describe why the target area was proposed and the relationship of this data to that target area.

To receive maximum points for this factor there must be a direct relationship between the purpose of the program funding, your proposed activities, the outcomes to be accomplished, and the community(ies) fair housing needs, describing your knowledge of and your proximity to the targeted area, and the issue's urgency. Applicants will not receive full 20 points under this rating factor unless the applicant addresses the target area's impediments to fair housing choice. Further, applicants should address the need for language services other than English by describing the target population's language needs.

a. Documentation of Need. To justify the need for your project, you must describe:

(1) The urgency of the identified need. For example:

(a) The potential consequences to persons if your application is not selected for funding;

(b) The extent to which other organizations provide the services identified in your application;

(2) The link between the need and your proposed activities:

(a) How the proposed activities fill gaps left by, augment, or improve upon on-going fair housing efforts by public and private agencies, grass-roots faith-based and other community-based organizations and other organizations and institutions in the target area, and/or

(b) Why, in light of other on-going fair housing efforts, the additional funding you are requesting is necessary.

(c) The presence of housing discrimination, high segregation indices or other evidence of discrimination prohibited by the Act within the project area.

3. Rating Factor 3: Soundness of Approach (35 Points)

You must describe your project in detail and how it will support the goals and policy priorities outlined in the General Section. For each goal and policy priority that your project addresses, you must propose performance measures/outcomes in support of these goals, and establish numerical baselines and targets for those measures. Provide a SOW and budget.

a. Support of Policy Priorities (8 Points). Per Section V.B.1. of the General Section, HUD encourages applicants to undertake specific activities that will assist the Department in implementing its policy priorities and achieving its goals for FY2008 and beyond, when the majority of funding recipients will be reporting programmatic results and achievements. Applicants that just list a priority will receive no points. It is up to the applicant to determine which of the policy priorities to address to receive the available points. For the full list of each policy priority, please refer to the General Section.

For each policy priority addressed specified, the applicant must discuss the geographic area to be served in relation to the project's purpose, the persons to be served, and the methodology for carrying out these activities. Each policy priority the application addresses may receive has a point value of up to one point, with the exception that of the policy priority to remove regulatory barriers to affordable housing which has a point value of up to 2 points. To secure the possible 2 points for efforts to remove regulatory Start Printed Page 27127barriers to affordable housing, an applicant must submit the completed questionnaire (HUD 27300), and provide the required documentation and contact information. Please see the General Section for further information on Removal of Regulatory Barriers to Affordable Housing.

For the Clinical Law School Component, applicants may receive up to 5 points for partnering with a Minority Serving Institution. Please see the General Section for a listing of Minority Serving. For applicants submitting applications under the Clinical Law School Component that are Minority Serving Institutions, you may receive up to 5 points for partnering with a non-Minority Serving Institution.

For EOI applicants only, the policy priority to promote participation by grassroots faith-based and other community-based organizations, or partnering with an organization to promote participation in grassroots faith-based and other community-based organizations has a point value of up to four points, depending on your response.

b. Proposed Statement of Work (SOW) and Information Requirements (17 Points). The SOW and budget are attachments to the application that will not count toward the ten (10)-page limit on the narrative response to this rating factor. However, points will be given based on the relevance of proposed activities and expenditures (cost categories and dollar levels) to the needs stated in Rating Factor 2. The TEP will pay particular attention to implementation steps, the consistency of proposed activities with organizational expertise and capacity, and the accuracy of the SOW and budget.

SOW—Submit a proposed SOW that comprehensively outlines in chronological order the administrative and program activities and tasks to be performed during the grant period.

Your outline should identify all activities and tasks to be performed and by whom (e.g., your organization, a subcontractor, or a partner), and the products, and when they will be provided to HUD. To receive maximum points, you must include a schedule of your activities and products (with interim implementation steps), staff allocation over the term of the project; staff acquisition and training; and activities of partners and/or subcontractors. Applicants must provide an estimate of the numbers of clients to be served.

