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U.S. Department of Housing and Urban Development
Public and Indian Housing
Community Development Block Grant (ICDBG) Program for Indian Tribes and Alaska Native
Villages
FR-5800-N-10
Community Development Block Grant (ICDBG) Program for Indian Tribes and Alaska Native
Villages
FR-5800-N-10
TABLE OF CONTENTS
Overview
I. Funding Opportunity Description.
II. Award Information.
III. Eligibility Information.
A. Eligible Applicants.
B. Cost Sharing or Matching.
C. Other - (if applicable).
IV. Application and Submission Information.
A. Obtaining an Application Package.
B. Content and Form of Application Submission.
C. Application Submission Dates and Times.
D. Intergovernmental Review.
E. Funding Restrictions.
F. Other Submission Requirements.
V. Application Review Information.
A. Review Criteria.
B. Review and Selection Process.
C. Anticipated Announcement and Award Dates.
VI. Award Administration Information.
A. Award Notices.
B. Administrative and National Policy Requirements.
C. Reporting.
VII. Agency Contact(s).
VIII. Other Information.
U.S. Department of Housing and Urban Development
Program Office:
Funding Opportunity Title:
Public and Indian Housing
Community Development Block Grant (ICDBG) Program
for Indian Tribes and Alaska Native Villages
Announcement Type:
Initial
Funding Opportunity Number: FR-5800-N-10
Primary CFDA Number:
14.862
Due
Date for Applications:
July 29, 2014
Today's posting provides information and instructions for the FY2014 ICDBG program. It
announces the availability of approximately $70,000,000. This Notice is comprised of both
the Notice of HUD's Fiscal Year (FY) 2014 Notice of Funding Availability (NOFA), Policy
Requirements and General Section (General Section) to HUD's FY2014 NOFAs for
Discretionary Programs posted on www. Grants. gov and this program section to the
NOFA. Funds that are carried over from previous fiscal years or are recaptured may also
be used for grant awards under this NOFA. HUD's IDBG Program is authorized by Title I
of the Housing and Community Development Act of 1974, and the ICDBG program
regulations at 24 CFR Part 1003. In addition to the application requirements set forth in this
document, applicants must also comply with applicable requirements established in the
General Section.
Additional Overview Information:
1. Incorporation of the General Section. HUD publishes a General Section each fiscal year
that contains mandatory requirements for all applicants to HUD’s competitive grant
programs including this NOFA. Applicants must meet all of the requirements of the
General Section in addition to the requirements of this NOFA to be considered and to
receive funding. The full title of the General Section is General Section for Fiscal Year
2014 Discretionary Programs. It can be found on Grants.gov and on HUD's Funds
Available webpage at http://portal.hud.gov /hudportal/HUD?src=/program_offices
/administration/grants /fundsavail.
2. OMB Approval Number(s):
2577-0191
1. Available Funds. The total approximate amount of funding available for the ICDBG
program is $70,000,000, less up to $3,960,000, retained to fund Imminent Threat grants.
Funds that are carried over from previous fiscal years or recaptured may also be used for
grant awards under this NOFA. Applicants for funding should carefully review the
requirements described in this NOFA and the FY2014 General Section. Unless otherwise
stated in this NOFA, the requirements of the General Section apply.
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a. Category One. Approximately $56,040,000 is available for all ICDBG-eligible activities
identified in the ICDBG regulation at 24 CFR Part 1003.
b. Category Two. Approximately $10,000,000 is available for grants for mold remediation
and prevention in and on housing units owned or operated by tribes and tribally designated
housing entities TDHE) or previously assisted with HUD funding.
2. Eligible Applicants. Eligible applicants are Indian tribes or tribal organizations on
behalf of Indian tribes as further described at 24 CFR 1003.5. Specific information on
eligibility is located in Section III.A. of this NOFA.
3. Number of Applications. Eligible applicants may submit one application for both
categories of funding within the same application. Applications for Category One-eligible
projects may be submitted for each area within the jurisdiction of an entity eligible under 24
CFR 1003. Category One applications may include more than one project, but cannot
exceed the grant ceilings for a Category One project listed in Section II. Tribal
organizations applying on behalf of multiple tribes may combine ceiling amounts for a
Category One project if the project will be utilized by members of all such respective
tribes. Several tribes may submit individual applications for one combined activity if the
project will be utilized by members of all such respective tribes. Category Two funds may
only be used to remediate and prevent mold.
I. Funding Opportunity Description.
A. Program Description and Requirements.
General. All grant funds awarded in accordance with this NOFA are subject to the
requirements of 24 CFR Part 1003.
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 Office of Native American Programs (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; or
d. Job Creation or Retention Activities.
Category Two projects must meet the primary objective for housing projects at 24 CFR
1003.208(c).
2. Imminent Threat Grants. ICDBG Imminent Threat (IT) grants are intended to alleviate
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2. Imminent Threat Grants. ICDBG Imminent Threat (IT) 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. These grants fund projects that: (1) can be completed within 12
months of grant award and (2) 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 IT funds by the deadline
established in this NOFA. If funds for IT grants are provided and the following criteria are
met, the request may be funded until the amount set aside for this purpose is expended. The
initial request, which should be submitted to the Area ONAP for your region, should
include the following documentation:
a. Independent verification from a third party (e.g., Indian Health Service, Bureau of
Indian Affairs) of the existence, immediacy, and urgency of the threat;
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;
d. Preliminary budget information (if the request is approved you will be asked to
provide a detailed budget);
e. Evidence of capacity to implement and complete grant within 12 months of grant
award (unless there is good cause for not being able to do so); and
f. 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.
g. 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), you may undertake temporary and permanent
repairs to control the immediate threat, and only if the activities do not alter environmental
conditions. Reimbursement of such costs is dependent upon HUD approval of the IT
application as explained below.
Your IT application must then be submitted to your Area ONAP and must include:
Form SF424_Application_for_Federal_Assistance;
A brief description of the project;
Form HUD4123_Cost_Summary; and
Form HUD4125_Implementation_Schedule.
Only if and when your Area ONAP approves your IT application will a grant agreement be
executed.
3. Definitions Used in this NOFA
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3. 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.
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- and 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. See Rating
Factor 4 for documentation requirements for leveraged resources.
7. Low- and Moderate-Income Beneficiary. This means a family, household, or
individual whose income does not exceed 80 percent of the median income for the
area, as determined by HUD, with adjustments for smaller and larger households or
families.
8. Microenterprise Programs. 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
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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.
9. Mold Remediation and Prevention: For purposes of this NOFA:
a. Mold is visible growth of fungi on surfaces of units/residential buildings or their
exterior;
b. Mold remediation includes long term solutions to a mold problem
within units/residential buildings or on their exterior, including for example,
eliminating mold that has grown on such surfaces and addressing the source of the
moisture entering or being dispersed within the units/residential buildings and;
c. Mold prevention includes action taken when mold within or on the exterior of
units/residential buildings is present in minute amounts, to significantly reduce the
likelihood of mold occurring or significantly growing, including for example,
adjustments to building components, occupant sources, or operations that reduce the
production of moisture that is dispersed within the units/residential buildings, that
reduce the likelihood and amount of condensation, or that reduce the trapping of
moisture within building cavities of the units/residential buidlings.
10. New Applicant. An applicant that has either never received an ICDBG or an
applicant whose prior grants have been closed for more than 12 months prior to the
application deadline date. This definition applies to the entity that is submitting the
application.
11. 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. 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).
12. 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, health, economic status, etc.
13. 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, number of
units in which mold has been remediated or prevented, 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.
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allow HUD to monitor and assess your proposed project's progress if funded.
14. Project Cost. The total cost to implement the project. Project costs may be
covered by both ICDBG and non-ICDBG funds and resources.
15. Standard Housing/Standard Condition. Housing that meets the housing quality
standards (HQS) adopted by the applicant (or tribe in the case of new construction
projects). 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 Area ONAP approves less stringent
standards based on a determination that local conditions make the use of Section 8
HQS infeasible. At least 30 days before the application deadline, you should submit a
request for the approval of standards less stringent than Section 8 HQS to your Area
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.
16. 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.
17. Tribally owned or operated housing. For purposes of Category Two funding,
"tribally owned or operated housing" means housing that is currently owned or
operated by an Indian tribe or TDHE, or was previously assisted with HUD funding.
18. 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.
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. HUD's
authority for making funding available under this NOFA is the Consolidated Appropriations
Act, 2014, Public Law 113-76, approved January 17, 2014.
II. Award Information.
A. Available Funds.
HUD is making available through this NOFA $70,000,000 for Community Development
Block Grant (ICDBG) Program for Indian Tribes and Alaska Native Villages.
Additional funds may become available for award under this NOFA as a result of HUD's
efforts to recapture unused funds, use carryover funds, or because of the availability of
additional appropriated funds. Use of these funds will be subject to statutory constraints. All
awards are subject to the applicable funding restrictions described in the General Section and
to those contained in this NOFA.
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The FY 2014 appropriation for the ICDBG program is $70,000,000, less up to $3,960,000,
retained to fund Imminent Threat grants, for a total of $66,040,000 available for Single
Purpose grants under this NOFA. Of the amount appropriated for Single Purpose grants,
$10,000,000 is available for grants for mold remediation and prevention in tribally owned or
operated housing. Funds that are carried over from previous fiscal years or are recaptured
may also be used for Category One grant awards under this NOFA. The grant ceiling for
imminent threat requests for FY2014 is $450,000 ($900,000 for Presidentially-declared
disasters). This ceiling has been established pursuant to the provisions of 24 CFR
1003.400(c).
