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U.S. Department of Housing and Urban Development
Community Planning and Development

National Disaster Resilience Competition
FR-5800-N-29

Signature Date

National Disaster Resilience Competition
FR-5800-N-29

TABLE OF CONTENTS

Overview

I. Funding Opportunity Description.

II. Award Information.

III. Eligibility Information.

1. Eligible Applicants.

2. Cost Sharing or Matching.

3. Other - (if applicable).

IV. Application and Submission Information.

1. Obtaining an Application Package.

2. Content and Form of Application Submission.

3. Application Submission Dates and Times.

4. Intergovernmental Review.

5. Funding Restrictions.

6. Other Submission Requirements.

V. Application Review Information.

1. Review Criteria.

2. Review and Selection Process.

3. Anticipated Announcement and Award Dates.

VI. Award Administration Information.

1. Award Notices.

2. Administrative and National Policy Requirements.

3. Reporting.

7. Agency Contact(s).

8. Other Information.

U.S. Department of Housing and Urban Development

Program Office: Funding Opportunity Title: Announcement Type: Funding Opportunity Number: Primary CFDA Number: Due Date for Applications:

Community Planning and Development National Disaster Resilience Competition Initial FR-5800-N-29 14.272 [Insert 180 days from date of publication]

Today’s publication provides information and instructions for the CDBG-NDR competition, Phases 1 and 2. The requirements for applicants are to be found in this Notice of Funding Availability (NOFA) and in those General Section to HUD’s FY2014 NOFAs for Discretionary Programs expressly incorporated. HUD will award CDBG-NDR funds at the end of Phase 2. All awarded funds shall assist eligible CDBG-NDR activities.

Through today’s publication, HUD is making available approximately $1 billion in assistance, covering both phases of the competition.

Additional Overview Information:

1. On February 19, 2014, HUD published a General Section to the Department’s fiscal year 2014 NOFAs for Discretionary Programs. The General Section contains requirements for applicants to HUD’s competitive grant programs. However, many of these requirements are duplicative of regulations governing the Community Development Block Grant program, which apply to the use of CDBG-NDR grants unless modified by a waiver or alternative requirement. For ease of administration, HUD has expressly incorporated only those portions of the General Section relevant to the competitive award of funds. Applicants must meet all of the applicable requirements of the General Section in addition to the requirements of this NOFA to be considered and to receive funding. HUD hereby incorporates and makes applicable only those requirements of the General Section and the Technical Correction to the General Section expressly listed and made applicable in paragraph

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. The Technical Correction to HUD’s Notice General Section to the Department's Fiscal Year 2014 NOFAs for Discretionary Programs is available at http://portal.hud.gov/hudportal/documents/huddoc?id=2014-gensec-tc.pdf .

2. Applicable Requirements of the General Section (as modified by the Technical Correction to the General Section).

Only the following requirements of the General Section (as modified by the Technical Correction) apply, as may be modified or supplemented by this NOFA. Other requirements of the General Section are superseded by the requirements applicable to the use of Community Development Block Grant funds as modified by waivers and alternative requirements applicable to Public Law 113-2.

III. Eligibility Information (specified subsections only).

1. Registration in SAM prior to application submission.

C. Other Requirements and Procedures Applicable to All Programs (specified subsections only).

1. Statutory and Regulatory Requirements.

2. Threshold Requirements (specified subsections only).

   1. Ineligible Applicants. Applicants must satisfy only those threshold requirements identified in this NOFA.

   2. Resolution of Civil Rights Matters.

4. Other Requirements (specified subsections only).

a. Outstanding Federal Debts.

d. False Statements.

e. Do Not Pay Website Review.

f. Code of Conduct.

h. Conflicts of Interest.

VI. Application and Submission Requirements (incorporated in its entirety).

V. Application Review Information (specified subsections only).

C. Reviews and Selection Process.

1. Threshold Requirements.

2. Corrections to Deficient Applications.

3. Rating Panels.

4. Rating.

5. Ranking.

6. Selection for Funding.

VI. Award Administration Information (specified subsections only).

1. Award Notices (specified subsections only).

1. Negotiation.

2. Adjustments to Funding.

3. Funding Errors.

4. Performance and Compliance Actions of Funding Recipients.

2. Administrative and National Policy Requirements (specified subsections only).

2. Equal Access to HUD-assisted or HUD-insured Housing.

5. Procurement of Recovered Materials.

8. OMB Administrative Requirements and Cost Principles.

11. Compliance with the Federal Funding Accountability and Transparency Act of 2006 (Pub. L.109-282) (Transparency Act), as amended.

12. Compliance with Section 872 of the Duncan Hunter National Defense Authorization Act for Fiscal Year 2009 (Pub. L. 110-417), (Section 872).

VIII. Other Information (specified subsections only).

C. Executive Orders and Congressional Intent (Executive Order 13132, Federalism).

D. Section 102 of the HUD Reform Act.

E. Section 103 of the HUD Reform Act.

OMB Approval Number(s): pending

I. Funding Opportunity Description.

A. Program Description and Requirements.

A. Community Development Block Grant – Disaster Recovery – Summary: This NOFA will award supplemental disaster recovery CDBG funds competitively for resilient recovery activities. The Disaster Relief Appropriations Act, 2013 (PL 113-2) included funds for disaster recovery from major disasters declared under the Stafford Act (42 U.S.C. 4121 et seq.) in 2011, 2012, and 2013. HUD has not previously allocated such funds competitively, instead employing Federal agency data available for all eligible jurisdictions to allocate funds applying formula methods. At this time, HUD has allocated approximately $14 billion, by formula and to Rebuild by Design projects, and has determined that the data available for the earliest disasters, in particular, does not credibly represent additional current unmet needs (beyond those for which HUD has already allocated funding by formula) to support such a formula allocation method for the remaining funding. No other reasonably current data sources common to all possible eligible jurisdictions exist. Because the law directs that CDBG-DR assistance must flow to the most impacted and distressed areas with unmet recovery and revitalization needs related to the effects of a

covered major disaster, HUD decided that a competition framework would work best to elicit the data needed to inform allocation choices and ensure that the unmet disaster recovery and revitalization needs of communities around the country are appropriately considered.

