Rural Housing Service, USDA.
This Notice announces the availability of $5,676,077 for competitive grant funds for the Rural Community Development Initiative (RCDI) program through the Rural Housing Service (RHS), an agency within the USDA Rural Development mission area herein referred to as the Agency. Applicants must provide matching funds in an amount at least equal to the Federal grant. These grants will be made to qualified intermediary organizations that will provide financial and technical assistance to recipients to develop their capacity and ability to undertake projects related to housing, community facilities, or community and economic development. This Notice lists the information needed to submit an application for these funds.
The deadline for receipt of an application is 4 p.m. local time, November 12, 2013. The application date and time are firm. The Agency will not consider any application received after the deadline. Applicants intending to mail applications must provide sufficient time to permit delivery on or before the closing deadline date and time. Acceptance by the United States Postal Service or private mailer does not constitute delivery. Facsimile (FAX) and postage due applications will not be accepted.
Entities wishing to apply for assistance may download the application documents and requirements delineated in this Notice from the RCDI Web site: http://www.rurdev.usda.gov/HAD-RCDI_Grants.html. Application information for electronic submissions may be found at http://www.grants.gov. Applicants may also request paper application packages from the Rural Development office in their state. A list of Rural Development offices is included in this Notice under the FURTHER INFORMATION CONTACT section.
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FOR FURTHER INFORMATION CONTACT:
The Rural Development office for the state the applicant is located in. Please see the following list of Rural Development State Office contacts.
Rural Development State Office Contacts
Telephone numbers listed are not toll-free.
Alabama State Office, Suite 601, Sterling Centre, 4121 Carmichael Road, Montgomery, AL 36106-3683, (334) 279-3400, TDD (334) 279-3495, Allen Bowen
Alaska State Office, 800 West Evergreen, Suite 201, Palmer, AK 99645, (907) 761-7778, TDD (907) 761-8905, Merlaine Kruse
Arizona State Office, 230 North 1st Avenue, Suite 206, Phoenix, AZ 85003, (602) 280-8747, TDD (602) 280-8705, Joel Trachtenberg
Arkansas State Office, 700 W. Capitol Ave., Rm. 3416, Little Rock, AR 72201-3225, (501) 301-3265, TDD (501) 301-3200, Stephen Lagasse
California State Office, 430 G Street, Agency 4169, Davis, CA 95616-4169, (530) 792-5810, TDD (530) 792-5848, Janice Waddell
Colorado State Office, Denver Federal Center, Building 56, Room 2300, PO Box 25426*, Denver, CO 80225-0426, (720) 544-2927, TDD (720)544-2907, Janice B. Pond
Served by Massachusetts State Office
Delaware and Maryland State Office, 1221 College Park Dr., Suite 200, Dover, DE 19904-8713, (302) 857-3627, TDD (302) 857-3585, Denise MacLeish
Florida & Virgin Islands State Office, 4440 NW., 25th Place, P.O. Box 147010, Gainesville, FL 32614-7010, (352) 338-3485, TDD (352) 338-3499, Michael Langston
Georgia State Office, Stephens Federal Building, 355 E. Hancock Avenue, Athens, GA 30601-2768, (706) 546-2581, TDD (706) 546-2034, Jack Stanek
Served by Hawaii State Office
Hawaii, Guam, & Western Pacific Territories State Office, Room 311, Federal Building, 154 Waianuenue Avenue, Hilo, HI 96720, (808) 933-8313, TDD (808) 933-8321, Tim O'Connell
Idaho State Office, 9173 West Barnes Dr., Suite A1, Boise, ID 83709, (208) 378-5617, TDD (208) 378-5600, David A. Flesher
Illinois State Office, 2118 West Park Court, Suite A, Champaign, IL 61821, (217) 403-6209, TDD (217) 403-6240, Michael Wallace
Indiana State Office, 5975 Lakeside Boulevard, Indianapolis, IN 46278-1996, (317) 290-3100 (ext. 407), TDD (317) 290-3343, Rochelle Owen
Iowa State Office, 873 Federal Building, 210 Walnut Street, Des Moines, IA 50309, (515) 284-4459, TDD (515) 284-4858, Karla Peiffer
Kansas State Office, 1303 SW. First American Place, Suite 100, Topeka, KS 66604-4040, (785) 271-2728, TDD (785) 271-2767, Kent Evans
Kentucky State Office, 771 Corporate Drive, Suite 200, Lexington, KY 40503, (859) 224-7415, TDD (859) 224-7300, Vernon Brown
Louisiana State Office, 3727 Government Street, Alexandria, LA 71302, (318) 473-7965, TDD (318) 473-7920, Richard Hoffpauir
Maine State Office, 967 Illinois Ave., Suite 4, P.O. Box 405, Bangor, ME 04402-0405, (207) 990-9124, TDD (207) 942-7331, Ron Lambert
Served by Delaware State Office
Massachusetts, Connecticut, & Rhode Island State Office, 451 West Street, Suite 2, Amherst, MA 01002-2999, (413) 253-4300, TDD (413) 253-7068, Daniel R. Beaudette
Michigan State Office, 3001 Coolidge Road, Suite 200, East Lansing, MI 48823, (517) 324-5208, TDD (517) 337-6795, Christine M. Maxwell
Minnesota State Office, 410 Farm Credit Service Building, 375 Jackson Street, St. Paul, MN 55101-1853, (651) 602-7800, TDD (651) 602-3799, Terry Louwagie
Mississippi State Office, Federal Building, Suite 831, 100 W. Capitol Street, Jackson, MS 39269, (601) 965-4326, TDD (601) 965-5850, Darnella Smith-Murray
Missouri State Office, 601 Business Loop 70 West, Parkade Center, Suite 235, Columbia, MO 65203, (573) 876-0976, TDD (573) 876-9480, Clark Thomas
Montana State Office, 2229 Boot Hill Court, Bozeman, MT 59715, (406) 585-2520, TDD (406) 585-2545, Steve TroendleStart Printed Page 49452
Nebraska State Office, Federal Building, Room 152, 100 Centennial Mall N., Lincoln, NE 68508, (402) 437-5559, TDD (402) 437-5551, Denise Brosius-Meeks