1. Allocations to Area ONAPs. The requirements for allocating funds to Area ONAPs
responsible for program administration are found at 24 CFR 1003.101. Note that HUD is
using data from the U.S. Census’ American Community Survey to prepare these allocations
in accordance with the requirement in 24 CFR 1003.101(a)(2) that HUD allocate funds
based on the most recent data compiled and published by the United States Bureau of the
Census. Also, the needs data of State-recognized tribes that are not eligible to apply for
ICDBG funding is not being included in the calculations. For a more detailed explanation
about the data used please see: http://www.huduser.org/portal/icdbg/home.html index.php.
The allocations for FY2014 for Category One grants are as follows:
Eastern/Woodlands: $4,441,622
Southern Plains: $13,343,479
Northern Plains: $8,580,551
Southwest: $19,867,953
Northwest: $3,029,710
Alaska: $6,955,906
Total $56,219,222
2. Grant Ceilings. The authority to establish grant ceilings is found at 24 CFR
1003.100(b)(1). Applications for Category One grants may not exceed the following levels.
Area ONAP
Population
Ceiling
Eastern Woodlands
ALL
$600,000
Southern Plains
ALL
$800,000
Northern Plains
6,001+
$1,100,000
0-6,000
$900,000
Southwest
50,001+
$5,500,000
10,501-50,000
$2,750,000
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7,501-10,500
$2,200,000
6,001-7,500
$1,100,000
1,501-6,000
$825,000
0-1,500
$605,000
Northwest
ALL
$500,000
Alaska
ALL
$600,000
For the Southwest Area and Northern Plains ONAP jurisdictions, the population used to
determine ceiling amounts is the Native American population that resides on a reservation or
Rancheria.
Applicants from the Southwest or the Northern Plains ONAP jurisdictions should contact
those offices before submitting an application if they are unsure of the population level to
use to determine the ceiling amount. The Southwest or Northern Plains Area ONAP, as
appropriate, must approve any corrections or revisions to Native American population data
before an application is submitted.
Grant ceilings for Category Two grants are set at $400,000 for all applicants nationwide.
If the funding requested for an application exceeds the ceiling in either category or both
categories of funding, that category or both categoriest will not be rated.
3. Housing Rehabilitation Cost Limits. Grant funds spent on Category One housing
rehabilitation projects and Category Two grants for mold remediation and prevention must
fall within the following per-unit limits for each Area ONAP jurisdiction. An applicant’s
budget must demonstrate that these cost limits will not be exceeded. If both categories of
funding are awarded, the per unit cap may not exceed the per unit dollar amounts listed
below.
Eastern/Woodlands: $35,000
Southern Plains: $35,000
Northern Plains: $50,000
Southwest: $65,000
Northwest: $50,000
Alaska: $75,000
4. Compliance with Regulations, Guidelines, and Requirements
1. Applicants awarded a grant under this NOFA are required to comply with the statutes,
regulations, guidelines, and other 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:
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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. Applicants should be mindful
to estimate any potential adverse environmental or health effects of the proposed
ICDBG-funded activities on areas with a high concentration of Native Americans and lowand very low-income persons.
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 lack of capacity 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 II.E2. For such applicants that are awarded a grant under this
NOFA, see section VI.B.1.a. of this NOFA.
3. Indian Preference. HUD has determined that the ICDBG program is subject to Section
7(b) of the Indian Self-Determination and Assistance Act (25 U.S.C. 450e(b)). The
provisions and requirements for implementing this section are in 24 CFR 1003.510.
4. Anti-discrimination provisions. Under HUD’s regulations at 24 CFR 1003.601, HUD
waived the requirement that grantees comply with the anti-discrimination provisions in
Section 109 of the CDBG statute except with respect to age, sex, religion, or against an
otherwise qualified disabled individual in the use of ICDBG grant funds. Section 109
requires compliance with Section 504 of the Rehabilitation Act of 1973 and the Age
Discrimination Act of 1975 also (HUD's regulations for Section 109 are in 24 CFR part 6).
HUD’s regulations at 24 CFR part 8 include accessibility standards for housing and
non-housing facilities constructed or rehabilitated with Federal financial assistance,
including ICDBG. You must comply also with the Indian Civil Rights Act in your use of
ICDBG.
5. Economic Opportunities for Low-and Very Low-Income Persons (Section 3).
Section 3 requirements under 24 CFR Part 135 apply to the ICDBG program but, as
stated in §135.3(c), the procedures and requirements of Part 135 apply to the
maximum extent consistent with, but not in derogation of, preferences for the benefit
of Indians under §7(b) of the Indian Self-Determination and Education Assistance Act
(25 U.S.C. 450e(b)). Grantees are required to submit an annual report on
employment, training, contracting and other economic opportunities consistent with
the Section 3 regulatory reporting requirements.
6. Affirmatively Furthering Fair Housing. Applicants under this NOFA do not have a
submission requirement related to HUD’s obligation to affirmatively further fair housing
under Section 808(e) of the Fair Housing Act as described in the General Section, because
Section 106(a)(1) of the Housing and Community Development Act exempts grants to
Indian tribes from the obligation to affirmatively further fair housing under Section
106(d)(5) of the Act.
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B. Number of Awards.
HUD expects to make approximately 100 awards from the funds available under this NOFA.
C. Maximum Award Information.
Estimated Total Funding:
Minimum Award Amount:
Maximum Award Amount:
D. Period of Performance.
$70,000,000
$0 Per Project Period
$0 Per Project Period
The period of performance for any grant awarded under this NOFA must be included in the
Implementation Schedule, form HUD4125, approved by HUD. For FY2014, HUD must
obligate the funds no later than September 30, 2016, and the grantee’s Implementation
Schedule cannot exceed September 30, 2021. Any funds not drawn down as of September
30, 2021, will be cancelled. HUD reserves the right, however, to require an earlier
expenditure deadline under an ICDBG grant agreement. If the grantee does not make
substantial progress toward meeting its implementation schedule, HUD reserves the right to
recapture the funds
Estimated Project Start Date:
Estimated Project End Date:
Other
09/30/2014
09/30/2021
Additional Information on Project Periods
Project periods are based on the HUD-approved implementation plans.
E. Type of Funding Instrument.
Funding Instrument Type:
Grant
F. Supplementation.
Not Applicable
III. Eligibility Information.
A. Eligible Applicants.
Eligible applicants under this NOFA include:
Native American tribal governments (Federally recognized)
Native American tribal organizations (other than Federally recognized tribal governments)
Others (see text field entitled "Additional Information on Eligibility" for clarification)
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Additional Information on Eligibility:
Eligible applicants are Indian tribes or tribal organizations on behalf of Indian tribes. An
applicant 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. If your organization has already submitted this information to the Area
ONAP you need not submit it again. 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.
On January 29, 2014, the BIA published a Federal Register notice entitled, "Indian Entities
Recognized and Eligible to Receive Services from the United States Bureau of Indian
Affairs” (79 FR 4748). 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.
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. The hierarchy for funding priority continues to be the IRA Council, the
Traditional Village Council, the ANCSA Village Corporation, and the ANCSA Regional
Corporation.
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).
HUD does not award grants to individuals nor will HUD evaluate an application from an
ineligible applicant. Additionally, if for-profit firms are eligible they are not allowed to
earn a fee (i.e., make a profit from the project).
In accordance with 2 CFR 25.200, all applicants must have an active Data Universal
Numbering System (DUNS) number (www.dnb.com) and have an active registration in the
System for Award Management (SAM) (www.sam.gov) before submitting an application.
Getting your DUNS number and SAM registration can take up to four weeks; therefor, you
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should start this process or check your status early.
B. Cost Sharing or Matching.
Federal sources are generally not allowed to be used as cost share or match unless otherwise
permitted by a program’s authorizing statute.
This Program does not require an applicant to leverage resources through 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 under Rating Factor 4. The greater the percentage
of leveraged funds committed, the greater the number of points an applicant can receive
under rating factor 4, up to a maximum of 8 points. See Section V.A. Rating Factor 4.
C. Other.
You must refer to Section III of the General Section for information on the following
eligibility requirements. These requirements may, where applicable, determine whether
your application is reviewed or make your application ineligible for funding:
Resolution of civil rights matters;
Compliance with nondiscrimination and other requirements, including but not limited
to:
compliance with all applicable fair housing and civil rights laws;
affirmatively furthering fair housing;
Delinquent Federal debts;
Financial management systems that meet Federal standards;
Debarment and/or suspension from doing business with the Federal Government;
False statements;
Do Not Pay review and compliance with the Improper Payments Elimination and
Recovery Improvement Act of 2012;
Standards of ethical conduct/code of conduct;
Prohibition against lobbying activities; and
Conflicts of interest.
1. HUD Threshold Requirements. Applicants for Single Purpose grants must comply
with the HUD Threshold Requirements listed in the General Section, Section III. C.2 and 3
to receive an award of funds. Indian tribes and tribal organizations applying on their behalf
are exempt from the affirmatively furthering fair housing requirement as stated in the
General Section.
2. Program-Related Requirements
a. Outstanding ICDBG Obligation. Pursuant to 24 CFR 1003.301(a), an applicant who
has an outstanding ICDBG obligation to HUD that is in arrears, or one that has not agreed to
a repayment schedule will be disqualified from the competition.
b. Resolution of Civil Rights Matters. Applicants and subrecipients that are not federally
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recognized Indian tribes or their instrumentalities are subject to the threshold on Resolution
of Civil Rights requirements found in the General Section at Section III.C.2.b. Federally
recognized Indian tribes and their instrumentalities are subject to the requirements of: Title
II of the Civil Rights Act of 1968, 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 under this NOFA, the applicant may not have any outstanding violations of
these civil rights authorities by the application deadline.