HUD has six goals for this competition. First, to fairly allocate remaining PL 113-2 CDBG disaster recovery funds. Second, to create multiple examples of local disaster recovery planning that applies science-based and forward-looking risk analysis to address recovery, resilience, and revitalization needs. Third, to leave a legacy of institutionalizing in as many states and local jurisdictions as possible the implementation of thoughtful, innovative, and resilient approaches to addressing future risks. Fourth, to provide resources to help communities plan and implement disaster recovery that makes them more resilient to future threats or hazards, including extreme weather events and climate change, while also improving quality of life for existing residents and making communities more resilient to economic stresses or other shocks. Fifth, to fully inform and engage community stakeholders about the current and projected impacts of climate change and to develop pathways to resilience based on sound science. Sixth, to leverage investments from the philanthropic community to help communities define problems, set policy goals, explore options, and craft solutions to inform their own local and regional resilient recovery strategies. As with all CDBG assistance, the priority is on serving low- and moderate-income people.

This CDBG-NDR competition bears some similarities to other federal programs that address disaster recovery and threat and hazard mitigation. This similarity (and the distinctions noted below) is deliberate. The similarity allows states and local governments to invest CDBG-NDR funds to support or fill gaps to address unmet needs inaccessible or unaffordable to other federal programs, and for which insurance and state, local, and other resources are unavailable. In addition, any similarity in program structure will enable lessons learned from this competition to potentially be transferable to other federal programs. The distinctions, on the other hand, spring from the CDBG nature of the funding source, as directed in the Congressional appropriation. Among major disaster recovery programs, CDBG is notable in its statutory focus on determining and meeting the unmet needs of vulnerable lower-income people and communities and targeting the most impacted and distressed areas. CDBG is also singular in its ability to consider a wide range of local community development objectives related to recovery and economic revitalization, including integrally related resilience objectives. HUD intends that the most successful proposals in this competition will take advantage of these CDBG similarities and distinctions to envision and implement recovery projects that serve multiple purposes and position recovering communities for a prosperous and more resilient future. To ensure programs harmonize and do not duplicate benefits, HUD is requiring all applicants to describe how they consult with or coordinate with funders of other proposed recovery and resilience investments in the most impacted and distressed target area and region. The CDBG context also leads naturally to requiring resilience elements within recovery projects because it creates stability. Reducing current and future risk is essential to the long-term economic well-being of communities and businesses. When a disaster chills local and regional economies, investments in anchor projects to reduce risk and stimulate economic revitalization can be an essential part of any disaster recovery.

Why should you apply for this competition? One of the key lessons of the Rebuild by Design Process is that, when federal, state, local and philanthropic goals align, community capacity and innovation can leapfrog forward. HUD is confident that every state and local government honestly and wholeheartedly participating in the risk and idea framing process in Phase 1 will benefit from the effort and emerge with a better understanding of the risks it faces today and in the future, what resilience issues to consider in making major public investments, and how to enhance resilience to extreme events and climate change.

In an effort to be independent but supportive of the National Disaster Resilience Competition, the Rockefeller Foundation plans to convene resilience workshops around the country that will offer to every state and eligible local government applicant, a wide range of information and expertise to help communities understand resilience; and identify their various threats, hazards, economic stresses and other potential shocks, including those resulting from climate change. The resilience workshops will offer eligible applicants tools and concepts that will help them identify and assess their situation, engage with

their communities, choose resilience building opportunities, and respond to this NOFA. The Rockefeller Foundation’s philanthropic and intellectual investments aim to help poor and vulnerable people by increasing the resilience of communities. The Foundation does this by helping people and communities prepare for, withstand, and emerge stronger from acute shocks and chronic stresses. The Rockefeller Foundation—and any other philanthropic organizations that might become involved—is independent and not under HUD’s direction. The Rockefeller Foundation will not represent HUD and cannot give technical answers about how to respond to the NOFA. HUD can and will provide that information to potential applicants. HUD saw throughout our Rebuild by Design competition the value of combining philanthropic, government, and other community resources to better plan for resilient projects. Information about the Rebuild by Design process and innovative design proposals is available at www.rebuildbydesign.org.

Throughout the competition, applicants are urged to integrate environmental planning into the overall effort to the fullest extent possible. One of the cornerstones of the statutorily required environmental review process is public input. With attention, effective public input in Phase 1 and Phase 2 can contribute to the fulfillment of an applicant’s environmental review, including environmental justice responsibilities. Applicants should also be aware that, to the extent Federal agencies may be involved in the environmental or historic preservation reviews for their proposed project, such as when other Federal funding would be combined with CDBG funding, applicants should look to engage these Federal agencies to coordinate these reviews under the Unified Federal Review (UFR) process. The UFR process is a recently established interagency effort to unify and expedite reviews for disaster recovery projects and HUD Responsible Entities are encouraged to participate in this coordination effort. Further, the required benefit-cost analysis (BCA) for Covered Projects (see Appendix H) both informs and is informed by the environmental review. Any Applicant considering a project in the waters of the United States (see http://water.epa.gov/lawsregs/guidance/wetlands/CWAwaters.cfm for further details on applicability) is strongly encouraged to conduct a permit pre-application meeting with the US Army Corps of Engineers prior to submitting a project proposal to it as part of the environmental permitting process. Integrating competition planning, environmental review, and the BCA requirements into consultation and input efforts will result in a better plan, faster completion of environmental review post-award, and a BCA more informed by all stakeholders.