For the EOI General Component, HUD anticipates that products may be available in various languages, in addition to English: The languages will include French, Korean, Laotian, Vietnamese, Chinese (any Chinese language), Arabic, and Spanish. If other languages are necessary, please provide a justification in Rating Factor 2. Deliverables may be brochures, Public Service Announcements (PSAs) for radio in both majority and minority markets and posters and other graphic materials. Graphic materials may include but are not limited to enlarged reproductions of existing HUD printed PSAs and HUD materials. Provide information on media markets coverage with specific protected class focus, as well as those with Limited English Proficiency and a method for distribution of the finished product.

c. The Budget Form and Narrative Budget Work Plan (10 Points). HUD will also assess the soundness of your approach by evaluating the quality, thoroughness, and reasonableness of the budget and financial controls of your organization, including your proposed program cost categories. As part of your response, you must prepare a budget that is:

(1) Reasonable in achieving the goals identified in your proposed SOW;

(2) Related to the activities and tasks in the SOW—in terms of cost categories and dollar levels;

(3) Cost-effective;

(4) Quantifiable based on the need(s) identified in Rating Factor 2; and

(5) Justifiable for all cost categories in accordance with those indicated in the HUD-CB. If you are awarded FHIP funds, HUD staff will request that you provide your federally approved indirect cost rate during budget negotiations. If you do not have a federally approved indirect cost rate and HUD is the cognizant agency, HUD will submit a request within 30 days after award to establish a rate. For information on indirect cost rates, you can review HUD's training on http://www.hud.gov./​offices/​adm/​grants/​fundsavail.cfm.

(6) Financial Management Capacity. Describe your organization's financial management system and your Board's role in financial management or oversight. In addition, discuss your organization's capabilities in handling financial resources, disseminating payments to third parties, e.g. contractors, and maintaining adequate accounting and internal control procedures.

(7) Grant Application Detailed Budget Worksheet (HUD-424-CBW). The HUD-424-CBW must show the total cost of the project and indicate other sources of funds that will be used for the project. While the costs are based only on estimates, the budget narrative work plan may include information obtained from various vendors, or the applicant may rely on historical data. Applicants must round all budget items to the nearest dollar amount.

A written narrative budget work plan must accompany the proposed budget explaining each budget category listed and must explain each cost category. Failure to provide a written narrative budget work plan will result in 2 points being deducted from your rating factor. The narrative must explain each cost category you list. Where there are travel costs for contractors/consultants, you must show that the combined travel costs (per diem rates) are consistent with Federal Travel Regulations (41 CFR 301.11) and travel costs for the applicant's contractors and/or consultants do not exceed the rates and fees charged by local contractors and consultants. The narrative (which does not count toward the ten page limit) must address the Grant Application Detailed Budget. The budget narrative should include a brief discussion of how your proposed program is cost effective in achieving the anticipated results of the proposed activities in the targeted area. Applicants seeking funding to conduct activities in an area other than the applicant's State or locality must discuss the cost effectiveness of where the activities will be conducted in relation to the location of the organization. HUD will look at the cost effectiveness of your travel to and from your location to the targeted area(s); expenses for out-stationed personnel, contracts and sub-grantees; and other direct costs, which may include relocation expenses, and telecommunications expenses; HUD will then make a final determination of cost effectiveness based on these listed items.

4. Rating Factor 4: Leveraging Resources (5 Points)

This factor addresses your ability to secure additional resources to support your project. Points will be awarded on the basis of the percentage of non-FHIP resources you have received at application submission in the form of firm commitments or documented collaborative efforts you have with Fair Housing Assistance Program (FHAP) agencies.

a. Firm Commitment of Leveraging or Collaboration. HUD requires you to secure resources from sources other than what is requested under this FHIP NOFA. Leveraging of community resources may include funding or in-kind contributions, such as workspace or services or equipment, allocated to Start Printed Page 27128the purpose(s) of your proposal. Contributions from the applicant, affiliates, subsidiaries, divisions, or employees of the applicant do not qualify as in-kind contributions. Cash or funds from an applicant's previously established investment account(s) may qualify as in-kind resources; however, documentation must be provided. Resources may be provided by governmental entities (including other HUD programs if such costs are allowed by statute), public or private non-profit organizations, faith-based organizations, for-profit or civic private organizations, or other entities' planned contributions. In order to obtain points for leveraging third party resources you must provide letters of firm commitment or signed agreements from the organizations and/or individuals who will provide financial or in-kind support for your project. “Collaboration” refers exclusively to activities you are conducting or plan to conduct with Fair Housing Assistance Program agencies. You must provide a letter of firm commitment from a FHAP or a document signed by authorized representatives of the FHAP agency and your organization, such as a memorandum of understanding, or on their letterhead, stating their intent to work with you on your project. The FHAP agency must serve the area where the current or proposed activities are to be conducted. In instances where FHAPs are applicants and submitting letters on their own behalf, the FHAPs must state that FHAP funds are not being used for FHIP collaboration without prior approval by the FHAP GTR.