Nevada State Office, 1390 South Curry Street, Carson City, NV 89703-9910, (775) 887-1222 (ext. 110), TDD 7-1-1, Shane Hastings
Served by Vermont State Office
New Jersey State Office, 8000 Midlantic Drive, 5th Floor North, Suite 500, Mt. Laurel, NJ 08054, (856) 787-7753, Kenneth Drewes
New Mexico State Office, 6200 Jefferson St. NE., Room 255, Albuquerque, NM 87109, (505) 761-4973, TDD (505) 761-4938, Arthur Garcia
New York State Office, The Galleries of Syracuse, 441 S. Salina Street, Suite 357, Syracuse, NY 13202-2541, (315) 477-6400, TDD (315) 477-6447, Gail Giannotta
North Carolina State Office, 4405 Bland Road, Suite 260, Raleigh, NC 27609, (919) 873-2063, TDD (919) 873-2003, Bruce Pleasant
North Dakota State Office, Federal Building, Room 208, 220 East Rosser Ave., P.O. Box 1737, Bismarck, ND 58502-1737, (701) 530-2029, TDD (701) 530-2113, Mark Wax
Ohio State Office, Federal Building, Room 507, 200 North High Street, Columbus, OH 43215-2418, (614) 255-2391, TDD (614) 255-2554, David M. Douglas
Oklahoma State Office, 100 USDA, Suite 108, Stillwater, OK 074-2654, (405) 742-1061, TDD (405) 742-1007, Jerry Efurd
Oregon State Office, 1201 NE Lloyd Blvd., Suite 801, Portland, OR 97232, (503) 414-3362, TDD (503) 414-3387, Sam Goldstein
Pennsylvania State Office, One Credit Union Place, Suite 330, Harrisburg, PA 17110-2996, (717) 237-2291, TDD (717) 237-2281, Michael Ward
Puerto Rico State Office, 654 Muñoz Rivera Avenue, Suite 601, Hato Rey, PR 00918-6106, (787) 766-5095, TDD (787) 766-5332, Nereida Rodriguez
Served by Massachusetts State Office
South Carolina State Office, Strom Thurmond Federal Building, 1835 Assembly Street, Room 1007, Columbia, SC 29201, (803) 649-4221, TDD (803) 765-5697, Michele Cardwell
South Dakota State Office, Federal Building, Room 210, 200 Fourth Street SW., Huron, SD 57350, (605) 352-1145, TDD (605) 352-1147, Doug Roehl
Tennessee State Office, Suite 300, 3322 West End Avenue, Nashville, TN 37203-1084, (615) 783-1345, TDD (615) 783-1397, Keith Head
Texas State Office, Federal Building, Suite 102, 101 South Main, Temple, TX 76501, (254) 742-9787, TDD (254) 742-9749, Michael B. Canales
Utah State Office, Wallace F. Bennett Federal Building, 125 South State Street, Room 4311, P.O. Box 11350, Salt Lake City, UT 84138, (801) 524-4326, TDD (801) 524-3309, Debra Meyer
Vermont State Office, City Center, 3rd Floor, 89 Main Street, Montpelier, VT 05602, (802) 828-6033, TDD (802) 223-6365, Rhonda Shippee
Served by Florida State Office
Virginia State Office, Culpeper Building, Suite 238, 1606 Santa Rosa Road, Richmond, VA 23229, (804) 287-1577, TDD (804) 287-1753, Kent Ware
Washington State Office, 1835 Black Lake Boulevard SW., Suite B, Olympia, WA 98501-5715, (360) 704-7737, Peter McMillin
Western Pacific Territories
Served by Hawaii State Office
West Virginia State Office, 1550 Earl Core Road, Suite 101, Morgantown, WV 26505, (304) 284-4886, TDD (304) 284-4836, Janna Lowery
Wisconsin State Office, 4949 Kirschling Court, Stevens Point, WI 54481, (715) 345-7615, TDD (715) 345-7610, Brian Deaner
Wyoming State Office, Federal Building, Room 1005, 100 East B Street, P.O. Box 11005, Casper, WY 82602-5006, (307) 233-6700, TDD (307) 233-6719, Alana Cannon
Washington, DC, Stop 0787, Room 0175, 1400 Independence Avenue SW., Washington, DC 20250-0787, (202) 205-9685, Shirley J. Stevenson
Paperwork Reduction Act
The paperwork burden has been cleared by the Office of Management and Budget (OMB) under OMB Control Number 0575-0180.
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Start Supplemental Information
Federal Agency: Rural Housing Service.
Funding Opportunity Title: Rural Community Development Initiative.
Announcement Type: Initial Announcement.
Catalog of Federal Domestic Assistance (CFDA) Number: 10.446.
DATES: The deadline for receipt of an application is 4 p.m. local time, November 12, 2013. The application date and time are firm. The Agency will not consider any application received after the deadline. Applicants intending to mail applications must provide sufficient time to permit delivery on or before the closing deadline date and time. Acceptance by the United States Postal Service or private mailer does not constitute delivery. Facsimile (FAX) and postage due applications will not be accepted.
Part I—Funding Opportunity Description
Congress initially created the RCDI in Fiscal Year (FY) 2000 to develop the capacity and ability of nonprofit organizations, low-income rural communities, or federally recognized tribes to undertake projects related to housing, community facilities, or community and economic development in rural areas.
Part II—Award Information
Congress appropriated, net rescissions and sequestration, $5,676,077 in FY 2013 for the RCDI program. Qualified private, nonprofit and public (including tribal) intermediary organizations proposing to carry out financial and technical assistance programs will be eligible to receive the funding. The intermediary will be required to provide matching funds in an amount at least equal to the RCDI grant.
The respective minimum and maximum grant amount per intermediary is $50,000 and $300,000.
The intermediary must provide a program of financial and technical assistance to a private, nonprofit community-based housing and development organization, a low-income rural community or a federally recognized tribe.
Part III—Eligibility Information
A. Eligible Applicants
1. Qualified private, nonprofit, including faith-based and community organizations, and philanthropic foundations in accordance with 7 CFR Part 16, and public (including tribal) intermediary organizations. Definitions that describe eligible organizations and other key terms are listed below.