Introduction: The NOFA provides an overview of the competition process, including a brief timeline of when HUD intends to make awards. This is followed by a summary of the competition details, and then by the rating and ranking factors for Phases 1 and 2. Appendices provide additional details and instructions for applicants, as follows:

Appendix A – Program and Post-Award Requirements (requirement) Appendix B – List of Qualified Counties (informational) Appendix C – Phase 1 and Phase 2 Partner Letter (sample) Appendix D – Phase 2 Partner Agreement Terms (requirement) Appendix E – Phase 2 Instructions for Requesting Waivers (requirement)

Appendix F – Phase 1 and Phase 2 Certifications (requirement)

Appendix G – Phase 1 and Phase 2 Most Impacted and Distressed and Unmet Recovery Needs Criteria and Instructions (requirement)

Appendix H – Phase 2 Benefit-Cost Analysis Guidance for Covered Projects (guidance)

Appendix I –Phase 1 and Phase 2 Consultation Summary (requirement)

Appendix J – Phase 1 and Phase 2 Crosswalk Checklist (Table of Contents) (required submission)

A Two-Phase Competition

Too often when designing a project to meet one exigent disaster recovery need, such as a damaged or destroyed sewer system, a community fails to consider other important needs the project could meet, or purposes it could serve. This is in part due to the rushed nature of disaster response and recovery, but also because too few community planning models exist to properly frame all the issues a project can and needs to solve. While your application must demonstrate a logical link to addressing Unmet Recovery Needs from the past disaster (also known as the “tie-back to the Qualified Disaster”), this NOFA instructs an Applicant to consider the full range of its community development objectives, and to design CDBG-DR projects to function well through reasonably foreseeable future conditions, including those related to climate change. Grantees are encouraged not to rebuild to meet past needs or threats, but to design recovery projects to create a more vital, resilient community for the present and future, taking into consideration changing threats and hazards, including those due to climate change. Moreover, particular emphasis should be given to the current and anticipated needs of vulnerable populations. The goal is to have projects that allow a community to withstand and recover more quickly from all future extreme events, shocks, or stresses.

Designing projects without putting substantial thought and effort into framing the complete range of unmet needs may lead to ineffective or wasteful use of scarce resources. Designing recovery solutions to be resilient only for threats and hazards related to the past disaster can leave a community vulnerable to negative effects from future extreme events related to other threats or hazards. When all risks are identified among other vulnerabilities during the project framing and design, project implementation can enhance protection and save lives, maximize the utility of scarce resources, and revitalize the community long after the recovery projects themselves are complete.

HUD will use Applicant responses to the Phase 1 factors (including a long-term commitment under Factor 5) to select evidence-driven proposals best positioned to result in effective, innovative and compliant resilient recovery projects. At the end of Phase 2, HUD will select projects that best achieve the goals of the competition. Note that in rating Phase 2 submissions, HUD will provide more points to applications from communities that commit to or demonstrate taking actions to improve long-term community resilience. In addition, HUD will only invite an applicant to Phase 2 if it has at least committed to taking a permanent resilience-enhancing action.

Human understanding of complex problems often benefits from iterative thinking, in which a basic initial understanding grows as additional viewpoints or aspects are considered. Few problems confront us with more complexity than the effects of past, present, and future disasters on the interdependent physical, social, and economic aspects of human settlements and their greater surrounding environments, especially when that greater environment is changing. This competition is structured iteratively to guide each applicant through broad consideration in Phase 1 and reconsideration at a more granular level of detail in Phase 2 of its disaster recovery needs, vulnerabilities, stakeholder interests, resilience and other community development objectives, and investment alternatives.

Further, communities do not stand alone. A disaster affecting one community affects its neighbors. Frequently, vulnerabilities for flooding, storms, and fires have regional risks and solutions. Protecting a community from threats and hazards often requires cooperation with neighboring jurisdictions, not just during response, but also throughout the protection, prevention, mitigation, and recovery, as well as through revitalization, maintenance, and evaluation process.

Standing at the beginning of Phase 1, 180 days for Phase 1 may seem like a long time. Experience tells us this is barely enough time for gathering partners, conducting the required analysis, identifying and consulting with stakeholders, agreeing on an idea, making a commitment, drafting competition narratives and other responses, and carrying out the required citizen participation on the draft materials before submitting the application. Even a community that has already embarked on this work is likely to find the timeframe challenging.

Without the framing effort in Phase 1, 120 days for Phase 2 would be an impossibly short time for you to come up with and propose a specific major disaster recovery project and agree to enter into the long-term commitments expected of the highest scoring applications under this NOFA. Building on the work of Phase 1, applicants invited into Phase 2 will have fewer than 90 days to draw a compelling project and commitments out of their Phase 1 work, publish a draft submission to meet the required citizen-participation-before-submission-to-HUD that is a CDBG hallmark, and prepare a summary of comments before submitting the application to HUD for scoring.

You will begin your application considering the Unmet Recovery Needs in your most impacted and distressed areas. As you work through responses to the competition factors, you will need to not only consider that area’s needs, and existing and desired level of resilience, you will be asked to consider interdependency on a wider scale, and how regional needs and objectives and vulnerabilities can also be met.

Phase 1: Framing Unmet Recovery Needs, Vulnerabilities and Community Development Objectives.

To prepare to respond to the rating factors in Phase 1 (the framing phase) of this National Disaster Resilience Competition, an applicant must first consult with stakeholders, and comprehensively frame the recovery needs, relevant risks and vulnerabilities (current and future), and related community development opportunities in its target geographic area. Every fundable application must first demonstrate a logical link, or tie-back, to addressing Unmet Recovery Needs stemming from the effects of the community’s presidentially declared major disaster from 2011, 2012, or 2013. The other objectives, needs, or issues a project would address will be unique to the Applicant’s community. For example, a community that suffered a flood might want to offer flood buyouts and property acquisition in the most impacted and distressed areas, followed by restoration of a wetland to limit future flooding and provide a nature preserve or recreation area. A community that lost housing and a road during a mudslide might not only want to construct housing in a safer area for survivors but also to find a financing mechanism for affected downstream businesses to survive the effects of the last event and be prepared for and recover more quickly from future hazards. Once the community has framed the recovery need(s), identified current and future risks and vulnerabilities and noted community development opportunities, the applicant will identify and seek commitments from the public and private partners it needs to develop and implement a solution, and develop a high level implementation idea. The applicant’s responses in Phase 1 will describe this framing process and its results, identify the partners and other resources, and describe the resulting resilient recovery concept or idea.