For all applicants, each letter of firm commitment must:

(1) State definitively a commitment to provide funding or in-kind resources (although the commitment may be on the condition that your organization receives a FHIP award);

(2) Identify the organization and/or individual committing resources to the project and state the timeline for use of these funds in relation to the project. Further, the letter must identify any affiliation with the applicant;

(3) Identify the sources and amounts of the leveraged resources (the total FHIP and non-FHIP amounts must match those in your proposed budget submitted under Rating Factor 3); and

(4) Describe how these resources will be used under your SOW; and

(5) Dated and signed by the individual or organization official legally able to make commitments for the organization.

If the resources are in-kind or donated goods, the firm commitment letter must indicate the fair market value of those resources and describe how this fair market value was determined. (Do not include indirect costs within your in-kind resources.) In-kind matching and leveraging contributions, as well as Program Income must comply with 24 CFR 84.23 and 84.24 requirements. FHIP funds cannot be used for in-kind or donated services (for example, services of a current staff person on a FHIP-funded project).

There will be no points awarded for general letters of support endorsing the project from organizations, including elected officials on the local, State, or national levels, and/or individuals in your community. See General Section for instructions on how third party documents are to be submitted to HUD via the electronic submission process. If your project will not be supported by non-FHIP resources, then you will not receive any points under this factor. Points will be assigned for each Initiative based on the following scale:

For PEI-PBFC applicants only, each letter must state the total dollar amount of funding or in-kind resources to be donated to the fair housing project, and specify the amount to be used during each of the three years of this project.

Points awardedPercent of total project costs from non-FHIP resources
OneLess than five.
TwoFive or ten.
Three11 to 20.
Four21 to 20.
FiveAt least 31

Five points will be awarded if your application contains a letter or agreement from a Fair Housing Assistance Program agency stating their firm commitment to work with you on your project. Should the commitment letter lack any of the required information listed in (1) through (3) above, 0 points will be awarded under this factor.

5. Rating Factor 5: Achieving Results and Program Evaluation (15 Points)

a. In evaluating this Rating Factor, HUD will assess the extent to which you demonstrate how you will measure the results of the work of your organization as set out in your budget and SOW. Applicants must select from the list of activities and outcomes detailed in the Logic Model for the Initiative applied for and should determine from these selections, their specific methods and measures to assess progress, evaluate program effectiveness, and identify program changes necessary to improve performance. Applicants should mirror your logic model to your SOW and Budget. This will ensure that performance measures are met and that grantees are establishing achievable realistic goals. Applicants who have identified outputs and outcome measurements and methods for assessing those against commitments made in the application, will receive higher points than those that do not. To meet this Rating Factor requirement, you must submit HUD's Logic Model (HUD-96010).

Instructions and a Microsoft ExcelTM form are provided in the forms appended to the Instruction Download on http://www.grants.gov/​applicants/​apply_​for_​grants.jsp. Applicants that do not have access to Microsoft ExcelTM may obtain a copy of the form in HTML fillable format along with a text format of the Master Logic Model listing, from HUD's Web site at http://www.hud.gov/​offices/​adm/​grants/​fundsavail.cfm.

A narrative response is not required for this Rating Factor as all applicants must use the Logic Model Form. Applicants that submit narrative responses rather than use the Logic Model Form will receive no points under this Rating Factor. Applicants should also review the Logic Model training which can be found at http://www.hud.gov/​offices/​adm/​grants/​training/​training.cfm.

b. In evaluating this Rating Factor:

(1) Needs. HUD will review the activities/outputs and outcomes as units of measurement you selected and in relation to the needs of your intended audience or target populations;

(2) Output. The direct products of the applicant's activities that lead to the ultimate achievement of outcomes. Some examples of activities and outputs for PEI and EOI applicants can be found at http://www.hud.gov/​offices/​adm/​grants/​fundsavail.cfm. Applicants must select one or more activities from the listing of “Fair Housing Services Provided” that will be undertaken by their organization. You must select from the list “Fair Housing Services Provided” and do not add additional services to that list to receive points under this Rating Factor.