2. RCDI grantees that have an outstanding grant over 3 years old, as of the application due date in this Notice, will not be eligible to apply for this round of funding. Grant and matching funds must be utilized in a timely manner to ensure that the goals and objectives of the program are met.
B. Program Definitions
Agency—The Rural Housing Service (RHS) or its successor.
Beneficiary—Entities or individuals that receive benefits from assistance provided by the recipient.
Capacity—The ability of a recipient to implement housing, community facilities, or community and economic development projects.
Federally recognized tribes—Tribal entities recognized and eligible for funding and services from the Bureau of Indian Affairs, based on the current notice in the Federal Register published by the Bureau of Indian Affairs. Tribally Designated Housing Entities are eligible RCDI recipients.
Financial assistance—Funds, not to exceed $10,000 per award, used by the intermediary to purchase supplies and equipment to build the recipient's capacity.Start Printed Page 49453
Funds—The RCDI grant and matching money.
Intermediary—A qualified private, nonprofit (including faith-based and community organizations and philanthropic foundations), or public (including tribal) organization that provides financial and technical assistance to multiple recipients.
Low-income rural community—An authority, district, economic development authority, regional council, or unit of government representing an incorporated city, town, village, county, township, parish, or borough whose income is at or below 80 percent of either the state or national Median Household Income as measured by the 2010 Census.
Matching funds—Cash or confirmed funding commitments. Matching funds must be at least equal to the grant amount and committed for a period of not less than the grant performance period.
Recipient—The entity that receives the financial and technical assistance from the Intermediary. The recipient must be a nonprofit community-based housing and development organization, a low-income rural community or a federally recognized Tribe.
Regional Collaboration—Multi-jurisdictional areas typically within a State, territory, or Federally-designated Tribal land but which can cross State, territory, or Tribal boundaries.
The Regional Collaboration approach is intended to combine the resources of the Agency with those of State and local governments, educational institutions, and the private and nonprofit sectors to implement regional economic and community development strategies, including the enhancement of community-based philanthropic endowments.
Rural and rural area—Any area other than (i) a city or town that has a population of greater than 50,000 inhabitants; and (ii) the urbanized area contiguous and adjacent to such city or town.
Technical assistance—Skilled help in improving the recipient's abilities in the areas of housing, community facilities, or community and economic development.
C. Cost Sharing or Matching
Matching funds are cash or confirmed funding commitments and must be at least equal to the grant amount and committed for a period of not less than the grant performance period. These funds can only be used for eligible RCDI activities. Matching funds must be used to support the overall purpose of the RCDI program.
In-kind contributions such as salaries, donated time and effort, real and nonexpendable personal property and goods and services cannot be used as matching funds.
Grant funds and matching funds must be used in equal proportions. This does not mean funds have to be used equally by line item.
The request for advance or reimbursement and supporting documentation must show that RCDI fund usage does not exceed the cumulative amount of matching funds used.
Grant funds will be disbursed pursuant to relevant provisions of 7 CFR parts 3015, 3016, and 3019, as applicable. Verification of matching funds must be submitted with the application.
The intermediary is responsible for demonstrating that matching funds are available, and committed for a period of not less than the grant performance period to the RCDI proposal. Matching funds may be provided by the intermediary or a third party. Other Federal funds may be used as matching funds if authorized by statute and the purpose of the funds is an eligible RCDI purpose.
RCDI funds will be disbursed on an advance or reimbursement basis. Matching funds cannot be expended prior to execution of the RCDI Grant Agreement.
No reimbursement will be made for any funds expended prior to execution of the RCDI Grant Agreement unless the intermediary is a non-profit or educational entity and has requested and received written Agency approval of the costs prior to the actual expenditure.
This exception is applicable for up to 90 days prior to grant closing and only applies to grantees that have received written approval but have not executed the RCDI Grant Agreement.
The Agency cannot retroactively approve reimbursement for expenditures prior to execution of the RCDI Grant Agreement.
D. Other Program Requirements
1. The recipient and beneficiary, but not the intermediary, must be located in an eligible rural area.
The physical location of the recipient's office that will be receiving the financial and technical assistance must be in an eligible rural area. If the recipient is a low-income community, the median household income of the area where the office is located must be at or below 80 percent of the State or national median household income, whichever is higher.
The applicable Rural Development State Office can assist in determining the eligibility of an area.
A listing of Rural Development State Offices is included in this Notice. A map showing eligible rural areas can be found at the following link: http://eligibility.test.sc.egov.usda.gov/eligibility/welcomeAction.do?pageAction=RBSmenu&NavKey=property@13.
2. The recipient must be a nonprofit, which may include faith-based organization, community-based housing and development organization, low-income rural community, or federally recognized tribe based on the RCDI definitions of these groups.
3. Documentation must be submitted to verify recipient eligibility. Acceptable documentation varies depending on the type of recipient. Private nonprofit, faith or community-based organizations must provide a certificate of incorporation and good standing from the Secretary of the State of incorporation, or other similar and valid documentation of nonprofit status. For low-income rural community recipients, the Agency requires evidence that the entity is a public body and census data verifying that the median household income of the community where the office receiving the financial and technical assistance is located is at, or below, 80 percent of the State or national median household income, whichever is higher.
For Federally recognized tribes, the Agency needs the page listing their name from the current Federal Register list of tribal entities recognized and eligible for funding services (see the definition of federally recognized tribes in this Notice for details on this list).
4. Individuals cannot be recipients.
5. The intermediary must provide matching funds at least equal to the amount of the grant. Verification of matching funds must be submitted with the application. Matching funds must be committed for a period equal to the grant performance period.
6. The intermediary must provide a program of financial and technical assistance to the recipient.
7. The intermediary organization must have been legally organized for a minimum of 3 years and have at least 3 years prior experience working with private nonprofit community-based housing and development organizations, low-income rural communities, or tribal organizations in the areas of housing, community facilities, or community and economic development.
8. Proposals must be structured to utilize the grant funds within 3 years from the date of the award.Start Printed Page 49454
9. Each applicant, whether singularly or jointly, may only submit one application for RCDI funds under this Notice. This restriction does not preclude the applicant from providing matching funds for other applications.