Phase 2: From Framing to Implementation. In the second phase of the competition (the implementation phase), the highest scoring applicants from the first phase will be invited to fully articulate a resilience-enhancing disaster recovery or revitalization project or program that addresses as many of the Phase 1 identified risks, vulnerabilities, and community development opportunities as feasible and compete for implementation funding. The best projects will demonstrate how the proposal or project will help the community recover from the effects of the covered disaster, advance community development objectives such as economic revitalization AND improve the community’s ability to absorb or rapidly recover from the effects of a future extreme event, stress, threat, hazard, or other shocks. The proposed Phase 2 project may be a pilot for the overall Phase 1 solution, may be limited to the CDBG-NDR-eligible portion of a Phase 1 concept that would benefit a larger geography than the most impacted and distressed target area, or a stand-alone portion of a project envisaged in Phase 1 that may take years or decades to completely realize. In any case, the Phase 2 project must not be contingent on actions outside the scope of the project to provide a defined level of protection against the threat(s) and hazard(s) identified, meet a CDBG-NDR national objective, or comply with requirements of this NOFA, including Appendix A. The applicant will be asked to explain how the Phase 2 proposal arises logically from the Phase 1 framing.

In Phase 2, each applicant will complete a benefit-cost analysis for any Covered Project(s). Although the

required completion of a BCA is new to CDBG-DR, Rebuild By Design competitors completed BCAs and the analysis process helped improve the final proposals. FEMA and DOT also employ BCAs in reviewing applications for major projects, and cost efficiency analysis is employed in reviews of environmental impact and consideration of alternatives. This CDBG-NDR BCA will provide a sense of the cost

efficiency of the proposal, but the BCA score will not be used alone to determine soundness of approach. HUD recognizes that the benefits and costs may be difficult or impossible to comprehensively quantify, but, regardless of a proposed project’s scale, HUD will not fund any Phase 2 activities for which the benefits to the applicant’s community and to the United States as a whole are not demonstrated by the evidence submitted to justify the costs. Appendix H provides guidance on completing an acceptable BCA. Note that quantifying or otherwise accounting for social and ecological benefits and costs is a critical component, as is consideration of all related resources, including leverage.

Some of the resources provided to CDBG grantees to support completion of the environmental reviews required under 24 CFR part 58 may also be useful sources of information for a benefit-cost analysis. Consideration of these resources at an early stage may help speed the required environmental reviews. Applicants are strongly encouraged to integrate general and project planning with the environmental review process, and should coordinate these reviews under the Unified Federal Review (UFR) process, where possible and as appropriate. The applicant can use public outreach meetings not only to seek Phase 1 planning input and Phase 2 project comments or to meet the consultation requirement of this NOFA, but also to inform the public about environmental effects of different design approaches or of a proposed project and its alternatives. Examples of required outreach include scoping for NEPA, floodplains 8-step decision-making, and consultation for section 106 of the National Historic Preservation Act. The applicant should have an engagement plan that includes strategies to ensure that vulnerable and underserved populations are involved in the planning and decision-making processes. This informs decision-makers of the widest possible range of needs and options. Meaningful engagement and participation ensures the highest probability of success for all stakeholders.

In both phases, HUD is requiring thoughtful, evidence-based practice, incorporating consideration of the latest findings regarding the range of possible effects of climate change and other risks on the target geography during the useful life of any proposed project. Many of the communities eligible to apply have already been subject to repetitive or increasingly severe disaster events and their community and regional plans, built environment, building codes, and design/construction practices may not yet have adjusted to enhance community resilience to expected threat(s) and hazard(s) based on the best available data and science. Planning for an investment in a structure or improvement intended to endure and remain in service through its useful life must involve detailed consideration of the context in which the structure will be placed: the expected intensity and frequency of wind, rain, fire, flooding, snowloads, earthquake, drought conditions, and effects of climate change, for example and as relevant, should all influence community investment and policy decisions.

States and local governments are strongly encouraged to take or commit to resilience-enhancing actions to

protect their communities from threat(s) and hazard(s), as well as to ensure the useful life of their projects

under changing conditions, including future risk caused by climate change. Taking or committing to

actions will enhance the competitiveness of Phase 1 and 2 proposals. HUD will only invite an applicant to

Phase 2 if it has at least committed to taking a permanent resilience-enhancing action, and HUD will

award points in Phase 2 to applicants that have or will implement significant resilience-enhancing

action(s), such as updating state and local building codes, zoning, hazard mitigation, consolidated or

comprehensive plans (including area-specific plans), and other ordinances or matters within the span of

control of the Applicant and public sector Partners. Such improvements may include coordination or

merger of local plans or requirements in a way that will clearly enhance resilience, such as hazard

mitigation assessments and plans incorporated into forward-looking comprehensive plans updated to

consider future impacts from climate change. Only significant updates made or major actions taken after

the date of the Qualified Disaster may be considered in responding to Phase 1 Factor 5. If such changes

are planned for completion within one year of grant award, you may include them in this factor only if you

also submit as an attachment to your application a hard commitment to complete the changes by a specified date (see the Long-term Commitment Factor of Phase 2 for detail). Applicants must identify leveraging funds to pay for costs attributable to any portion of a proposed project (including any mitigating action) that is not necessary to meet Unmet Recovery Needs in the most impacted and distressed area resulting from a Qualified Disaster.

Eligible Applicants. Eligible applicants in Phase 1 will be the states with Qualified Disasters and those units of general local government who received CDBG-DR funding from HUD for disasters occurring in 2011-2013 (including grantees under prior disaster recovery supplemental funding)—a total of 67 potential applicants (See Appendix B for a List of Eligible Applicants). HUD is setting aside $181,000,000 for applications serving Hurricane Sandy Qualified Disasters in the States of New York and New Jersey and in New York City due to the catastrophic level of damage caused in those areas from Hurricane Sandy and tropical storms in 2011. Note that HUD reserves the right to fund applications out of rank order to ensure geographic diversity of funding. For the same reason, HUD also reserves the right to partially fund an application(s). To ensure HUD has complete understanding on how to scale down projects, each Phase 2 applicant must identify any phasing or scalability inherent in its proposal. Phase 2 applicants should develop proposals with scalable options to the degree possible and practicable, and must ensure that each component proposed for CDBG-NDR funding has independent utility.

Successful completion of Phase 1 is a threshold requirement for participation in Phase 2. In other words, HUD will invite successful Phase 1 applicants to apply for Phase 2.