3. Project-Specific Threshold Requirements. Applicants must address each component
of the project-specific thresholds that are applicable to the proposed project. The
thresholds are:
a. Housing Rehabilitation Project Thresholds. In accordance with 24 CFR 1003.302(a),
for Category One housing rehabilitation projects, and Category Two mold remediation
projects, you must adopt rehabilitation standards and rehabilitation policies as defined in
Section I.A.3.15 of this NOFA before you submit an application. Do not submit your
policies or standards with the application. If you propose to use ICDBG funds to
rehabilitate HUD-assisted houses, 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 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. For housing
rehabilitation, your application must contain information that demonstrates that each
housing unit that receives ICDBG assistance will be occupied by a low- and
moderate-income family at the time the assistance is provided.
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 that at minimum meet the
requirements in Section I.D.14 of this NOFA.
(3) In accordance with 24 CFR 1003.302(b), you must document that:
(a) No other housing is available in the immediate reservation area that is suitable for the
households to be assisted; and
(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; or
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(d) The household(s) to be housed is currently in an overcrowded house (more than one
household per house);
(e) The household to be assisted has no current residence
(4) For new housing construction, your application must contain information that shows
that all households that receive ICDBG grant assistance will be of low- and
moderate-income status.
c. Economic Development Project Thresholds. In accordance with 24 CFR 1003.302(c),
for economic development assistance projects, you must provide a financial analysis
prepared by an independent entity not affiliated with the applicant. The financial analysis
must demonstrate that the project is financially feasible and the project has a reasonable
chance of success. The analysis should include information about the project’s market
share, sales levels, growth potential, projections of revenue, project expenses, and debt
service, if applicable. 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. 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 for Category One grants, this component may be
unrelated to the other project(s) in your application; For Category Two grants, public
service activities may only be in support of mold prevention activities related to tribally
owned or operated housing. 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 the public service 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.A. of this NOFA 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. Acquisition of land or other real property may be proposed in
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conjunction with Category One proposals for New Housing Construction, Housing
Rehabilitation, Public Facilities and Improvements, or Economic Development. Applicants
may also acquire land alone but only for future housing development. Acquisition of
standard housing not in need of rehabilitation may also be proposed as a stand-alone activity
but the acquired units must meet the housing standards of the HUD Section 8 program as
defined in the definitions section of this NOFA. See Rating Factor 2, subfactor 2.c. and
Rating Factor 3, Subfactor 4.e.
b. Assistance to Community Based Development Organizations (CBDO). Grantees
may provide assistance to these organizations to undertake activities related to
neighborhood revitalization, community economic development, or energy conservation. If
your organization has been determined by ONAP to be a CBDO, you do not have to submit
documentation of this in your application.
c. Clearance and Demolition. These activities can be proposed as part of Category One
Housing Rehabilitation, New Housing Construction, Public Facilities and Improvements,
Economic Development, or Land to Support New Housing but demolition of HUD-assisted
housing can only be undertaken with the prior approval of HUD.
d. Comprehensive Planning. This activity is eligible under Category One, 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.
e. Energy Efficiency/Green Development. Associated activities can be proposed under
Housing Rehabilitation, Public Facilities and Improvements, New Housing Construction, or
Economic Development depending upon the type of energy efficiency activity.
f. Lead-Based Paint Evaluation and Hazard Control. These activities can be proposed
under Housing Rehabilitation and certain other projects and are required on projects
described in Section IV.F, paragraph 1.
g. 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.
h. Privately and Publicly Owned Commercial or Industrial Buildings (real property
improvements). These activities can be proposed under Economic Development funded
by Category One. Privately owned commercial rehabilitation is subject to the requirements
at 24 CFR 1003.202.
i. Privately Owned Utilities. Assistance to privately owned utilities can be proposed under
Public Facilities and Improvements.
j. 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
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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.
k. Mold. Renovation of affected buildings, including the elimination of mold is eligible
under housing rehabilitation or public facility improvement projects under Category One.
Remediation and prevention of mold is eligible under Category Two as specified elsewhere
in this NOFA only on tribally owned or operated units.
l. 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 down payment assistance or
recreational needs. Also see Section III.C.4. above and 24 CFR 1003.201(e).
m. Relocation. Relocation expenses are an eligible activity. See 1003.602.
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. ICDBG funds cannot be used to fund the construction,
renovation or mold remediation or prevention on buildings, or portions thereof, used
predominantly for the general conduct of government. 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.
The term “Buildings for the general conduct of government”, is further defined at 24 CFR
1003.4. Your Area ONAP should be consulted for projects of this nature.
b. General Government Expenses. Except as authorized in the regulations or under OMB
Circular A-87 (2 CFR Part 225), 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 applicable to Category One funding 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 ICDBG 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.
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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
(2 CFR Part 225) or A-122 (2 CFR Part 230), 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 (2 CFR
Part 225) and A-122 (2 CFR Part 230), 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.
IV. Application and Submission Information
A. Obtaining an Application Package.
An electronic copy of the Application Package and Application Instructions for this NOFA
can be downloaded from Grants.gov at
http://www.grants.gov/applicants/apply-for-grants.html.
An applicant demonstrating good cause may request a waiver from the requirement for
electronic submission. If you receive a waiver, your paper application must be received by
HUD before the deadline of this NOFA. To request a waiver and receive a paper copy of
the application materials, you should contact:
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To request a waiver of the electronic application process you may contact the Area ONAP
Administrator for your region. A link to these address may be found at http:// www.hud
.gov/ offices/ pih/ ih/ codetalk/ onap/ map/ nationalmap.cfm. Waiver requests for both
categories of funding must be submitted to the applicable Area ONAP Administrator in
writing, using mail, e-mail, or fax and must include good cause for the waiver. Requests
must be submitted no later than 7 business days prior to the application deadline date.
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. See the General Section, section IV.A.3., Waiver of Electronic Submission
Requirements.
B. Content and Form of Application Submission.
To assure you have the correct Application Package and Application Instructions, you must
check that the CFDA number, the Opportunity Title, and the Funding Opportunity Number
on the first page of your Application Package match those listed in the Overview of this
NOFA. Your application will only be considered for the competition indicated on your
submission.
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,
the General Section, and supplemental General Section documents. Applicants should
also review each rating factor listed in Section V of this NOFA, before writing a narrative
response. If you are applying for both categories of funding you must submit two
narratives, one for each category. Indicate on the first page of each narrative, in the
one-page summary, the category of ICDBG funds you are applying for. In addition, if you
are applying for Category One funds, indicate 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.
It is recommended that you limit the narrative for each category of funding to 15 pages for
all factors and then, in addition, provide the necessary data such as a market analysis, pro
forma, housing survey data, etc. that support the response. Applicants should not submit
third party documents, such as audits, resolutions, or policies, unless specifically asked to
do so. Please use separate headings for each rating factor and rating subfactor. Make sure
the response is beneath the appropriate heading and keep the responses in the same order as
the NOFA. Only include documentation that will clearly and concisely support your
response to the rating criteria. If you are applying for both categories of funding, you do
not have to submit two sets of HUD or other government forms, unless specifically
requested below.
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1. 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,
including a one page summary of the proposed project(s). If you are requesting funding in
both categories you must submit two narratives and two summaries.
b. Application_for_Federal_Assistance (SF424), which includes a Dun and Bradstreet
Data Universal Numbering System (DUNS) number. Applicants must also include the
nine-digit zip code (zip code plus four digits) associated with the applicant’s address in box
8d of the SF424.
c. Applicant/Recipient_Disclosure_Update_Report (form HUD2880).
d. Acknowledgement_of_Application_Receipt (form_HUD2993). This is relevant only to
applicants granted a waiver of the electronic submission requirements and who are
submitting a paper application.
e. Tribal resolution. 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 a concurring
resolution from the Indian tribe stating that the tribal organization is applying on the tribe's
behalf. If two tribal organizations are applying for funds on behalf of a tribe, one for each
category of funding, two tribal resolutions must be submitted.
f. Implementation Schedule. A schedule for implementing the project (form
HUD4125_Implementation_Schedule). If you are requesting both categories of funds, you
must include two implementation schedules - one for each category of funds. If you are
proposing more than one project under Category One, you must also submit an
implementation schedule for each of those projects.
g. Budget Information. If you are applying for both categories of funds you must submit
two budgets (form HUD4123_Cost_Summary) including cost information for each separate
project including specific activity costs, administration, planning, technical assistance and
total HUD share (form HUD4123_Cost_Summary). If you are proposing more than one
type of project under Category One, you must submit one budget for each project. Planning
and administrative costs cannot exceed 20 percent of each grant (under Category One or
Category Two). 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 HUD4123 for each proposed project in addition to a
consolidated form HUD4123 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 but do include any
funds the applicant will be contributing toward administering the grant.
(4) Indirect costs may be charged to the ICDBG program under a cost sharing plan
prepared in accordance with OMB Circular A-21 (2 CFR Part 220), A-87 (2 CFR Part
225), or A-122 (2 CFR Part 230) as applicable.
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h. Citizen Participation. Evidence in the form of a tribal resolution that the tribe has met
the citizen participation requirements of 24 CFR 1003.604. Accordingly, the tribe must
ensure that views and comments from the entire tribal community members about the use of
ICDBG funds were gathered and considered prior to the submission of the application. If
you are applying for both categories of funding, indicate that the community was informed
about and consulted on the use of funds for both categories.
i. Map. A map showing project location, if appropriate.
j. 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 lowand moderate-income persons, in accordance with the requirements of 24 CFR 1003.208.