(3) Outcome. The Logic Model has a prepared list of activities, outcomes and indicators associated with Fair Housing. Applicants must choose from this list of “Year 1, Year 2, or Year 3” outcomes that are provided as part of the FHIP NOFA, as appropriate, or applicants may choose other activities. If other activities are identified, applicants must provide a brief statement to describe these activities or outcomes. Applicants who do not either select from the list “Outcomes and Indicators” or select “Other”, providing a brief description of Start Printed Page 27129each, will not receive points under this Rating Factor. You should assess progress and track performance in meeting the goals and objectives outlined in the work plan.

Accountability can be achieved using specific measurement tools to assess the impact of your activities. Examples include:

  • Pre/Post Tests;
  • Customer/Client Satisfaction Survey;
  • Follow-up Survey;
  • Observational Survey; or
  • Functioning scale.

Applicants must also reference policy priorities, as stated in their response to Factor 3, and relate them to your project's goals, as appropriate.

B. Criteria for National-Based Program Applications

Factors for Award Used To Evaluate and Rate Applications for the EOI National-Based Program. The criteria for rating and ranking applications and the maximum points for each Rating Factor are provided below. The maximum number of points awarded any application is 100. Bonus points are not available for this category of funding.

1. Rating Factor 1: Capacity of Applicant and Relevant Organizational Experience (25 Points)

This factor addresses the extent to which the applicant has the organizational resources necessary to successfully implement the proposed activities in a timely manner, and the applicant's ability to develop and implement large media information campaign projects as appropriate on a national level. The rating of the “applicant” or the “applicant's organization and staff” for technical merit or threshold compliance, unless otherwise specified, will include any sub-contractors, consultants, and sub-recipients that are firmly committed to the project.

In General. You must describe staff expertise and your organization's ability to complete the proposed activities within the grant period. HUD recognizes that, in carrying out the proposed activities, you may have persons already on staff, plan to hire additional staff, or will rely on contractors or consultants to perform specific tasks. You must describe your staffing plan and the extent to which you plan to add staff (employees) or contractors. If your application proposes using contractors and these contractor activities amount to more than 10 percent of your total activities, you must submit a separate budget for each contractor. Failure to include a separate budget will result in lower points being assessed to your application. If you received a “Fair” performance rating, you will receive “0” points under this factor for sub-factors (b) and (c).

(5) Points for current FHIP grantees.

(10) Points for new applicants.

a. Number and expertise of staff (this includes contractors and consultants). You must show that you will have sufficient, qualified staff that will be available to complete the proposed activities. The following information must be provided for all staff not just key personnel (those persons identified in SOW in Rating Factor 3: Soundness of Approach) assigned to or hired for this project.

Identify all persons that will be assigned to the project by name and/or title and hours. You must describe the knowledge and experience of the proposed overall project director or day-to-day program manager (whose duties and responsibilities are to manage all program and administrative activities as outlined in the SOW and ensure that all timelines are met), in planning and managing national projects similar in scope and complex interdisciplinary programs. You may demonstrate capacity by thoroughly describing your prior experience in conducting national and/or regional/local media campaigns. You should indicate how this prior experience will be used in carrying out your proposed activities. Your application must clearly identify those persons that are on staff at the time of this application, and those persons who will be assigned at a later date; describe each person's duties and responsibilities and their expertise (including years of experience) to perform project tasks; indicate whether the staff person is assigned to work full-time or part-time (if part-time, indicate the percentage of time each person is assigned to the project).

Whether the applicant has experienced staff or proposes to use a contractor sub-grantee, the extent to which the applicant provides rationale for how it will utilize its staff or a contractor sub-grantee to implement its proposed activities, methods, and how these media techniques will most effectively deal with the national need described by the applicant in response to the need described in Rating Factor 2. To the extent possible, applicants should demonstrate effectiveness in terms of scope and cost.

(15) Points for current FHIP grantees.