10. Recipients can benefit from more than one RCDI application; however, after grant selections are made, the recipient can only benefit from multiple RCDI grants if the type of financial and technical assistance the recipient will receive is not duplicative. The services must have separate and identifiable accounts for compliance purposes.
11. The intermediary and the recipient cannot be the same entity. The recipient can be a related entity to the intermediary, if it meets the definition of a recipient, provided the relationship does not create a conflict of interest that cannot be resolved to Rural Development's satisfaction.
12. A nonprofit recipient must provide evidence that it is a valid nonprofit when the intermediary applies for the RCDI grant. Organizations with pending requests for nonprofit designations are not eligible.
13. If the recipient is a low-income rural community, identify the unit of government to which the financial and technical assistance will be provided, e.g., town council or village board.
The financial and technical assistance must be provided to the organized unit of government representing that community, not the community at large.
14. If a grantee has an outstanding RCDI grant over 3 years old, as of the application due date in this Notice, it is not eligible to apply for this round of funding.
15. The indirect cost category in the project budget should be used only when a grant applicant has a federally negotiated indirect cost rate. A copy of the current rate agreement must be provided with the application.
16. Grant applicants must obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number and register in the System for Award Management (SAM) prior to submitting a pre-application pursuant to 2 CFR 25.200(b). In addition, an entity applicant must maintain registration in SAM at all times during which it has an active Federal award or an application or plan under construction by the Agency. Similarly, all recipients of Federal financial assistance are required to report information about first-tier subawards and executive compensation in accordance to 2 CFR part 170. So long as an entity applicant does not have an exception under 2 CFR 170.110(b), the applicant must have the necessary processes and systems in place to comply with the reporting requirements should the applicant receive funding. See 2 CFR 170.200(b).
E. Eligible Fund Uses
Fund uses must be consistent with the RCDI purpose. A nonexclusive list of eligible grant uses includes the following:
1. Provide technical assistance to develop recipients' capacity and ability to undertake projects related to housing, community facilities, or community and economic development, e.g., the intermediary hires a staff person to provide technical assistance to the recipient or the recipient hires a staff person, under the supervision of the intermediary, to carry out the technical assistance provided by the intermediary.
2. Develop the capacity of recipients to conduct community development programs, e.g., homeownership education or training for business entrepreneurs.
3. Develop the capacity of recipients to conduct development initiatives, e.g., programs that support micro-enterprise and sustainable development.
4. Develop the capacity of recipients to increase their leveraging ability and access to alternative funding sources by providing training and staffing.
5. Develop the capacity of recipients to provide the technical assistance component for essential community facilities projects.
6. Assist recipients in completing pre-development requirements for housing, community facilities, or community and economic development projects by providing resources for professional services, e.g., architectural, engineering, or legal.
7. Improve recipient's organizational capacity by providing training and resource material on developing strategic plans, board operations, management, financial systems, and information technology.
8. Purchase of computers, software, and printers, limited to $10,000 per award, at the recipient level when directly related to the technical assistance program being undertaken by the intermediary.
9. Provide funds to recipients for training-related travel costs and training expenses related to RCDI.
F. Ineligible Fund Uses
The following is a list of ineligible grant uses:
1. Pass-through grants, capacity grants, and any funds provided to the recipient in a lump sum that are not reimbursements.
2. Funding a revolving loan fund (RLF).
3. Construction (in any form).
4. Salaries for positions involved in construction, renovations, rehabilitation, and any oversight of these types of activities.
5. Intermediary preparation of strategic plans for recipients.
6. Funding prostitution, gambling, or any illegal activities.
7. Grants to individuals.
8. Funding a grant where there may be a conflict of interest, or an appearance of a conflict of interest, involving any action by the Agency.
9. Paying obligations incurred before the beginning date without prior Agency approval or after the ending date of the grant agreement.
10. Purchasing real estate.
11. Improvement or renovation of the grantee's, or recipient's office space or for the repair or maintenance of privately owned vehicles.
12. Any purpose prohibited in 7 CFR parts 3015, 3016, and 3019, as applicable.
13. Using funds for recipient's general operating costs.
14. Using grant or matching funds for Individual Development Accounts.
15. Purchasing vehicles.
G. Program Examples and Restrictions
The purpose of this initiative is to develop or increase the recipient's capacity through a program of financial and technical assistance to perform in the areas of housing, community facilities, or community and economic development. Strengthening the recipient's capacity in these areas will benefit the communities they serve. The RCDI structure requires the intermediary (grantee) to provide a program of financial and technical assistance to recipients.
The recipients will, in turn, provide programs to their communities (beneficiaries). The following are examples of eligible and ineligible purposes under the RCDI program. (These examples are illustrative and are not meant to limit the activities proposed in the application. Activities that meet the objectives of the RCDI program will be considered eligible.)
1. The intermediary must work directly with the recipient, not the ultimate beneficiaries. As an example:
The intermediary provides training to the recipient on how to conduct homeownership education classes. The recipient then provides ongoing homeownership education to the residents of the community—the ultimate beneficiaries. This “train the trainer” concept fully meets the intent of this initiative. The intermediary is providing technical assistance that will Start Printed Page 49455build the recipient's capacity by enabling them to conduct homeownership education classes for the public.
This is an eligible purpose. However, if the intermediary directly provided homeownership education classes to individuals in the recipient's service area, this would not be an eligible purpose because the recipient would be bypassed.
2. If the intermediary is working with a low-income community as the recipient, the intermediary must provide the technical assistance to the entity that represents the low-income community and is identified in the application. Examples of entities representing a low-income community are a village board or a town council.
If the intermediary provides technical assistance to the Board of the low-income community on how to establish a cooperative, this would be an eligible purpose. However, if the intermediary works directly with individuals from the community to establish the cooperative, this is not an eligible purpose.
The recipient's capacity is built by learning skills that will enable them to support sustainable economic development in their communities on an ongoing basis.
3. The intermediary may provide technical assistance to the recipient on how to create and operate a revolving loan fund. The intermediary may not monitor or operate the revolving loan fund. RCDI funds, including matching funds, cannot be used to fund revolving loan funds.