Summary of Competition Details. For Phase 1, HUD is seeking applications from the 67 eligible applicants. The NOFA includes criteria and deadlines for both this initial “framing” phase and the later “implementation” phase of the competition. Grantees will have 180 days from the NOFA publication to complete the framing process and to submit initial proposals stating in general terms the grantee’s vulnerability(ies), issue(s), community development objectives, team (meaning the Applicant, all partners and any other supporting entities), required threshold items, known obstacles, substantial consultation and citizen engagement (particularly with affected and vulnerable populations), and general information about unmet recovery needs (as defined in more detail in the sections below).

During the first 45 days after publication of this NOFA, any potential Applicant may provide HUD a single written request with its “most impacted and distressed” and “unmet needs” threshold responses for one or more potential target areas (as defined in more detail in Appendix G). This request is not subject to citizen participation requirements. HUD will respond within 15 working days to confirm or reject whether the information provided for each area meets the thresholds and provide specific reasons for any rejection. HUD will only provide such a response one time for each potential Applicant. HUD may tell an Applicant how a submission is deficient, but may not tell an Applicant how to fix the submission. Such requests must be submitted to [email protected] and include the Applicant name; name, title, email address, telephone number, and agency of a contact person employed by the Applicant to which HUD shall respond.

After the 180 day deadline, HUD will review, rate and provide detailed comments on each initial application that meets all threshold requirements. At this point, HUD will rank the applications by score and select the qualifying applicants HUD will invite to continue into the Phase 2 application round. HUD anticipates taking about 60 days for this review period and completion of the related quality assurance review.

Phase 1 Applicants that are not invited to continue to Phase 2, but have met all thresholds, submitted a complete application, and demonstrated unmet disaster recovery needs in Phase 1 by scoring at least 15 of the Phase 1 Need Factor points and at least 65 of the overall Phase 1 points, will be invited by HUD to submit an Action Plan for Disaster Recovery (see Authority section below for discussion of the Action Plan requirement) in accordance with an allocation Notice published in the Federal Register after the invitation. This Action Plan may include CDBG-DR activities totaling up to $2.5 million (for applicants

that are not current CDBG-DR grantees under P.L. 113-2) or $500,000 (for applicants that are current grantees under P.L. 113-2) or the total amount of demonstrated unmet needs, whichever is less, and may include reimbursement for planning and general administration costs associated with completion of the Phase 1 application (unless these were indicated as leverage in the application), subject to applicable limitations in Appendix A. HUD will award up to $30 million to such Applicants. Any reserve pool funds not awarded at this stage will be allocated in a similar manner following Phase 2 to any applicants meeting the same criteria.

After HUD provides comments on the initial submissions, each continuing applicant will have 120 days in Phase 2 to develop a final submission. HUD will consider Soundness of Approach, Needs, Capacity, Leverage, and Long-term Commitment at this phase. Note that leverage in this phase may include traditional financial and in-kind contributions, but must also include the applicant undertaking supporting actions locally (e.g., building code updates, executive orders, zoning revisions, comprehensive and mitigation plan linkages, interagency partnerships, financing mechanisms, or completing and adopting a forward-looking community-wide resilience assessment and plan) that will better position the Applicant to be more resilient to future threat(s) and hazard(s).

Following submission of the final applications, HUD and federal agency partners will review, rate, and rank the applications in accordance with the published criteria. HUD will then determine and announce Phase 2 awards.

HUD will consider for funding any complete Phase 2 application that receives at least 75 percent of the total points.

The applicable post-award requirements are included in Appendix A to this NOFA. These post-award grant management requirements are, insofar as feasible, identical to those imposed under the Notices published for grants made under the formula P.L. 113-2 allocations.

B. Authority.

The funding authority for CDBG-NDR grants under this NOFA is provided by the Disaster Relief Appropriations Act, 2013 (Public Law 113-2, signed into law January 29, 2013) (Appropriations Act) which made available $16 billion in Community Development Block Grant (CDBG) funds for necessary expenses related to disaster relief, long-term recovery, restoration of infrastructure and housing, and economic revitalization in the most impacted and distressed areas resulting from a major disaster declared pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1974 (42 U.S.C. 5121 et seq.) (Stafford Act), due to Hurricane Sandy and other eligible events in calendar years 2011, 2012, and 2013. All capitalized terms in this NOFA are defined in the Definitions section or later in the document.

On March 1, 2013, the President issued a sequestration order pursuant to section 251A of the Balanced Budget and Emergency Deficit Control Act, as amended (2 U.S.C. 901a), and reduced funding for CDBG-DR grants under the Appropriations Act to $15.18 billion.

To date, a total of approximately $14.1 billion has been allocated -- $13 billion in response to Hurricane Sandy, and Tropical Storms Irene and Lee, $514 million in response to disasters occurring in 2011 or 2012, and $654 million in response to other 2013 disasters. The Appropriations Act requires funds to be awarded directly to a State or unit of general local government (hereinafter, local government), and the term “grantee” (as defined below) refers to any jurisdiction receiving a direct award from HUD.

To comply with statutory direction that CDBG-NDR funds be used for disaster-related expenses in the most impacted and distressed areas related to the Qualified Disaster, HUD is requiring that applicants address unmet needs in counties identified by HUD as “most impacted and distressed,” as identified in Appendix G, or use other data approved by HUD in Appendix G to demonstrate that the proposed target area is most impacted and distressed as a result of the effects of the Qualified Disaster.

The Appropriations Act requires funds to be used only for specific disaster recovery related purposes. The

law also requires that prior to the obligation of CDBG-DR funds, a grantee shall submit a plan detailing the proposed use of funds, including criteria for eligibility and how the use of these funds will address disaster relief, long-term recovery, restoration of infrastructure and housing, and economic revitalization in the most impacted and distressed areas. This plan is an Action Plan for Disaster Recovery (Action Plan). For Applicants selected to move on to Phase 2, the Applicant’s Phase 1 and Phase 2 submissions for this competition together constitute an Action Plan as required under P.L. 113-2. Appendix A of this Notice implements other requirements of the Appropriations Act and terms of the grant.