(15) Points for new applicants.

b. Organizational experience. In responding to this sub-factor, you must show that your organization has the ability to effectively develop, implement, and manage a media campaign on a national scale. (Applicants must be an established media /advertisement organization and include as part of their proposal a subcontract with an established fair housing organization.) Applicants for FHIP program funding must specifically describe their experience in developing or carrying out programs to prevent or eliminate discriminatory housing practices. Applicants must discuss their ability to implement a coordinated national marketing awareness campaign, especially in the areas of fair housing, discrimination, public health, and housing. In responding to this sub-factor, the applicant must describe the extent to which its past activities have resulted in successful national media campaigns, as appropriate, especially with respect to developing and implementing innovative strategies resulting in positive public response. Experience will be judged in terms of recent, relevant and successful experience of your staff to undertake eligible activities.

In rating this factor, HUD will consider experience within the last 3 years to be recent, experience pertaining to the specific activities to be relevant, and experience producing measurable accomplishments to be successful. The more recent the experience and the more experience your own staff members who work on the project have in successfully conducting and completing similar activities, the greater the number of points you will receive for this rating factor.

(5) Points for current FHIP grantees.

(0) Points for new applicants.

c. Performance on past project(s). HUD will assess your organization's past performance in conducting activities relevant to your current application. For current FHIPs, past performance will be assessed based on your most recent performance assessment received from your HUD Government Technical Representative (GTR) for the past 2 completed fiscal years.

HUD staff will provide this information to the Technical Evaluation Panel (TEP) that will evaluate your application. Based on past performance, the following points will be added to your score under this rating sub-factor:

(1) 5 points if you received an “Excellent” performance assessment; and

(2) 0 points if you received a “Good” performance assessment. Start Printed Page 27130

2. Rating Factor 2: Need/Approach Extent of the Problem (10 Points)

This factor addresses the extent to which the applicant documents and defines the national need that its proposed activities and methods are intended to address, and how its proposal offers the most effective approach for meeting that national need. The applicant's submission will be evaluated on the extent to which it defines, describes, and documents the national need the application intends to address, which demonstrates a grasp of the elements of the need, its pervasiveness at the national level, and an understanding of the necessary mass media vehicles to disseminate information to address the need. The applicant's description of the national need will be used to evaluate the depth of the applicant's understanding of the problem as an indication of ability to address the problem.

3. Rating Factor 3: Soundness of Approach (45 Points)

This rating factor addresses the quality and cost-effectiveness of the applicant's proposed Statement of Work (SOW). You must describe your project in detail, and how it will support the goals and policy priorities outlined in the General Section. For each goal and policy priority that your project addresses, you must propose performance measures/outcomes in support of these goals, and establish numerical baselines and targets for those measures. The SOW must address the strategy, quality and time frames needed to carry out the project and all activities as proposed.

a. Support of HUD Goals (8 Points). HUD encourages applicants to undertake specific activities that will assist the Department in implementing its policy priorities and which will help the Department achieve its goals and objectives in FY2008. Describe how your proposed project will further and support HUD's policy priorities for FY2008. The quality of the responses provided and the extent to which a program will further and support one or more of HUD's priorities will determine the score an applicant can receive. Applicants must describe how each policy priority selected will be addressed.

Applicants that just list a priority will receive no points. Each policy priority addressed if applicable, must discuss the national need in relation to the project's purpose, the persons to be served and the methodology for carrying out these activities. Each policy priority has a point value of one point, with the exception of the policy priority to remove regulatory barriers to affordable housing which has a point value of up to 2 points; and, promoting participation by grassroots faith-based and other community-based organizations, or partnering with an organization promoting participation in grassroots faith-based and other community-based organizations, which has a point value of up to 4 points, depending on your response. It is up to the applicant to determine which of the policy priorities to address to receive the available 8 points. To secure the possible 2 points for efforts to Remove Regulatory Barriers to Affordable Housing, an applicant must submit the completed questionnaire (HUD 27300), and provide the required documentation and contact information. Please see the General Section for further information on Removal of Regulatory Barriers to Affordable Housing. The questionnaire is part of the electronic application package. For the full list of each policy priority, please refer to the General Section.

b. Statement of Work (SOW) (22 Points).