For housing activities, including but not limited to, acquisition or rehabilitation of housing,
conversion of non-residential structures and new housing construction, all households that
receive ICDBG grant assistance must be of low- and moderate-income status.
k. 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.
l. Project-Specific Thresholds. Applicants must respond to all components within the
project-specific thresholds outlined in Section III.C.3, as applicable, in order to be rated.
m. Land Acquisition to Support New Housing Projects. Your application must include
evidence of financial commitment and an ability to construct at least 25 percent of the
housing units on the land proposed for acquisition. This evidence must consist of one (or
more) of the following: a firm or conditional commitment to construct (or to finance the
construction of) the units; documentation that an approvable application for the construction
of these units has been submitted to a funding source or entity; or documentation that these
units are specifically identified in Section 3 and Section 5 of the Indian Housing Plan (IHP)
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.
n. 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.
o. Correctional Facilities/Juvenile Detention Centers. If you propose a correctional
facility or juvenile detention center that would provide correctional services to be funded by
20 of 51
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/DOJ standards regarding
correctional operations, programs and designs.
p. Evidence of Partner Commitment. If you propose to partner with other
entities/organizations to undertake your project, you must submit a letter on letterhead of
the entity/organization and signed by the chief executive of the entity/organization that
demonstrates that the entity/organization is willing and able to participate.
q. Code of Conduct. If your Code of Conduct (code) is not listed on HUD’s website at http
:// www.hud.gov/ offices/ adm/ grants/ codeofconduct/ cconduct.cfm or if the information
on the website has changed, you must submit a copy of your code with your application.
r. Disclosure of Lobbying Activities (SFLLL). This form must be submitted by
State-recognized Indian tribes and tribally designated housing entities established only
under state law.
s. HUD_Facsimile_Transmittal_HUD96011) _Third_ Party_
Documentation_Facsimile_Transmittal. This form must be submitted even if the applicant
is not faxing any documents through grants.gov.
t. Evidence of Mold. If you are requesting funds under Category Two you must submit
evidence of mold in the housing units that you wish to remediate. This documentation must
be prepared by a third party who is qualified to make such an assessment. See Section
V.A.2., Rating Factor 2, for more information.
Forms for your package include the HUD standard forms outlined below:
Standard forms that must be submitted are listed with the other required information in the
checklist above.
C. Application Submission Dates and Times.
Application Deadline.
Submit your application to Grants.gov unless a waiver has been issued allowing you to
submit your application in paper form. Instructions on submitting your application to
Grants.gov are contained within the Application Package you downloaded from Grants.gov.
The application deadline is 11:59:59 p.m. Eastern time on July 29, 2014. Applications must be
received no later than the deadline. Please refer to the General Section for more information
about timely receipt of applications.
Applications must be received no later than the deadline. Please refer to the General
Section for more information about timely receipt of applications.
Your application must be both received and validated by Grants.gov. Your application is
“received” when Grant.gov provides you a confirmation of receipt and an application
tracking number. If you do not see this confirmation and tracking number, your
application has not been received.
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After your application has been received, your application still must be validated by
Grants.gov. During this process, your application may be “validated” or “rejected with
errors.” To know whether your application was rejected with errors and the reason(s) why,
you must log into Grants.gov, select “Applicants” from the top navigation, and select
“Track my application” from the drop-down list. If the status is “rejected with errors,” you
have the option to correct the error(s) and resubmit your application before the Grace
Period ends. If your application was “rejected with errors” and you do not correct
these errors, HUD will not review your application. If your status is “validated” your
application will be forwarded to HUD by Grants.gov.
Grace Period for Grant.gov Submissions: If your application is received by Grants.gov
before the deadline, but is rejected with errors, you have a grace period of one day beyond
the application deadline to submit a corrected application that is received and validated by
Grants.gov. Any application submitted during the grace period that does not meet the
criteria above will not be considered for funding. There is no grace period for paper
applications. See the General Section for more information about the grace period.
If you are required to submit supporting documentation you may either scan and attach
these documents to your electronic application package or submit them via fax. If
supporting documents are submitted by fax, you must use the HUD-96011 Facsimile
Transmittal Form as a cover page; this form is located in your Application Package. You
must send any faxes to the toll-free number 800-HUD-1010. If you cannot access the
toll-free number or experience problems using that number you may use 215-825-8798
(this is not a toll-free number). If you or any other parties submitting documents for this
application do not use the form HUD-96011 that came with your application as the fax
cover page, the documents cannot be matched to the application. Consequently, these
documents will not be considered when the application is evaluated. Additionally, if your
fax machine creates a cover page, you must turn this feature off.
Amending a Validated Application: If you resubmit an application that was previously
validated by Grants.gov, all documents faxed in support of the application must be faxed
again using the form HUD-96011. You must fax the materials after the resubmitted
application has been validated by Grants.gov. All faxed materials must be received by the
applicable deadline.
D. Intergovernmental Review.
This program is not subject to Executive Order 12372, Intergovernmental Review of
Federal Programs.
E. Funding Restrictions.
See Sections III.C.4 and 6 and Sections IV.B.2.g. and j. of this NOFA. Planning and
administrative costs cannot exceed 20 percent of the grant (see Sections III.C.5.d. and
IV.B.2.g).
F. Other Submission Requirements.
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Lead Based Paint Requirements
When providing housing assistance funding for purchase, lease, support services, operation,
or work that may disturb painted surfaces, of pre-1978 housing, you must comply with the
lead-based paint evaluation and hazard reduction requirements of HUD's lead-based paint
rules (Lead Disclosure; and Lead Safe Housing (24 CFR part 35)), and EPA's lead-based
paint rules (e.g., Repair, Renovation and Painting; Pre-Renovation Education; and Lead
Training and Certification (40 CFR part 745)).
See the General Section for specific procedures concerning the electronic application
submission and timely receipt requirements. The application and instructions are available
at http:// www.grants.gov/ applicants/ apply_for_grants.jsp . If you have difficulty
processing the information, you may call the help desk line at (800) 518-GRANTS or
e-mail support@grants.gov . Hearing- or speech-challenged individuals may access this
number through TTY or by calling the toll-free Federal Relay Service at 800-877-8339.
NOTE: Avoid using any special characters (example: -,&,*,%,/,#) or spacing in the file
names. If you need spaces in the name of your files, use the underscore (example:
my_Attached_File.pdf) in naming the attachments. If you use special characters when
naming their attachment files, your application will be rejected. See www.grants.gov for
more information.
V. Application Review Information
A. Review Criteria.
A.1. Rating Factors.
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. However, applicants that
submit a letter from the lead organization of a designated Promise Zone
demonstrating that the proposed actvities would contribute to the local strategy for
revitalizing the Promise Zone will receive two bonus points as described in paragraph
V.A.1. of the General Section. www.hud.gov/promisezones.
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.
RATING TITLE
FACTOR
POINTS
Category One
Category Two
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Current New
Current New
Grantees Applicants Grantees Applicants
FACTOR CAPACITY OF THE
1
APPLICANT
33
33
33
Subfactor Managerial, Technical and 14
1
Administrative Capability
30
14
33
1.a.
Managerial and Technical
Staff
7
8
7
10
1.b.
Implementation Plan
3
8
3
9
1.c.
Financial Management
2
7
2
7
1.d.
Procurement and Contract 2
Management
7
2
7
19
0
19
0
Subfactor Past Performance
2
2.a.
Implementation and
Expenditures
7
0
7
0
2.b.
Reports
3
0
3
0
2.c.
Closeouts
3
0
3
0
2.d.
Audits
3
0
3
0
2.e.
Findings
3
0
3
0
Subfactor Unfunded Applicants
3
0
3
0
0
FACTOR NEED/EXTENT OF THE
2
PROBLEM
16
16
17
17
Subfactor Need and Viability
1
4
4
8
8
Subfactor Project Benefit
2
12
12
9
9
12
12
0
2.a.
33
Public Facilities and
Improvement Projects
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2.b.
Economic Development
Projects
12
12
0
2.c.
New Housing
Construction, Housing
Rehabilitation, Land
Acquisition to Support
New Housing and
Homeownership
Assistance Projects
12
12
12
12
2.d.
Microenterprise Projects
12
12
0
0
FACTOR SOUNDNESS OF
3
APPROACH
33
33
30
30
Subfactor Description of and
1
Rationale for Proposed
Project
10
10
8
8
Subfactor Budget and Cost Estimates
2
9
9
8
8
Subfactor HUD Policy Priorities
3
2
2
2
2
Subfactor Commitment to Sustain
4
Activities
12
12
12
12
4.a.
Public Facilities and
Improvement Projects
12
12
0
0
4.b.
New Housing
Construction, Housing
Rehabilitation and
Homeownership
Assistance Projects
12
12
12
12
4.c.
Economic Development
Projects
12
12
0
0
4.d.
Microenterprise Programs 12
12
0
0
4.e.
Land Acquisition to
Support New Housing
12
0
0
12
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Factor 4
Factor 5
LEVERAGING
RESOURCES
8
8
10
10
COMPREHENSIVENESS 10
AND COORDINATION
10
10
10
Subfactor Coordination
1
2
2
2
2
Subfactor Outputs and Outcomes
2
8
8
8
8
Rating Factor 1: Capacity of the Applicant
Maximum Points: 33
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. Past performance in administering 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. HUD will not rate any projects
further that do not receive a minimum of 15 points under this factor. Applicants for both
Category One and Category Two will be rated as current grantees or new ICDBG
applicants as appicable.