This Notice also applies elements of the Hurricane Sandy Task Force’s Rebuilding Strategy to support grantee efforts to build back stronger and more resilient through integrating comprehensive planning and investment in meaningful efforts in their recovery and revitalization. The Task Force was established by Executive Order 13632 (published in the Federal Register at 77 FR 74341) to: (1) ensure

government-wide and region-wide coordination was available to assist communities make decisions about long-term rebuilding, and (2) develop a comprehensive rebuilding strategy.

The Appropriations Act requires that funds be expended within two years of the date HUD obligates funds to a grantee, and funds are obligated to a grantee upon HUD’s signing of a grantee’s CDBG-DR grant agreement. In its Action Plan, a grantee must demonstrate how funds will be fully expended within two years of obligation and HUD must obligate all funds not later than September 30, 2017. For any funds that the grantee projects will not be expended by the deadline and that it desires to retain, the grantee must submit a letter to HUD, in accordance with requirements of Appendix E and not less than 30 days in advance of the deadline, justifying why it is necessary to extend the deadline for a specific portion of funds. Phase 2 applicants must submit extension requests with their applications if the project schedule submitted for Factor 3 extends beyond 24 months from award.

Allowable costs for CDBG-NDR funds under this appropriation include only those necessary expenses to meet the unmet recovery needs of the most impacted and distressed target area(s), but once the necessary tie-back is established for a project, it may be designed to also meet other community development objectives and economic revitalization needs, including greater resilience to negative effects of climate change. Under this competition, HUD is, however, awarding points for leverage, long-term commitment, and regional coordination. The most competitive proposals will bring other resources and commitment to bear to enhance resilience beyond the most impacted and distressed target area allowed for the CDBG-NDR fund source.

C. Definitions.

For purposes of the CDBG-NDR program, the following definitions of key terms apply. As needed, other definitions relevant to specific thresholds and rating factors will be provided in those sections of the NOFA. In general, terms are defined as they are under the CDBG program, either for entitlements or States, as applicable.

1. Applicant. Applicant means one of 67 States and local governments identified by HUD as an “eligible applicant” that submits an application for Phases 1 and, if invited, Phase 2 of this competition, submits certifications required of applicants by this NOFA, agrees to serve as the entity responsible for implementing the activities identified in the application, and, if selected for an award, signs the Grant Agreement.

2. CDBG, CDBG-DR, CDBG-NDR. CDBG means the annual Community Development Block Grant program as authorized by the Housing and Community Development Act of 1974, as amended, and its regulations as codified in 24 CFR part 570. CDBG-DR refers to grants previously made pursuant to one of several emergency supplemental CDBG appropriations, as administered by HUD under requirements published in a series of Federal Register Notices. In the abbreviation, “DR” refers to “disaster recovery.” CDBG-NDR refers to the funds for which you are competing under this NOFA. In the abbreviation, “NDR” refers to “national disaster resilience”.

3. CDBG funds. CDBG funds is a defined term at 24 CFR 570.3, and includes any CDBG-DR funds

and CDBG-NDR funds. The terms CDBG-DR funds and CDBG-NDR funds are terms referring grant funds made available by CDBG-DR or CDBG-NDR awards, respectively.

4. Covered Project. Amajor infrastructure project having an estimated total cost of $50 million or more (including at least $10 million of CDBG–DR or CDBG-NDR funds), or benefiting multiple counties. Additionally, two or more related infrastructure projects that have a combined total cost of $50 million or more (including at least $10 million total of CDBG–DR, or CDBG-NDR funds) must be designated as major infrastructure projects.

5. Grantee. An Applicant that receives a CDBG National Disaster Resilience award directly from HUD to carry out an activity to address an Unmet Recovery Need. The term Grantee does not include subrecipients. An Applicant becomes a Grantee after the grant agreement is signed by HUD. The Grantee is the sole entity that will have access to HUD’s Line of Credit Control System (LOCCS) through the Disaster Recovery Grant Reporting (DRGR) system to draw down CDBG-NDR funding. Under P.L. 113-2, although Partners may assist in carrying out CDBG-NDR projects, the Grantee remains legally and financially accountable for the use of all funds and may not delegate or contract to any other party any inherently governmental responsibilities related to management of the funds, such as oversight, policy development, and financial management (Also see Appendix A).

6. Livability Principles. Livability principles jointly adopted by HUD, EPA and DOT to support federal neighborhood and community development initiatives. The Livability Principles are as follows: provide more transportation choices; promote equitable, affordable housing; enhance economic competitiveness; support existing communities; coordinate and leverage federal policies and investment; and value communities and neighborhoods. For further information, see www .hud .gov/sustainabi lity .

7. Most Impacted and Distressed. This term is defined in Appendix G. The term will not be capitalized throughout this NOFA.

8. Partner. Partner means a State, unit of local government, a nonprofit entity, a private developer, a financial institution, or other entity chosen by the Applicant to assist the Applicant in applying for funding or in carrying out a funding award or project under this NOFA, and which submits a letter of intent to assist in that capacity, and which may be referenced by the Applicant for purposes of demonstrating additional capacity for planning, design, financing, or implementation in applying for funding under this NOFA. See section on submission requirements to demonstrate commitment of Partner.

9. President’s Climate Action Plan. In June 2013, the Administration released the President’s Climate Action Plan, a series of executive actions to (1) Cut Carbon Pollution in America, (2) Prepare the United States for the Impacts of Climate Change, and (3) Lead International Efforts to Combat Global Climate Change and Prepare for its Impacts. For full text of the plan and further detail, see http ://www .white house .gov/climate -chang e .

10. Resilience Guidelines of Sandy Task Force The two overarching infrastructure-related goals of the Hurricane Sandy Rebuilding Task Force were to ensure all Federal actions, policies, and resources work together to foster a quick and effective recovery from Hurricane Sandy and to encourage investment in systems and assets that ensures the region is better prepared to both withstand and recover from future disasters. The Task Force created Infrastructure Resilience Guidelines to lead to decisions that better protect communities and ensure wise investment of scarce public resources. The seven guidelines are: (1) Comprehensive Analysis; (2) Transparent and Inclusive Decision Process; (3) Regional Resilience; (4) Long-Term Efficacy and Fiscal Sustainability; (5) Environmentally Sustainable and Innovative Solutions; (6) Targeted Financial Incentives; and (7) Adherence to Resilience Performance Standards . (http://portal.hud.gov/hudportal/documents/huddoc?id=hsrebuildingstrategy.pdf).