4. The intermediary may work with recipients in building their capacity to provide planning and leadership development training. The recipients of this training would be expected to assume leadership roles in the development and execution of regional strategic plans. The intermediary would work with multiple recipients in helping communities recognize their connections to the greater regional and national economies.
5. The intermediary could provide training and technical assistance to the recipients on developing emergency shelter and feeding, short-term housing, search and rescue, and environmental accident, prevention, and cleanup program plans. For longer term disaster and economic crisis responses, the intermediary could work with the recipients to develop job placement and training programs, and develop coordinated transit systems for displaced workers.
Part IV—Application and Submission Information
A. Address To Request Application Package
Entities wishing to apply for assistance may download the application documents and requirements delineated in this Notice from the RCDI Web site: http://www.rurdev.usda.gov/HAD-RCDI_Grants.html.
Application information for electronic submissions may be found at http://www.grants.gov. Applicants may also request paper application packages from the Rural Development office in their state. A list of Rural Development State offices is included in this Notice.
B. Content and Form of Application Submission
If the applicant is ineligible or the application is incomplete, the Agency will inform the applicant in writing of the decision, reasons therefore, and its appeal rights and no further evaluation of the application will occur.
A complete application for RCDI funds must include the following:
1. A summary page, double-spaced between items, listing the following: (This information should not be presented in narrative form.)
a. Applicant's name,
b. Applicant's address,
c. Applicant's telephone number,
d. Name of applicant's contact person and telephone number,
e. Applicant's fax number,
f. County where applicant is located,
g. Congressional district number where applicant is located,
h. Amount of grant request, and
i. Number of recipients.
2. A detailed Table of Contents containing page numbers for each component of the application.
3. A project overview, no longer than five pages, including the following items, which will also be addressed separately and in detail under “Building Capacity” of the “Evaluation Criteria.”
a. The type of technical assistance to be provided to the recipients and how it will be implemented.
b. How the capacity and ability of the recipients will be improved.
c. The overall goals to be accomplished.
d. The benchmarks to be used to measure the success of the program. Benchmarks should be specific and quantifiable.
4. Organizational documents, such as a certificate of incorporation and a current good standing certification from the Secretary of State where the applicant is incorporated and other similar and valid documentation of non-profit status, from the intermediary that confirms it has been legally organized for a minimum of 3 years as the applicant entity.
5. Verification of source and amount of matching funds, e.g., a copy of a bank statement if matching funds are in cash or a copy of the confirmed funding commitment from the funding source.
The verification must show that matching funds are available for the duration of the grant performance period. The verification of matching funds must be submitted with the application or the application will be considered incomplete.
The applicant will be contacted by the Agency prior to grant award to verify that the matching funds provided with the application continue to be available. The applicant will have 15 days from the date contacted to submit verification that matching funds continue to be available.
If the applicant is unable to provide the verification within that timeframe, the application will be considered ineligible. The applicant must maintain bank statements on file or other documentation for a period of at least three years after grant closing except that the records shall be retained beyond the three-year period if audit findings have not been resolved.
6. The following information for each recipient:
a. Recipient's entity name,
b. Complete address (mailing and physical location, if different),
c. County where located,
d. Number of Congressional district where recipient is located,
e. Contact person's name and telephone number, and
f. Form RD 400-4, “Assurance Agreement.” If the Form RD 400-4 is not submitted for a recipient, the recipient will be considered ineligible. No information pertaining to that recipient will be included in the income or population scoring criteria and the requested funding may be adjusted due to the deletion of the recipient.
7. Submit evidence that each recipient entity is eligible:
a. Nonprofits—provide a current valid letter confirming non-profit status from the Secretary of the State of incorporation or the IRS, a current good standing certification from the Secretary of the State of incorporation, or other valid documentation of nonprofit status of each recipient.
b. Low-income rural community—provide evidence the entity is a public body, and a copy of the 2010 census data to verify the population, and evidence that the median household Start Printed Page 49456income is at, or below, 80 percent of either the State or national median household income. We will only accept data and printouts from http://www.census.gov.
c. Federally recognized tribes—provide the page listing their name from the Federal Register list of tribal entities published by the Bureau of Indian Affairs on August 10, 2012 (77 FR 47868)or a subsequent updated list in the Federal Register.
8. Each of the “Evaluation Criteria” must be addressed specifically and individually by category. Present these criteria in narrative form. Documentation must be limited to three pages per criterion. The “Population” and “Income” criteria for recipient locations can be provided in the form of a list; however, the source of the data must be included on the page(s).
9. A timeline identifying specific activities and proposed dates for completion.
10. A detailed project budget that includes the RCDI grant amount and matching funds. This should be a line-item budget, by category. Categories such as salaries, administrative, other, and indirect costs that pertain to the proposed project must be clearly defined. Supporting documentation listing the components of these categories must be included. The budget should be dated: Year 1, year 2, year 3, as applicable.
11. Form SF-424, “Application for Federal Assistance.” (Do not complete Form SF-424A, “Budget Information.” A separate line-item budget should be presented as described in No. 13 of this section.)
12. Form SF-424B, “Assurances—Non-Construction Programs.”
13. Form AD-1047, “Certification Regarding Debarment, Suspension, and Other Responsibility Matters—Primary Covered Transactions.”
14. Form AD-1048, “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion—Lower Tier Covered Transactions.”
15. Form AD-1049, “Certification Regarding Drug-Free Workplace Requirements.”
16. Certification of Non-Lobbying Activities.
17. Standard Form LLL, “Disclosure of Lobbying Activities,” if applicable.
18. Form RD 400-4, “Assurance Agreement,” for the applicant.
19. Identify and report any association or relationship with Rural Development employees.
20. For grants, the applicant's Dun and Bradstreet Data Universal Numbering Systems (DUNS) number and registration in the System for Award Management (SAM) in accordance with 2 CFR part 25. As required by the Office of Management and Budget (OMB), all grant applications must provide a DUNS number when applying for Federal grants, on or after October 1, 2003. Organizations can receive a DUNS number at no cost by calling the dedicated toll-free number at 1-866-705-5711 or via Internet at http:www.dnb.com/us/. Additional information concerning this requirement can be obtained on the Grants.gov Web site at http://www.grants.gov. Similarly, applicants may register for SAM at https://www.sam.gov or by calling 1-866-606-8220.