1. Managerial, Technical, and Administrative Capability, (14 points for current
ICDBG grants in both categories of funding, 30 points for new applicants in
Category One, and 33 points for new applicants in Category Two). Your application
must demonstrate that you possess or can obtain managerial, technical, and/or
administrative capability necessary to carry out the proposed project. It 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. Do not submit Social Security
Numbers of any personnel or consultants.
a. Managerial and Technical Staff (7 points for current applicants applying for both
categories of funding, 8 points for new applicants in Category one, and 10 points for
new applicants in Category Two) .
The extent to which your application describes the roles/responsibilities and the
knowledge/experience of your proposed project director and key staff, including the
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day-to-day program manager and, consultants 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 relevant, recent, and successful
experience of all key staff to undertake eligible program activities. In rating this factor,
HUD will consider experience pertaining to the specific activities being proposed or the
specific roles and responsibilities described in the application to be relevant, experience
within the last 5 years to be recent, and evidence of meeting or exceeding timetables of
past projects to be successful. The more relevant, recent, and successful the experience of
staffs who will work on the project, the greater the number of points you will receive for
this rating factor.
(7 points for current grantees in both categories, 8 points for new applicants in
Category One, and 10 points for new applicants in Category Two). The applicant
adequately describes the roles/responsibilities and the knowledge/experience of its overall
project director and key staff, including the day-to-day program manager and consultants
in planning, managing, and implementing projects for which funding is being requested.
Experience of all key staff as described in the application is relevant, recent, and
successful.
(4 points for current grantees in both categories, 4 points for new applicants in
Category One, and 5 points for new applicants in Category Two). The applicant
adequately describes the roles/responsibilities and the knowledge/experience of its project
director and staff, including the day-to-day program manager and consultants in planning,
managing, and implementing projects for which funding is being requested. Experience
of all key staff as described in the application is relevant, and is either recent, or
successful.
(0 points for current grantees and new applicants in both categories). The applicant
failed to adequately describe the roles/responsibilities and the knowledge/experience of
its project director and key staff, including the day-to-day program manager, consultants,
and contractors in planning, managing, and implementing projects for which funding is
being requested or staff experience as described in the application is either not relevant,
or is not recent, or successful.
b. Project Implementation Plan (3 points for current ICDBG grantees in both
categories of funding, 8 points for new applicants in Category One, and 9 points for
new applicants in Category Two).
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 HUD4125, may serve as this required schedule, provided that it is
sufficiently detailed to demonstrate that you have clearly thought out your project
implementation. To receive full points in this subfactor, your application must
demonstrate that contracts can and will be awarded within 180 days form the date the
funds are available to the applicant.
(3 points for current ICDBG grantees in both categories, 8 points for new applicants
in Category One, and 9 points for new applicants in Category Two). The applicant
submitted a detailed project implementation plan that clearly specifies both tasks and
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submitted a detailed project implementation plan that clearly specifies both tasks and
timelines.
(2 points for current ICDBG grantees in both categories and 5 points for new
applicants in both categories). The applicant submitted a project implementation plan
that specifies both tasks and timelines, however the plan lacks detail.
(0 points for current ICDBG grantees or new applicants in both categories). The
applicant did not submit a project implementation schedule that addresses both tasks and
timelines.
c. Financial Management (2 points for current ICDBG grantees in both categories of
funding and 7 points for new applicants in both categories of funding). 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
Independent Public Accountant (IPA) that is dated within the past 12 months stating that
your financial management system complies with all applicable regulatory requirements.
If you are not required to have an audit in accordance with OMB Circular A-133, you will
automatically receive maximum points for this portion of the subfactor if you state this
fact and 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 in both
categories). The applicant clearly described how its financial management systems meet
the regulatory requirements cited above. 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 point for current ICDBG grantees and 4 points for new applicants in both
categories). 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 clearly
describe how its financial management system meets the regulatory requirements cited
above.
(0 points for current ICDBG grantees or new applicants in both categories). 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 regulatory requirements cited above.
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the regulatory requirements cited above.
d. Procurement and Contract Management (2 points for current ICDBG grantees
and 7 points for new applicants in both categories of funding). 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 in accordance with OMB Circular A-133, you will automatically
receive maximum points for this portion of the subfactor if you state this fact and 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 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 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 in both
categories). The applicant clearly described how its procurement and contract
management policies and procedures will meet the regulatory requirements cited above.
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 in both
categories). 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 regulatory requirements cited above.
(0 points for current ICDBG grantees or new applicants in both categories). 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.
2. Past Performance (19 points for current ICDBG grantees and 0 points for new
applicants in both categories of funding). HUD will evaluate your past performance in
accordance with regulatory requirements for any previous and related ONAP grant
programs, as specified below, for the following performance measures. Applicants are
not required to respond to the subfactors related to past performance unless information is
requested elsewhere in this rating factor.
a. Implementation and Expenditures (7 points for current ICDBG grantees and 0
points for new applicants in both categories of funding). For this subfactor,
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points for new applicants in both categories of funding). For this subfactor,
performance will be evaluated for all ICDBG grants that are open as of the application
due date.
(7 points in both categories). The applicant has met the timeframes established in the
HUD-approved implementation schedules, has met all performance goals of previous
ICDBGs, and has a remaining balance in the Line of Credit Control System (LOCCS) of
no more than 35 percent of total awarded amounts.
(5 points in both categories). The applicant has met the timeframes established in the
HUD-approved implementation schedule, has met the majority of all performance goals
of previous ICDBGs, and has a remaining balance in LOCCs of no more than 50 percent
of total awarded amounts.
(3 points in both categories). The applicant has met the timeframes established in the
HUD-approved implementation schedule, has met some performance goals of previous
ICDBGs, and has a remaining balance in LOCCs of no more than 70 percent of total
awarded amounts.
(0 points in both categories). The applicant has not met the timeframes established in
the HUD-approved implementation schedules, has not met performance goals of previous
ICDBGs, and has a remaining balance in LOCCs of more than 80 percent of total
awarded amounts.
b. Reports (3 points for current ICDBG grantees and 0 points for new applicants in
both categories of funding). Annual Status and Evaluation Reports (ASER) and Federal
Financial 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 Financial Reports
are due quarterly on April 30, July 30, October 30, and January 30. For this subfactor,
performance will be evaluated for all ICDBGs open during the rating period.
(3 points in both categories). The applicant has submitted both the ASER and Federal
Financial Reports for ICDBG programs within 15 calendar days of the report submission
deadlines.
(2 points in both categories). The applicant has submitted either the Federal Financial
Reports or the ASERs for ICDBG programs within 15 calendar days of the report
submission deadlines.
(0 points in both categories). The applicant has submitted neither of the required reports
within 15 calendar days of the report submission deadlines.
c. Close-outs (3 points for current ICDBG grantees and 0 points for new applicants
in both categories of funding). 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. For this subfactor, performance will be evaluated for all
ICDBGs that were closed during the rating period.
(3 points in both categories). The applicant submitted close-out documents to HUD in
accordance with the timeframe and criteria at 24 CFR 1003.508.
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(0 points in both categories). The applicant has not submitted close-out documents to
HUD as required by 24 CFR 1003.508.
d. Audits (3 points for current ICDBG grantees and 0 points for new applicants in
both categories of funding ). For this subfactor, HUD will review performance in the
ICDBG and IHBG programs.
(3 points in both categories). The applicant has submitted annual audits to the Federal
Audit Clearinghouse (FAC) for the last two audit periods in accordance with OMB
Circular A-133 and its compliance supplements, and within the required timeframe
(within 30 days after completion of the audit or 9 months after the fiscal year, whichever
is earlier), or if the applicant received an extension of the audit submission date, its audit
was received by the extended due date If an extension was received you must submit a
copy of the extension approval letter. 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, and explain why not, in order to
receive 3 points for this subfactor.
(0 points in both categories). The applicant did not submit annual audits to the FAC for
the last two audit periods in accordance with OMB Circular A-133 and its compliance
supplements. If the applicant received an extension of the audit submission date, the
FAC did not receive an audit by the extended due date, and/or the applicant did not
submit a copy of the extension approval letter with the application.
e. Findings (3 points for current ICDBG grantees and 0 points for new applicants in
both categories of funding). The applicant has resolved ICDBG and IHBG 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. For this subfactor, performance will be evaluated on all open
monitoring findings during the rating period.
(3 points in both categories). The applicant resolved open ICDBG and IHBG monitoring
findings and controlled audit findings by the established target date. The applicant will
receive 3 points if there were no open audit or ICDBG monitoring findings (current
grantees only).
(0 points in both categories). The applicant has not resolved open ICDBG and IHBG
monitoring findings and/or controlled audit findings by the established target date.
3. Unfunded Applicants (3 points for new applicants in Category One only). Points
are provided in this subfactor to applicants who have not received ICDBG awards in
recent years. It applies to the tribe, or the tribal organization on whose behalf the tribal
organization is submitting the application, not the subrecipient working on the project. If
a tribally designated housing entity received a grant on behalf of a tribe in recent years,
points will not be provided. This subfactor does not apply to Category Two projects as
Category Two funding is a new funding opportunity.
(3 points in Category One). Applicants who did not receive an ICDBG within the last
three NOFA application cycles will receive 3 points.
(2 points in Category One). Applicants who did not receive an ICDBG within the last
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two NOFA application cycles will receive 2 points.