11. Project. A project is an activity or a group of integrally related activities designed to accomplish one or more specific community development objectives in whole or in part. Note that “project” is not a term defined in the CDBG program regulations, which describe eligible “activity” types,

    
    

    although it is defined under the environmental review regulations at 24 CFR 58.2(a)(4). For the purposes of this NOFA, a focus on projects rather than activities better integrates program requirements with the terminology and requirements related to environmental review and the benefit-cost analysis, each of which consider the positive and negative effects of an integrally related set of actions. Adopting this definition is part of an overall strategy in this NOFA to encourage use of the terms compatible with environmental review requirements and ensure more comprehensive planning consideration and faster launch post-award.

12. Qualified Disaster. A “qualified disaster” is a major disaster declared pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.) due to Hurricane Sandy and other eligible events in calendar years 2011, 2012, and 2013. See Appendix B for a list of Qualified Disasters.

13. Resilience. The ability to anticipate, prepare for, and adapt to changing conditions and withstand, respond to, and recover rapidly from disruptions.(For purposes of this NOFA, an “incident,” “stress,” or “shock” is a disruption similar to but less severe than a Presidentially declared major disaster or emergency. Such disruptions may include, for example, a local drought, a precipitous economic change, social unrest or riots, short-term or intermittent failure or under-performance of infrastructure such as the electrical grid.)

14. Tie-back. A tie-back reasonably shows how the effects of the Qualified Disaster resulted in an Unmet Recovery Need that can be addressed by the proposed CDBG-NDR-assisted activities. Or, stated in the reverse, how the proposed project reasonably “ties-back” to addressing demonstrated direct and indirect effects of the Qualified Disaster. Once the necessary tie-back is established for a project, you may design a project that addresses or satisfies an Unmet Recovery Need and also has co-benefits, such as meeting other community development objectives and economic revitalization needs, including greater resilience to negative effects of climate change. HUD has determined that generally, designing a project that improves resilience to the impacts of climate change while meeting an Unmet Recovery Need is a necessary and reasonable cost of recovery.

15. Unmet Recovery Need. An unmet recovery need arises from damage or another harm or negative effect directly or indirectly caused by a Qualified Disaster, that has not been met and for which no other funds are available, and that HUD, in reviewing the information provided by the applicant, determines to be a need related to long-term recovery, restoration of infrastructure, restoration of housing, or economic revitalization.

16. Vulnerable Populations. For purposes of this NOFA, a vulnerable population is a group or community whose circumstances present barriers to obtaining or understanding information or accessing resources. HUD notes that research and HUD’s disaster recovery experience indicate that lower-income persons are less able to recover from the effects of disasters. Further, you are required under civil rights and fair housing requirements to ensure that access to program information and benefit is not limited based on a protected class, such as race, color, national origin, religion, sex, family status, or disability. Understanding that certain populations may be more vulnerable and less resilient to the negative effects of extreme events must inform threshold and factor responses.

II. Award Information.

A. Available Funds.

HUD is making available through this NOFA $999,108,000 for National Disaster Resilience Competition.

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 incorporated from the General Section and to those contained in this NOFA.

2. Number of Awards.

HUD expects to make approximately 67 awards from the funds available under this NOFA.

HUD expects a highly competitive process and does not have a basis for estimating the final number of awards after Phase 2. No awards will be issued under this NOFA until Phase 2 is completed. HUD may use data submitted under the Unmet Recovery Need and most impacted and distressed thresholds to provide up to $30 million in a formula allocation under a separate Notice action.

2. Maximum Award Information.

Estimated Total Funding:	$999,108,000
Minimum Award Amount:	$1,000,000
Maximum Award Amount:	$500,000,000

Estimated Total Funding: $999,108,000

Minimum Award Amount: $1,000,000 Per Project Period

Maximum Award Amount: $500,000,000 Per Project Period

2. Period of Performance.

Grantees must proceed in a timely manner, as indicated by the time-frames established in this NOFA. HUD anticipates announcing awards under this NOFA 6-7 months after the initiation of Phase 2 or 2-3 months after Phase 2 applications are due.

Estimated Project Start Date: 09/01/2015

Estimated Project End Date: 09/30/2019

Other

Additional Information on Project Periods

Estimated project period end date is 2 years after awarded, unless waived.

2. Type of Funding Instrument.

Funding Instrument Type: Grant

Grant

2. Supplementation.

N/A

III. Eligibility Information.

A. Eligible Applicants.

Eligible applicants under this NOFA include:

State governments

County governments

City or township governments

Others (see text field entitled "Additional Information on Eligibility" for clarification)

Eligible applicants for $820 million of CDBG-NDR grants are specific local and State governments that experienced a Qualified Disaster during 2011-2013. Of the eligible applicants identified on the list below, only the states of New Jersey and New York, and New York City are also eligible for an additional $181 million set-aside for Unmet Recovery Needs related to Hurricane Sandy and Tropical Storms Irene and Lee.

The District of Columbia is listed among eligible state-level applicants because it is not located within a state that can apply to receive funds. However, any award to the District would be subject to the regulations governing entitlement grantees in 24 CFR part 570, as modified by this NOFA.