The DUNS number should be identified in the “Organizational DUNS” field on Standard Form (SF) 424, “Application for Federal Assistance.” Since there are no specific fields for a Commercial and Government Entity (CAGE) code and expiration date, they may be identified anywhere on the Form SF 424. If the applicant does not provide the CAGE code and expiration date and the DUNS number in the application, it will not be considered for funding.
Applicants must also complete Form AD-3030, “Representations Regarding Felony Conviction and Tax Delinquent Status for Corporate Applicants,” if they are a corporation. A corporation is any entity that has filed articles of incorporation in one of the 50 States, the District of Columbia, or the various territories of the United States including American Samoa, Federated States of Micronesia, Guam, Midway Islands, Northern Mariana Islands, Puerto Rico, Republic of Paalu, Republic of Marshall Islands, or the U.S. Virgin Islands. Corporations include both for profit and non-profit entities.
The required forms and certifications can be downloaded from the RCDI Web site at: http://www.rurdev.usda.gov/HAD-RCDI_Grants.html.
C. Other Submission Information
Survey on Ensuring Equal Opportunity for Applicants, OMB No. 1894-0010 (applies only to nonprofit applicants only—submission is optional).
The original application package must be submitted to the Rural Development State Office where the applicant's headquarters is located. A listing of Rural Development State Offices is included in this Notice. Applications will not be accepted via FAX or electronic mail.
Applicants may file an electronic application at http://www.grants.gov. Grants.gov contains full instructions on all required passwords, credentialing, and software. Follow the instructions at Grants.gov for registering and submitting an electronic application. If a system problem or technical difficulty occurs with an electronic application, please use the customer support resources available at the Grants.gov Web site.
Technical difficulties submitting an application through Grants.gov will not be a reason to extend the application deadline. If an application is unable to be submitted through Grants.gov, a paper application must be received in the appropriate Rural Development State Office by the deadline noted previously.
First time Grants.gov users should carefully read and follow the registration steps listed on the Web site. These steps need to be initiated early in the application process to avoid delays in submitting your application online.
In order to register with System for Award Management (SAM), your organization will need a DUNS number. Be sure to complete the Marketing Partner ID (MPID) and Electronic Business Primary Point of Contact fields during the SAM registration process.
These are mandatory fields that are required when submitting grant applications through Grants.gov. Additional application instructions for submitting an electronic application can be found by selecting this funding opportunity on Grants.gov.
D. Funding Restrictions
Meeting expenses. In accordance with 31 U.S.C. 1345, “Expenses of Meetings,” appropriations may not be used for travel, transportation, and subsistence expenses for a meeting. RCDI grant funds cannot be used for these meeting-related expenses. Matching funds may, however, be used to pay for these expenses.
RCDI funds may be used to pay for a speaker as part of a program, equipment to facilitate the program, and the actual room that will house the meeting.
RCDI funds can be used for travel, transportation, or subsistence expenses for program-related training and technical assistance purposes.
Any training not delineated in the application must be approved by the Agency to verify compliance with 31 U.S.C. 1345.
Travel and per diem expenses (including meals and incidental expenses) will be similar to those paid to Agency employees. Rates are based upon location. Rate information can be obtained from the applicable Rural Development State Office.Start Printed Page 49457
Grantees and recipients will be restricted to traveling coach class on common carrier airlines.
When lodging is not available at the government rate, grantees and recipients may exceed the Government rate for lodging by a maximum of 20 percent.
Mileage and gas reimbursement will be the same rate used by Agency employees. This rate may be obtained from the applicable Rural Development State Office.
Part V—Application Review Information
A. Evaluation Criteria
Applications will be evaluated using the following criteria and weights:
1. Building Capacity—Maximum 60 Points
The applicant must demonstrate how they will improve the recipients' capacity, through a program of financial and technical assistance, as it relates to the RCDI purposes.
Capacity-building financial and technical assistance should provide new functions to the recipients or expand existing functions that will enable the recipients to undertake projects in the areas of housing, community facilities, or community and economic development that will benefit the community. Capacity-building financial and technical assistance may include, but is not limited to: Training to conduct community development programs, e.g., homeownership education, or the establishment of minority business entrepreneurs, cooperatives, or micro-enterprises; organizational development, e.g., assistance to develop or improve board operations, management, and financial systems; instruction on how to develop and implement a strategic plan; instruction on how to access alternative funding sources to increase leveraging opportunities; staffing, e.g., hiring a person at intermediary or recipient level to provide technical assistance to recipients.
The program of financial and technical assistance provided, its delivery, and the measurability of the program's effectiveness will determine the merit of the application.
All applications will be competitively ranked with the applications providing the most improvement in capacity development and measurable activities being ranked the highest.
a. The narrative response must:
i. Describe the nature of financial and technical assistance to be provided to the recipients and the activities that will be conducted to deliver the technical assistance;
ii. Explain how financial and technical assistance will develop or increase the recipient's capacity. Indicate whether a new function is being developed or if existing functions are being expanded or performed more effectively;
iii. Identify which RCDI purpose areas will be addressed with this assistance: Housing, community facilities, or community and economic development; and
iv. Describe how the results of the technical assistance will be measured. What benchmarks will be used to measure effectiveness? Benchmarks should be specific and quantifiable.
b. The maximum 60 points for this criterion will be broken down as follows:
i. Type of financial and technical assistance and implementation activities. 35 points.
ii. An explanation of how financial and technical assistance will develop capacity. 10 points.
iii. Identification of the RCDI purpose. 5 points.
iv. Measurement of outcomes. 10 points.
2. Expertise—Maximum 30 Points
The applicant must demonstrate that it has conducted programs of financial and technical assistance and achieved measurable results in the areas of housing, community facilities, or community and economic development in rural areas.
Provide the name, contact information, and the type and amount of the financial and technical assistance the applicant organization has provided to the following for the last 3 years:
a. Nonprofit organizations in rural areas.
b. Low-income communities in rural areas, (also include the type of entity, e.g., city government, town council, or village board).
c. Federally recognized tribes or any other culturally diverse organizations.