(1 point in Category One). Applicants who did not receive an ICDBG within the last
NOFA application cycle will receive 1 point.
Rating Factor: 2: Need/Extent of the Problem
Maximum Points: 20
Need/Extent of the Problem (16 points in Category One and 17 points in Category
Two).
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 (4 points).
Category One (4 points).
This subfactor requests information on how and why the proposed project is critical to
the viability of the cultural, social and/or economic viability of the community. A viable
community is determined by the applicant but could be defined as one in which tribal
members wish to continue to reside or return to live.
(4 points). Your application includes quantitative information that demonstrates that the
proposed project meets an essential community development need and is critical to the
viability of the community.
(2 points). Your application includes quantitative documentation but it does not
demonstrate that the project meets both an essential community development need and is
critical to the viability of the community.
(0 points). Your application does not include quantitative documentation that
demonstrates that the proposed project meets either an essential community development
need or is critical to the viability of the community.
Category Two (8 points).
Applicants for Category Two funds for mold remediation and prevention must provide
third party evidence of mold in their tribally owned or operated housing units. The more
concrete evidence you provide of larger amounts of mold in your units, the more points
you will receive in this subfactor. The evidence must be provided by a person qualified
to make such a determination. You may be able to find persons qualified to make these
assessments in your area by contacting Indian Health Service, universities, or state or
county health offices, for example. You may also find healthy homes professionals by
searching the database of the National Environmenal Health Association at www.neha.org
/ ; credential/ HHS/, and click on the link for "Find a HHS Credential Holder in Your
Area."
You may submit photographs in .jpeg or .jpg format if mold is clearly visible in the units.
You may also submit questionnaires completed by occupants of the units in your housing
inventory as evidence of the presence of mold. You need not provide third party evidence
of mold in each and every unit that you propose to address but you should provide
information about the age and construction of the units. It is not recommended that you
conduct an air sample on the units due to the costs of such tests and the seasonal and daily
32 of 51
conduct an air sample on the units due to the costs of such tests and the seasonal and daily
variations in the results of such tests. If residents in your tribally owned or operated
housing units have been found ill due to the air quality of their units (such as asthma),
please include this in your application. If your tribe/TDHE was among those that
participated in HUD's assessment of mold in 2003-2005 and the issues causing the mold
have not yet been resolved, please state this in your application as well.
(8 points). The application provided concrete third party evidence of the presence of
mold (of more than 10 square feet) in at least 50 percent of the units in the tribe's
inventory.
(4 points). The application provided concrete third party evidence of mold (of more than
10 square feet) in at least 30 percent of the tribe's inventory.
(0 points). The application provided third party evidence of mold (of more than 10
square feet) in less than 30 percent of the tribe's housing inventory or did not provide
third party evidence of mold.
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 subfactor vary according to the type of project for
which you are applying.
a. Public Facilities and Improvement Projects (12 points)(Category One only).
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 recent
data available from the U.S. Census Bureau (see http://huduser.org) or you may submit
data that are unpublished, not generally available, and not older than the latest data
available from the U.S. Census Bureau. If you are submitting demographic data other
than that available from the U.S. Census Bureau your application must contain a
statement that all of 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.
Applicants proposing projects that will serve a limited clientele with incomes below 80
percent of the area median income (such as Head Start and Temporary Assistance for
Needy Families) will receive the full 12 points in this subfactor and do not have to submit
demographic information.
(12 points) At least 85 percent of the beneficiaries are low- and moderate-income.
33 of 51
(8 points) At least 75 percent but less than 85 percent of the beneficiaries are low- and
moderate-income.
(4 points) At least 55 percent but less than 75 percent of the beneficiaries are low- and
moderate-income.
(0 points) Less than 55 percent of the beneficiaries are low- and moderate-income.
b. Economic Development Projects (12 points)(Category One only).
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 as a result of the project. For persons served by the project, you must
submit the most recent data available from the U.S. Census Bureau (see http://huduser.org
) or you may submit data that are unpublished, not generally available, and not older than
the latest data available from the U.S. Census Bureau 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- and 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.
(12 points) At least 85 percent of the beneficiaries are low- and moderate-income.
(8 points) At least 75 percent but less than 85 percent of the beneficiaries are low- and
moderate-income.
(4 points) At least 55 percent but less than 75 percent of the beneficiaries are low- and
moderate-income.
(0 points) Less than 55 percent of the beneficiaries are low- and moderate-income.
c. Category One Projects for New Housing Construction, Housing Rehabilitation,
Housing Acquisition, Land Acquisition to Support New Housing, and
Homeownership Assistance Projects and Category Two Projects for Mold
Remediation (12 points).
The need for the housing proposed project is determined by utilizing data from the tribe’s
2014 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
below 80 percent of the median; overcrowded or without kitchen or plumbing; housing
cost burden greater than 50 perent of annual income, and housing shortage (number of
low income AIAN households less total number of NAHASDA and Formula Current
Assisted Stock). This amount has been computed for each tribe and posted in the “Factor
34 of 51
Assisted Stock). This amount has been computed for each tribe and posted in the “Factor
2 Needs Table” that is available in the zip file with the Application Instructions for the
ICDBG program at http://www.grants.gov/applicants/apply_for_grants.jsp .
(12 points) The dollar amount for the Indian tribe is $327 - $750 or the tribe’s total
FY2014 IHBG amount was $100,000 or less and the Needs Table indicates that the
Indian tribe has American Indian and Alaskan Natives (AIAN) households experiencing
income or housing problems.
(8 points) The dollar amount for the Indian tribe is $751 - $1,250.
(4 points) The dollar amount for the Indian tribe is $1,251 - $3,999.
(0 points) The dollar amount for the Indian tribe is $4,000 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)(Category One Only).
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-and
moderate-income and the majority of the jobs created or retained will be for low- and
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- and 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:
(12 points) All employees are low-and moderate-income.
(8 points) At least 75 percent but less than 100 percent of the employees are low-and
moderate-income.
(4 points) At least 50 percent but less than 75 percent of the employees are low-and
moderate-income.
(0 points) Less than 50 percent of the employees are low-and moderate-income.
Rating Factor 3: Soundness of Approach
Maximum Points: 33
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.
It also examines your ability and willingness to sustain your proposed project over time.
The populations that were described in Rating Factor 2 should be the same populations
that will receive the primary benefit of the proposed project. For Category Two projects,
the more comprehensive your mold remediation project, the more points you will
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receive.
1. Description of and Rationale for Proposed Project (10 points for Category One; 8
points for Category Two).
(10 points for Category One and 8 points for Category Two). The proposed project is
a feasible and cost effective approach to address the needs outlined under Rating Factor 2
of the 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 points under this factor, the application must demonstrate how
the community’s viability will be enhanced, as explained and presented in Rating Factors
2 and 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 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. For Category Two projects you
have included detailed plans to implement long term strategies to permanently remediate
mold in your tribally owned or operated units rather than short term interventions. You
are proposing to permanently address the source of moisture entering or dispersing in the
homes. In addition, you have identified construction materials and techniques known to
resist mold that you plan to use and the training and technical assistance you will seek to
educate staff about safe methods of assessing and remediating mold. You also have
developed a plan to educate occupants of the remediated units on ways to prevent mold
from reoccuring. To receive the full 10 points in this subfactor you must demonstrate for
both categories of funding that you will train and employ Section 3 residents and contract
with Section 3 business concerns unless doing so would be inconsistent with the
preference for Indians under section 7(b) of the Indian Self-Determination and Education
Assistance Act (25 U.S.C. 450(c(b)).
(7 points in Category One and 6 points in Category Two). The proposed project is a
feasible 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 description of the size, type, and location of the project, as well as a rationale for project
design. For land acquisition to support new housing projects, the applicant has
established that there is a reasonable ratio between the number of net usable acres to be
acquired and the number of low- and moderate-income households to benefit from this
project. The application (for construction of housing or a public facility building or
rehabilitation projects) does not include anticipated cost savings due to program design or
construction methods. For Category Two projects you propose to implement long term
strategies to remediate mold in your tribally owned or operated units and to address the
source of moisture entering or dispersing in the homes but did not include much detail.
You have identified the construction materials and techniques known to resist mold that
you plan to use but have not included much detail about training and technical assistance
you will seek to educate staff about safe methods of assessing and remediating mold.
Plans to educate occupants of the remediated units on ways to prevent mold from
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reoccuring are either not included or are vague.
(5 points in Category One and 4 points in Category Two). The proposed project is a
feasible 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 or construction methods. For
Category Two projects you proposed to implement long term strategies to remediate mold
and address the source of moisture entering the homes but did not include much detail.
You have not identified construction materials or techniques you plan to use or did not
identify training or technical assistance you plan to use to educate staff about mold
remediation. Nor have you developed a plan to educate occupants of the remediated units
on ways to prevent mold from reoccurring.
(0 points in both categories). The proposed project is not a feasible 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 or construction methods. For
Category Two projects, the application did not include any details about plans
to remediate or prevent mold from reoccurring.
2. Budget and Cost Estimates (9 points in Category One and 8 points in Category
Two).
The budget is thorough and reasonable, and all costs are documented. If you are applying
for both categories of funding you must submit two budgets, one for each category. In
addition, if you are proposing more than one project in Category One, you must include a
separate budget for each project.
(9 points in Category One and 8 points in Category Two). Cost estimates are
reasonable and broken down by line item for each proposed activity, including planning
and administration costs. A description of the qualifications of the person who prepared
the cost estimate is provided.