Submit a proposed SOW that comprehensively outlines in chronological order the administrative and program activities and tasks to be performed during the grant period. Your outline should also include a schedule of proposed activities and products (with interim implementation steps), staff allocation over the term of the project, staff acquisitions and training, and activities of partners and contractors. Points will be assigned based on the relevance of proposed activities to national needs stated in Rating Factor 2, the attention given to implementation steps, the consistency of proposed activities with organizational expertise and capacity, and the accuracy of the SOW and budget.

For this National Media Campaign Component, HUD anticipates that products should be available in at least 3 languages, including English. Deliverables may include Public Service Announcements (PSAs) for radio and television in both majority and minority markets, and posters and other graphic materials. Graphic materials may include, but are not limited to, enlarged reproductions of several print PSAs, separately produced and printed posters for national public dissemination, and the development of ad slicks to market in newspapers and magazines nationwide. The applicant should plan on using a clipping service or Internet based services or other appropriate means to collect information on frequency and scope of the placement of ads.

To obtain maximum points under this sub-factor, the applicant's SOW must:

(1) Clearly describe the specific activities and tasks to be performed, the sequence in which tasks are to be performed and noting when activities must be performed simultaneously, estimated completion dates, and the work and program deliverables to be completed within the grant period. This information must include specific numbers of quantifiable end products and program improvements to be delivered by the end of the award agreement period as a result of the work performed;

(2) Provide national media market coverage and specific protected class focus; and

(3) Describe the methods to be used to distribute finished materials and gauge the effectiveness of their national marketing strategies.

c. Budget Form and Narrative Budget Work Plan (15 Points). A written narrative budget work plan must accompany the proposed budget. HUD will assess the soundness of your approach by evaluating the quality, thoroughness, and reasonableness of the budget and financial controls of your organization, including information on your proposed program cost categories. As part of your response, you must prepare a budget that is:

(1) Reasonable in achieving the goals identified in your proposed SOW;

(2) Relate tasks in the SOW to the proposed budget costs and to the Logic Model;

(3) Cost-effective (as demonstrated by a brief discussion of the extent to which your proposed program is cost effective in achieving the anticipated results of the proposed activities in the targeted area);

(4) Reflective of an effort to provide information in a manner (e.g., languages, accessibility to persons with visual or hearing impairments, formats, locations, distribution, use of majority and minority media) that will reach and benefit all members of the public, especially members of target groups identified in Factor 2;

(5) Effective for yielding long-term results and innovative strategies or “best practices” that can be readily disseminated to other organizations and State and local governments; and

(6) Effective with respect to the proposed National Media Campaign Component and its activities, training and meeting sites, and information services and materials, accessible to all persons including persons with disabilities. Start Printed Page 27131

Indicate in the narrative budget work plan how the proposed project's achievements are quantifiable and relevant to the needs identified in Rating Factor 2. Also indicate whether your proposed project is justifiable for all cost categories in accordance with the cost categories indicated in the HUD-424 CB. If you are awarded a grant or cooperative agreement under FHIP, staff will request that you include your approved indirect cost rate as part of your negotiations with HUD. If you do not have a federally approved indirect cost rate and HUD is the cognizant agency, HUD will submit a request within 30 days after award to establish a rate. For information on indirect cost rates, you can review HUD's training on http://www.hud.gov/​offices/​adm/​grants/​fundsavail.cfm.

4. Rating Factor 4: Leveraging Resources (5 Points)

This factor addresses your ability to secure additional resources to support your project. Points will be awarded on the basis of the percentage of non-FHIP resources you have received at application submission, in the form of firm commitments, or planned collaborative efforts you have with Fair Housing Assistance Program agencies.

a. Firm Commitment of Leveraging or Collaboration. HUD requires you to secure resources from sources other than that which is requested under this FHIP NOFA. Leveraging of community resources may include funding or in-kind contributions, such as workspace or services or equipment, allocated to the purpose(s) of your proposal. Contributions from the applicant, affiliates, subsidiaries, divisions, or employees of the applicant do not qualify as in-kind contributions. Funds from an applicant's previously established investment account(s) may qualify as in-kind resources; however, documentation must be provided. Resources may be provided by governmental entities (including other HUD programs if such costs are allowed by statute), public or private non-profit organizations, faith-based organizations, for-profit or civic private organizations, or other entities' planned contributions. In order to obtain points for leveraging third party resources you must provide letters of firm commitment or signed agreements from the organizations an