3. Population—Maximum 30 Points
Population is based on the average population from the 2010 census data for the communities in which the recipients are located. The physical address, not mailing address, for each recipient must be used for this criterion. Community is defined for scoring purposes as a city, town, village, county, parish, borough, or census-designated place where the recipient's office is physically located.
The applicant must submit the census data from the following Web site in the form of a printout of the applicable “Fact Sheet” to verify the population figures used for each recipient. The data can be accessed on the Internet at http://www.census.gov; click on “American FactFinder,” fill in field and click “Go”; the name and population data for each recipient location must be listed in this section.
The average population of the recipient locations will be used and will be scored as follows:
|5,000 or less||30|
|5,001 to 10,000||20|
|10,001 to 20,000||10|
|20,001 to 50,000||5|
4. Income—Maximum 30 Points
The average of the median household income for the communities where the recipients are physically located will determine the points awarded. The physical address, not mailing address, for each recipient must be used for this criterion. Applicants may compare the average recipient median household income to the State median household income or the national median household income, whichever yields the most points. The national median household income to be used is $51,914.
The applicant must submit the income data in the form of a printout of the applicable information from the following Web site to verify the income for each recipient. The data being used is from the 2010 census. The data can be accessed on the Internet at http://www.census.gov; click on “American FactFinder,” fill in field and click “Go”; the name and income data for each recipient location must be listed in this section. Points will be awarded as follows:
|Average Recipient Median Income||Scoring (points)|
|Less than 60 percent of state or national median household income||30|
|From 60 to 70 percent of state or national median household income||20|
|Start Printed Page 49458|
|Greater than 70 to 80 percent of state or national median household income||10|
|In excess of 80 percent of state or national median household income||0|
5. Soundness of Approach—Maximum 50 Points
The applicant can receive up to 50 points for soundness of approach. The overall proposal will be considered under this criterion. Applicants must list the page numbers in the application that address these factors.
The maximum 50 points for this criterion will be broken down as follows:
a. The ability to provide the proposed financial and technical assistance based on prior accomplishments has been demonstrated. 10 Points.
b. The proposed financial and technical assistance program is clearly stated and the applicant has defined how this proposal will be implemented. The plan for implementation is viable. 10 Points.
c. Cost effectiveness will be evaluated based on the budget in the application. The proposed grant amount and matching funds should be utilized to maximize capacity building at the recipient level. 15 points.
d. The proposal fits the objectives for which applications were invited. 15 points.
6. Technical assistance for the development of Renewable Energy Systems and Energy Efficiency Improvements—Maximum 20 Points
The applicant must demonstrate how they will improve the recipients' capacity to carry out activities related to the development of renewable energy systems and energy efficiency improvements for housing, community facilities, or community and economic development.
7. Regional Collaboration Applications—Maximum 20 Points
The Agency encourages applications that promote substantive economic growth, including job creation, as well as specifically addressing the circumstances of those sectors within the region that have fewer prospects and the greatest need for improved economic opportunity.
A Regional Collaboration project should implement goals, objectives or actions identified in a Regional Strategic Plan which addresses priorities specified at a regional scale. Applications should demonstrate:
a. Clear leadership at the Intermediary level in organizing and coordinating a regional initiative;
b. Evidence that the Recipient's region has a common economic basis that supports the likelihood of success in implementing its strategy; and
c. Evidence that technical assistance will be provided that will increase the Recipient's capacity to assess their circumstance, determine a long term sustainable vision for the region, and implement a comprehensive strategic plan, including identifying performance measures and establishing a system to collect the data to allow assessment of those performance measures.
8. Local Investment Points—Maximum 20 Points
Intermediaries must be physically located in an eligible rural community and must include evidence of investment in the community. The intent is to ensure that RCDI funds are expended in the rural community.
9. Investing in Manufacturing Communities—Maximum 25 Points
Grant applicants demonstrating a technical assistance plan to help boost investing in manufacturing communities will be awarded a maximum of 25 additional points.
The applicant must demonstrate how their efforts will attract manufacturers and their supply chain of local innovators, producers, and distributors to create new jobs and strengthen the local economy. Applicant must demonstrate how it will support the redevelopment of manufacturing communities that have had major plant closings, in partnership with local leaders, workers and businesses. The maximum 25 points for this criterion will be awarded as follows:
a. Demonstrates how this project will attract manufacturing to the region. (10 points)
b. The ability to provide technical assistance to develop and implement long term strategies to orient the communities' and regions' economies for innovation, job creation and export promotion. (5 Points)
c. Emphasizes some combination of public-private partnership, including higher education collaboration. (5 Points)
d. Demonstrates how this project will lead to further development of the region's industrial ecosystem. (5 points)
10. State Director's Points Based on Project Merit—Maximum 20 Points
This criterion does not have to be addressed by the applicant. Up to 20 points may be awarded by the Rural Development State Director. Points may be awarded to more than one application per state or jurisdiction. The total points awarded under this criterion, to all applications, will not exceed 20. Assignment of points will include a written justification and be tied to and awarded based on how closely they align with the Rural Development State Office's strategic plan.
11. Proportional Distribution Points—20 Points
This criterion does not have to be addressed by the applicant. After applications have been evaluated and awarded points under the first 9 criteria, the Agency may award 20 points per application to promote an even distribution of grant awards between the ranges of $50,000 to $300,000.
B. Review and Selection Process
1. Rating and Ranking
Applications will be rated and ranked on a national basis by a review panel based on the “Evaluation Criteria” contained in this Notice. If there is a tied score after the applications have been rated and ranked, the tie will be resolved by reviewing the scores for “Building Capacity” and the applicant with the highest score in that category will receive a higher ranking. If the scores for “Building Capacity” are the same, the scores will be compared for the next criterion, in sequential order, until one highest score can be determined.