(5 points in Category One and 4 points in Category Two). Cost estimates are
reasonable but are not broken down by line item for each proposed activity, including
planning and administration costs. A description of the qualifications of the person who
prepared the cost estimate is not provided.
(0 points in both categories). Cost estimates are not provided.
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3. HUD NOFA Priorities (2 points in both categories). Your application addresses the
goals of “Promote Economic Development and Economic Resilience” and/or”Increase
Energy Efficiency and the Health and Safety of Homes”, two of HUD’s FY2014 policy
priorities, as described in Appendix A of the General Section
Applicants that propose projects to undertake activities to promote economic
development and economic resilience will receive one policy point. Applicants that
propose projects to increase energy efficiency and the health and safety of homes will
also receive one policy point.
a. To receive one point under the policy priority for promoting economic development
and economic resilience applicants must show how their proposed activities will (1)
create jobs for low income people, and estimate the number and types of jobs; (2) create
business opportunities for small and/or disadvantaged businesses; and or (3) create a flow
of investment of private and other public capital into (a) a small and disadvantaged
business or (b) nonprofit activiites serving low income people; and/or (4) any
combination of the above.
b. To receive one point under the policy priority for increasing energy efficiency and the
health and safety of homes, applicants must either meet a green building standard or a
renewable energy standard as described below.
1. Green Building Standard: The applicant commits to pursue a comprehensive,
industry-recognized green building standard and certification for green building, such as
the Enterprise Green Communities Criteria; the ICC 700 National Green Building
Standard; LEED ND, LEED-H, LEED-H Midrise, LEED-NC, or one of a number of
regionally-recognized green building standards such Earthcraft House, Earthcraft
Multifamily, Earth Advantage New Homes, Greenpoint Rated New Home, Greenpoint
Rated Existing Home (Whole House or Whole building label), or other
industry-recognized green building standard in HUD’s sole discretion. Additionally, the
applicant must later submit a certification of completion, and provide evidence that the
green building standard has been achieved.
2. Renewable Energy Standard: The applicant certifies that the proposed project will
incorporate renewable energy technologies such as on-site Solar Photovoltaic (PV) or
Solar Thermal Electric, as well as Landfill Gas, Wind Energy, Biomass, Geothermal
Electric, Combined Heat and Power, Municipal Solid Waste, Small Hydroelectric, Fuel
Cells using Renewable Fuels) in any federally assisted property receiving funds through
this NOFA.
3. Commitment to Sustain Activities (12 points in both categories of funding).
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 subfactor vary according to the type of project for which you are
applying.
a. Public Facilities and Improvement Projects (12 points)(Category One only).
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(12 points). If a tribe or an entity other than the tribe will have operation and
maintenance responsibilities for the public facilities and improvements, provide a written
statement that the tribe has adopted, or 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 or community buildings, 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. For infrastructure projects such as water lines, the operations and
maintenance plan need not provide for insurance or security.
(8 points). If a tribe or an entity other than the tribe will have operation and maintenance
responsibilities for the public facilities and improvements, provide a written statement
that the tribe has adopted, or the entity has developed, 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. For public facility or community buildings, 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.
(4 points). If a tribe or an entity other than the tribe will have operation and maintenance
responsibilities for the public facilities and improvements, the application includes a
written statement that the tribe has adopted, or the entity has developed, the operation and
maintenance plan and commits the necessary funds to provide for these responsibilities.
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). A satisfactory cost breakdown for annual expenses was not
included. Letters of commitment to provide services are included but they do not address
operating expenses and space needs.
(0 points). None of the above criteria is met.
b. New Housing Construction, Housing Rehabilitation, and Homeownership
Assistance Projects, Housing Acquisition, and Mold Remediation Projects (12
points in both categories of funding).
(12 points in both categories). The ongoing maintenance responsibilities are described
in detail for the tribe and/or the participants, as applicable. If the tribe or another entity is
assuming maintenance responsibilities, then the applicant must provide a commitment to
that effect.
(8 points in both categories). Maintenance responsibilities for the tribe and/or
participants are described but lack detail, and the commitment regarding maintenance
responsibilities of the tribe or another entity is submitted.
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responsibilities of the tribe or another entity is submitted.
(4 points in both categories). Maintenance responsibilities are mentioned but little
description is provided,or the description is inadequate or inappropriate.
(0 points in both categories). None of the above criteria is met.
c. Economic Development Projects (12 points)(Category One only).
In addition to information requested in the economic development threshold requirement
at Section III.C.3.c. of this NOFA, you must describe: how your project will operate; why
it is needed in your market/area; and how and why the project will succeed.
(12 points). All three components have been addressed and evidence is provided that the
project’s chance for financial success is excellent.
(8 points). Two of the above components have been addressed and evidence is provided
that theproject’s chance for financial success is reasonable.
(4 points). One of the above components has been addressed and evidence is provided
that the project’s chance for financial success is reasonable.
(0 points). None of the above components have been addressed.
d. Microenterprise Programs (12 points)(Category One only).
Your application must include 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. You must describe 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.
(12 points). All of the above information or documentation applicable to the proposed
project is thoroughly addressed in the application and evidence is provided that the
chance for success is excellent.
(8 points). All of the above information or documentation applicable to the proposed
project is addressed in the application but lacking in detail and evidence is provided that
the chance for success is reasonable.
(4 points) All of the above information or documentation applicable to the proposed
project is listed in the application but lacking in detail and evidence is provided that the
chance for success is marginal.
(0 points). None of the above criteria is met.
e. Land Acquisition Projects to Support New Housing (12 points)(Category One
only).
Applications 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 accessible for a
reasonable cost; access to utilities; vehicular access; drainage; nearby social and
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community services; and no known environmental problems.
(12 points). The application includes all of the above-mentioned site survey items and all
necessary infrastructure is in place.
(8 points). The application includes all of the above-mentioned site survey items;
however, all necessary infrastructure is not in place. A detailed description of resources
to be used and a detailed implementation schedule for development of all necessary
infrastructure indicates such infrastructure, as needed for proposed housing development,
will be developed in time for unit construction, but no later than two years after site
purchase.
(4 points). The application includes all of the above-mentioned site survey items,
however all infrastructure is not in place. A description of resources to be used and an
implementation schedule for the development of the necessary infrastructure in included,
however, it is not detailed and/or does not indicate that infrastructure will be in place no
later than two years after site purchase.
(0 points). None of the above criteria is met.
Rating Factor 4: Leveraging Resources
Maximum Points: 10
HUD believes that ICDBG funds can be used more effectively to benefit a larger number
of Native American and Alaska Native persons and communities if projects are developed
that use tribal resources and resources from other entities in conjunction with ICDBG
funds. To encourage this, HUD will award points based on the percentage of non-ICDBG
resources provided relative to project costs as follows:
Non-ICDBG Resources to Project Costs Points
Category One / Category Two
Less than 4 percent 0 0
At least 4 percent but less than 11 percent 2 2
At least 11 percent but less than 18 percent 4 4
At least 18 percent but less than 25 percent 6 6
25 percent or more 8 8
30 percent or more (Category Two Only) N/A 10
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
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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 Appendices A and E of 2 CFR Part 225; 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 date 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 a firm commitment or provide HUD with an amended application
that meets criteria at 24 CFR 1003.305, within six months of the date of grant approval,
HUD will recapture the grant funds approved and will use them in accordance with the
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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
Maximum Points: 10
This factor addresses the extent to which your project planning and proposed
implementation reflect a coordinated, community-based process of identifying and
addressing needs of your tribal community. If your community has developed a
comprehensive plan to improve the viability of the community, the project(s) should fit
into that plan. This factor also examines the level of support for the project(s) from tribal
organizations and departments that are not providing direct financial support for the
project(s).
The application should describe the project’s specific and quantifiable outputs, outcomes,
and goals for enhancing community viability. The application should also indicate how it
will measure and evaluate progress toward meeting the goals. Applicants that are funded
will be required to report on the proposed outcomes and outputs as spelled out in Section
VI.C.1.b. of this NOFA.
1. Coordination (2 points in both categories of funding). The application addresses
the extent to which you intend to use ICDBG as a catalyst for coordination with other
organizations and/or tribal departments that are not providing direct financial support to
your proposed work activities and with whom you are working to meet objectives in a
holistic and comprehensive manner.
(2 points). Partnering organizations that will not be providing leveraged resources to the
project have been identified and the nature of the coordination has been described.
(0 points). The application did not identify partnering organizations or did not describe
the nature of the coordination efforts.
2. Outputs and, Outcomes (up to 8 points in both categories of funding). The extent
to which your application includes quantifiable outputs and, outcomes for your project(s)
that enhance community viability. If your application is funded you will be required to
report on these.
Depending on the type of project(s) proposed and HUD policy priority chosen, outputs
could include:
Number of housing units rehabilitated;
Number of units in which mold has been remediated;
Number of units in whcih mold prevention activities have been conducted;
Number of jobs created;
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Number of housing units constructed;
Number of community facilities built;
Dollars invested;
Square feet for any public facility;
Number of education or job training opportunities provided;
Number of homeownership units constructed or financed;
Number of businesses supported (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; \
Number of persons assisted; or
Linear feet of infrastructure.
You may also include other outputs applicable to your project(s).
Depending on the type of project(s) proposed, outcomes could include:
Reduction in the number of families living in substandard housing;
Reduction in the number of individuals with health-related illnesses resulting from
mold in their housing units;
Reduction in overcrowding;
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;
Units connected to gas, phone or electric lines/roads/water/sewer;
Accessibility for disabled persons; or
Improved energy efficiency.
You may also include other outputs applicable to your project(s).
(8 points). The application included quantifiable outputs and outcomes for the proposed
activity that enhance community viability.
(4 points). The application included quantifiable outputs, but not outcomes, or vice
versa. Or the application submitted both but neither was quantifiable.
(0 points). The application did not address outputs or outcomes.
A.2. NOFA Priorities.
HUD Policy Priorities are included in Rating Factor 3, Subfactor 3 above.
A.3. Bonus Points
HUD encourages activities in communities with Preferred Sustainability Status (PSS)
and/or Promise Zones (PZ). HUD will award two (2) points for qualified activities
supporting either designation or both. In no case will HUD award more than two bonus
points for these activities. The criteria and documentation that must be provided to receive
these points are detailed in Section V of the General Section. These points will be
considered only if the application meets or exceeds the Program's minimum fundable score
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considered only if the application meets or exceeds the Program's minimum fundable score
based on the rating factors of this NOFA.
B. Reviews and Selection Process.
1. Application Selection Process. 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 Category One
Single Purpose grants. HUD Headquarters will screen applications for Category Two
applications. Applications that fail this screening will be rejected. 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; and
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 data
prepared by the U.S. Census Bureau (and posted at http://www.huduser.org) if the data you
submitted does not meet this screening requirement. For housing activities, all
ICDBG-assisted units must be occupied by low- and moderate-income households in
accordance with 24 CFR 1003.208(c).
3. Threshold Compliance. ONAP will review each application that passes the screening
process to ensure that each applicant and each proposed project meets the submission
thresholds in Section III.C.2. and C.3. of the General Section and the program and
project-related thresholds listed in Section III.C. of this NOFA, and 24 CFR 1003.301(a)
and 1003.302.
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 Category One project that meets the
acceptance criteria and threshold requirements. Category Two projects will be reviewed
and rated by a team at HUD Headquarters in one national competition. After the
applications are rated, a review of all applications will be conducted to ensure consistency
in the application rating. The review of Category One applications will be performed by
either the Grants Management Director (or designee) or by a panel composed of up to three
staff members. Category Two projects will be reviewed by the Grants Management
Director at HUD headquarters.
6. Minimum Points. To be considered for funding, your application under both categories
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of funding must receive a minimum of 15 points under Rating Factor 1 and an application
score of 70 points.
7. Ranking. All Category One applications will be ranked against each other according to
the point totals they receive by the Area ONAP, 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. Category Two projects will be ranked by a team at
HUD Headquarters in one national competition.
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 for 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.
When rating results in a tie among Category Two projects, funds wil be awarded to all tied
applicants if each award will permit the applicant to resolve the source of moisture
and remediate mold in at least half of the units owned and operated by the applicant.
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.2. for information on curing deficiencies.
b. Pre-award Requirements. Successful applicants may be required to provide supporting
documentation concerning the management, maintenance, operation, or financing of
proposed projects before a grant agreement can be executed. Such documentation may
include additional specifications on the scope, magnitude, timing or method of
implementing the project; or information to verify the commitment of other resources
required to complete, operate, or maintain the proposed project. HUD will notify applicants
by facsimile or via the U.S. Postal Service, return receipt requested. Applicants will be
provided fourteen (14) 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
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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. Agency Errors. 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.
C. Anticipated Announcement and Award Dates.
HUD expects to announce awards by September 30, 2014.
VI. Award Administration Information.
A. Award Notices.
As soon as rating and ranking are completed, the applicant has complied with any
pre-award requirements, and HUD’s Office of the Assistant Secretary for Congressional
and Intergovernmental Relations has notified the Appropriations Committees and applicable
members of Congress, 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.
Certain Administrative and National Policy Requirements apply to all HUD programs,
including this NOFA. For a complete list of these requirements, see Section VI.B. of the
General Section.
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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. 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.
b. 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.
c. Compliance with the Federal Funding Accountability and Transparency Act of 2006
(Pub. L. 109-282) (Transparency Act), as amended. Prime Grant Awardee Reporting.
Prime recipients of the Department’s financial assistance are required to report certain
subawards in the Federal Funding Accountability and Transparency Act Subaward System
(FSRS) website located at www.fsrs.gov or its successor system for all prime awards listed
on the FSRS website. Starting with awards made October 1, 2010, prime financial
assistance awardees receiving funds directly from the Department were required to report
subawards and executive compensation information both for the prime award and subaward
recipients, including awards made as pass-through awards or awards to vendors, if the
initial prime grant award is $25,000 or greater, or the cumulative prime grant award will be
$25,000 or greater if funded incrementally as directed by HUD in accordance with OMB
guidance; and the subaward is $25,000 or greater, or the cumulative subaward will be
$25,000 or greater. For reportable subawards, if executive compensation reporting is
required and subaward recipients’ executive compensation is reported through the SAM
system, the prime recipient is not required to report this information. The reporting of
award and subaward information is in accordance with the requirements of the
Transparency Act, as amended by section 6202 of Public Law 110-252, and OMB Guidance
issued to the Federal agencies on September 14, 2010 (75 FR 55669) and in OMB Policy
guidance. Please refer to https://www.fsrs.gov/ for complete information on requirements
under the Transparency Act and OMB guidance.
d. Compliance with Section 872 of the Duncan Hunter National Defense Authorization
Act for Fiscal Year 2009 (Pub. L. 110-417), hereafter referred to as “Section 872”. See
Section III.C.4.w. of the General Section. Section 872 requires the establishment of a
government-wide data system – the Federal Awardee Performance and Integrity
Information System (FAPIIS) - to contain information related to the integrity and
performance of entities awarded federal financial assistance and making use of the
information by federal officials in making awards. OMB is in the process of issuing
regulations regarding federal agency implementation of section 872 requirements. A
technical correction to the General Section may be issued when such regulations are
promulgated.
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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 (2 CFR Part 225 and Appendix A); OMB Circular A-122, Cost Principles for
Nonprofit Organizations (2 CFR Part 230); 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 the Executive Office of the
President 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). Electronic copies of the OMB circulars are located at
www.whitehouse.gov/omb/circulars_default . Individuals with speech or hearing
impairments may access this number by dialing (800) 877-8339 (toll-free TTY Federal
Relay Service).
OMB recently published Guidance for Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards which would supersede the
Circulars listed here. HUD is implementing regulations in accordance with the guidance and
expects the new regulations will become effective December 26, 2014. FY 2014 grantees
will be required to comply with the HUD implementing regulations when they become
effective, but shall not use them before the effective date.
3. Program Requirements.
a. Remediation Training. If you receive a grant under Category Two you will be required
to participate in webinars and/or live meetings about mold remediation and prevention
offered by ONAP, HUD's Office of Healthy Homes and Lead Hazard Control, and other
federal agencies prior to the implementation of your mold remediation work.
b. Cooperation with Related Research and Evaluation. If you receive a grant under
Category Two you must cooperate fully with any research and evaluation sponsored by
HUD including preservation of project data and records and compiling requested
information in formats provided by the researchers, evaluators or HUD. The assessment
will most likely include questions on housing characteristics, housing conditions, occupancy
characteristics, mold characteristics, prevention, remediation, and follow-up. Participant
data shall be subject to the Privacy Rule of Health Insurance Portability and Accountability
Act of 1996 (HIPAA). HIPAA and the Privacy Rule can be found at http://www.hhs.gov
/ocr/hipaa. For the programs in this NOFA, HUD does not expect research to be conducted
that could affect human subjects.
C. Reporting.
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C. Reporting.
Please refer to Section VI of the General Section for a description of the general reporting
requirements applicable to this NOFA.
1. Post-Award Reporting Requirements.
a. Quarterly Financial Reports. ICDBG recipients must submit to the Area ONAP a
quarterly SF425, Federal_Financial_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 progress made in completing approved activities (including progress made on
proposed outputs and outcomes), a list of work remaining, and with a revised
implementation schedule, if necessary;
(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. If you receive a Category Two grant you will be required to
provide evidence that the mold you requested funds to remediate has in fact been
remediated and the source of the moisture entering or being dispersed in the building
has been addressed.
c. Minority Business Enterprise Report. Recipients must submit this report on contract
and subcontract activity by October 10 of each fiscal year.
d. Close-out report. A close-out report must be submitted by the recipient within 90 days
of completion of grant activities. The report consists of the final Federal Financial Report
(SF425), the final Status and Evaluation Report, 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).
HUD staff will be available to provide clarification on the content of this NOFA. Please
note that HUD staff cannot assist applicants in preparing their applications.
Questions regarding specific program requirements should be directed to the point of
contact listed below.
A. General Questions. You should direct general program questions to the Area ONAP
serving your area. A contact list for each Area ONAP can be accessed at http://www.hud
.gov/offices/pih/ih/codetalk/onap/map/nationalmap.cfm
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
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are made, HUD staff is available to assist in clarifying or confirming information that is a
prerequisite to the offer of an award.
Questions concerning the General Section should be directed to the Office of Strategic
Planning and Management, Grants Management and Oversight Division at 202-708-0667
(this is not a toll-free number).
Persons with hearing or speech impairments may access these numbers via TTY by calling
the toll-free Federal Relay Service at 800-877-8339.
VIII. Other Information.
HUD is required to comply with the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). This Act governs the collection of information from the public including
responses to this NOFA. HUD may not collect this information, and you are not required to
complete these forms unless they display current, valid OMB control number(s). The
results of this collection will not be published or be used for statistical purposes.
[FR-5800-N-10]
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| File Type | application/pdf |
| File Modified | 2014-06-13 |
| File Created | 2014-06-02 |