2. Initial Screening
The Agency will screen each application to determine eligibility during the period immediately following the application deadline. Listed below are examples of reasons for rejection from previous funding rounds. The following reasons for rejection are not all inclusive; however, they represent the majority of the applications previously rejected.Start Printed Page 49459
a. Recipients were not located in eligible rural areas based on the definition in this Notice.
b. Applicants failed to provide evidence of recipient's status, i.e., documentation supporting nonprofit evidence of organization.
c. Applicants failed to provide evidence of committed matching funds or matching funds were not committed for a period at least equal to the grant performance period.
d. Application did not follow the RCDI structure with an intermediary and recipients.
e. Recipients were not identified in the application.
f. Intermediary did not provide evidence it had been incorporated for at least 3 years as the applicant entity.
g. Applicants failed to address the “Evaluation Criteria.”
h. The purpose of the proposal did not qualify as an eligible RCDI purpose.
i. Inappropriate use of funds (e.g., construction or renovations).
j. The applicant proposed providing financial and technical assistance directly to individuals.
k. The application package not received by closing date and time.
Part VI—Award Administration Information
A. General Information
Within the limit of funds available for such purpose, the awarding official of the Agency shall make grants in ranked order to eligible applicants under the procedures set forth in this Notice.
B. Award Notice
Applicants will be notified of selection by letter.
Unsuccessful applicants will receive notification including appeal rights by mail. In addition, selected applicants will be requested to verify that components of the application have not changed at the time of selection and on the award obligation date, if requested by the Agency.
The award is not approved until all information has been verified, and the awarding official of the Agency has signed Form RD 1940-1, “Request for Obligation of Funds.”
C. Administrative and National Policy Requirements
Grantees will be required to do the following:
1. Execute a Rural Community Development Initiative Grant Agreement.
2. Execute Form RD 1940-1.
3. Use Form SF 270, “Request for Advance or Reimbursement,” to request reimbursements. Provide receipts for expenditures, timesheets and any other documentation to support the request for reimbursement.
4. Provide financial status and project performance reports on a quarterly basis starting with the first full quarter after the grant award.
5. Maintain a financial management system that is acceptable to the Agency.
6. Ensure that records are maintained to document all activities and expenditures utilizing RCDI grant funds and matching funds. Receipts for expenditures will be included in this documentation.
7. Provide annual audits or management reports on Form RD 442-2, “Statement of Budget, Income and Equity,” and Form RD 442-3, “Balance Sheet,” depending on the amount of Federal funds expended and the outstanding balance.
8. Collect and maintain data provided by recipients on race, sex, and national origin and ensure recipients collect and maintain the same data on beneficiaries. Race and ethnicity data will be collected in accordance with OMB Federal Register notice, “Revisions to the Standards for the Classification of Federal Data on Race and Ethnicity,” (62 FR 58782), October 30, 1997. Sex data will be collected in accordance with Title IX of the Education Amendments of 1972. These items should not be submitted with the application but should be available upon request by the Agency.
9. Provide a final project performance report.
10. Identify and report any association or relationship with Rural Development employees.
11. The intermediary and recipient must comply with Title VI of the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the Rehabilitation Act of 1973, and Executive Order 12250 and RD Instruction 7 CFR 1901-E.
12. The grantee must comply with policies, guidance, and requirements as described in the following applicable OMB Circulars and Code of Federal Regulations:
a. OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Government);
b. OMB Circular A-122 (Cost Principles for Non-profit Organizations);
c. OMB Circular A-133 (Audits of States, Local Governments, and Non-Profit Organizations);
d. 7 CFR part 3015 (Uniform Federal Assistance Regulations);
e. 7 CFR part 3016 (Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments);
f. 2 CFR parts 417 and 180 (Government-wide Debarment and Suspension (Nonprocurement);
g. 7 CFR part 3019 (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit Organizations); and
h. 7 CFR part 3052 (Audits of States, Local Governments, and Non-Profit Organizations).
Reporting requirements can be found in the Grant Agreement.
Part VII—Agency Contact
Contact the Rural Development office in the state where the applicant's headquarters is located. A list of Rural Development State Offices is included in this Notice.
Part VIII— Nondiscrimination Statement
The U.S. Department of Agriculture (USDA) prohibits discrimination against its customers, employees, and applicants for employment on the bases of race, color, national origin, age, disability, sex, gender identity, religion, reprisal, and where applicable, political beliefs, marital status, familial or parental status, sexual orientation, or all or part of an individual's income is derived from any public assistance program, or protected genetic information in employment or in any program or activity conducted or funded by the Department. (Not all prohibited bases will apply to all programs and/or employment activities.)
To File a Program Complaint
If you wish to file a Civil Rights program complaint of discrimination, complete the USDA Program Discrimination Complaint Form (PDF), found online at http://www.ascr.usda.gov/complaint_filing_cust.html, or at any USDA office, or call (866) 632-9992 to request the form. You may also write a letter containing all of the information requested in the form. Send your completed complaint form or letter to us by mail at U.S. Department of Agriculture, Director, Office of Adjudication, 1400 Independence Avenue SW., Washington, DC 20250-9410, by fax (202) 690-7442 or email at firstname.lastname@example.org.
Persons With Disabilities
Individuals who are deaf, hard of hearing or have speech disabilities and Start Printed Page 49460you wish to file either an EEO or program complaint please contact USDA through the Federal Relay Service at (800) 877-8339 or (800) 845-6136 (in Spanish).
Persons with disabilities who wish to file a program complaint, please see information above on how to contact us by mail directly or by email. If you require alternative means of communication for program information (e.g., Braille, large print, audiotape, etc.) please contact USDA's TARGET Center at (202) 720-2600 (voice and TDD).
Part IX—Appeal Process
All adverse determinations regarding applicant eligibility and the awarding of points as part of the selection process are appealable pursuant to 7 CFR part 11. Instructions on the appeal process will be provided at the time an applicant is notified of the adverse decision.
In the event the applicant is awarded a grant that is less than the amount requested, the applicant will be required to modify its application to conform to the reduced amount before execution of the grant agreement. The Agency reserves the right to reduce or withdraw the award if acceptable modifications are not submitted by the awardee within 15 working days from the date the request for modification is made. Any modifications must be within the scope of the original application.
End Supplemental Information
Dated: August 5, 2013.
Administrator, Rural Housing Service.
[FR Doc. 2013-19773 Filed 8-13-13; 8:45 am]
BILLING CODE 3410-XV-P