State, district and territory-level eligible applicants:

1. Alaska

2. Alabama

3. Arkansas

4. Arizona

5. California

6. Colorado

7. Connecticut

8. District of Columbia

9. Delaware

10. Florida

11. Georgia

12. Hawaii

13. Iowa

14. Idaho

15. Illinois

16. Indiana

17. Kansas

18. Kentucky

19. Louisiana

20. Massachusetts

21. Maryland

22. Maine

23. Michigan

24. Minnesota

25. Missouri

26. Mississippi

27. Montana

28. North Carolina

29. North Dakota

30. Nebraska

31. New Hampshire

32. New Jersey

33. New Mexico

34. New York

35. Ohio

36. Oklahoma

37. Oregon

38. Pennsylvania

39. Puerto Rico

40. Rhode Island

41. South Dakota

42. Tennessee

43. Texas

44. Utah

45. Virginia

46. Vermont

47. Washington

48. Wisconsin

49. West Virginia

50. Wyoming

City and County-Level Eligible Applicants

State City or County

AL BIRMINGHAM

AL JEFFERSON COUNTY

AL TUSCALOOSA

IL CHICAGO

IL COOK COUNTY

IL DU PAGE COUNTY

LA JEFFERSON PARISH

LA NEW ORLEANS

LA ST. TAMMANY PARISH

MA SPRINGFIELD

MO JOPLIN

ND MINOT

NY NEW YORK CITY

OK MOORE

PA DAUPHIN COUNTY

PA LUZERNE COUNTY

TN SHELBY COUNTY

Eligible Project Areas

The proposed CDBG-NDR-assisted program or project area must be within, or primarily serve, one or more counties declared pursuant to a presidentially declared major disaster in 2011, 2012, or 2013. Grant funds must also be used to primarily benefit the most impacted and distressed areas related to the Qualified Disaster within eligible counties. This limitation does not prohibit co-benefits to other areas that do not result in additional costs charged to the grant, or for which the grantee identifies other sources of assistance. Applicants may either accept HUD’s definition of most impacted and distressed, or use other data to demonstrate that the proposed target area is most impacted and distressed as a result of the effects of the Qualified Disaster (See Appendix G for details on the most impacted and distressed and Unmet Recovery Need threshold criteria).

See the Appendix B spreadsheet for the lists of eligible counties with disaster declarations between January 2011-December 2013 and those previously designated “most impacted counties” based on HUD’s definition.

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 should start this process or check your status early.

2. 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.

N/A

2. Other.

1. Citizen participation waiver and alternative requirement. To permit a more streamlined process, and ensure disaster recovery grants are awarded in timely manner, provisions of 42 U.S.C. 5304(a)(2) and (3), 42 U.S.C. 12707, 24 CFR 570.486, 91.105(b) and (c), and 91.115(b) and (c), with respect to citizen participation requirements, are waived and replaced by the requirements below. (Note that the citizen participation process is distinct from the consultation requirements of this NOFA.) The streamlined requirements mandate at least one public hearing at the Applicant’s level of government per Phase, and require providing a reasonable opportunity (at least 15 days for Phase 1 and 30 days for Phase 2) for citizen comment, and ongoing citizen access to information about the use of grant funds. The streamlined citizen participation requirements for a grant proposed under this NOFA are:

a. Publication of the Application’s Executive Summary, Factor Narratives, Eligibility, National Objective, Overall Benefit, and Schedule responses, opportunity for public comment, and substantial amendment criteria. Before the Applicant submits the Phase 1 and Phase 2 Application submissions for this NOFA, the Applicant will publish the specified portions of the proposed submission. The manner of publication must include prominent posting on the Applicant’s official Web site and must afford citizens, affected local governments, and other interested parties a reasonable opportunity to examine the plan or amendment’s contents. The topic of disaster recovery must be navigable by citizens from the Applicant’s homepage.

Applicants are also encouraged to notify affected citizens through electronic mailings, press releases, statements by public officials, media advertisements, public service announcements, and/or contacts with organizations located in or serving the target area or neighborhood.

Applicants are responsible for ensuring that all citizens have equal access to information about the programs, including persons with disabilities and limited English proficiency (LEP). Each Applicant must ensure that program information is available in the appropriate languages for the geographic area served by the jurisdiction, and the appropriate format for persons with disabilities.

For assistance in ensuring that this information is available to LEP populations, recipients should consult the Final Guidance to Federal Financial Assistance Recipients Regarding Title VI, Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons published on January 22, 2007, in the Federal Register (72 FR 2732).

Subsequent to publication of any Application submission, the Applicant must provide a reasonable time frame and method(s) (including electronic submission) for receiving comments on the submission. A summary by topic of all comments received on the Application or amended submission and a list of commenters by name or organization must be submitted to HUD along with the submission. Such a summary submitted with the submission will not count against the application page limits specified in this NOFA.

The criteria for determining what changes in the Application constitute a substantial amendment requiring HUD prior approval are first, any change to the Application that would result in a change of more than 5 points in the score for capacity or soundness of approach or that would change the most impacted and distressed target area(s). Also, the following modifications will constitute a substantial amendment requiring HUD prior approval: a change in program benefit, beneficiaries, or eligibility criteria; the allocation or re-allocation of more than $1 million; or the addition or deletion of an activity. Subsequent to award, a grantee may substantially amend the Application if it follows the same citizen participation requirements in this Notice for the preparation and submission of an Application, and HUD agrees in writing that the amended Application would still score in the fundable range for the competition. Prior to preparation and submission of any amendment, the grantee is encouraged to work with its HUD representative to ensure the proposed change is consistent with this Notice, and all applicable regulations and Federal law.

2. Cross-cutting

a. Ineligible Activities. Ineligible activities include:

1. Any activity that is not eligible under section 105(a) of the Housing and Community Development Act of 1974, as amended (for States) or under 24 CFR 570.201-207 (for local governments) is ineligible unless a waiver is obtained from HUD. See Authority section and Appendices A and E for more detail.

2. Any activity that does not meet a national objective under the requirements of Appendix A is not eligible unless a waiver is obtained from HUD. Note that such waivers are exceedingly rare, but applicants may see Appendix E for more detail.

3. Any activity for which Unmet Recovery Need or tie-back to a Qualified Disaster is not established is ineligible. This may not be waived.

4. You may not use CDBG-NDR grant funds to pay for any activities carried out on or before the date of the letter announcing the award of the grant except that you may use grant funds, should you receive an award, to reimburse CDBG-NDR eligible costs of grant application preparation, including planning and citizen outreach activities. Note that general administration costs may not exceed more than 5 percent of any grant. This is not waivable. For detailed guidance on what costs are included in general administration, see Notice CPD 2013-07, available from www.hud.gov.

5. Any activity that is not in compliance with applicable fair housing and civil rights laws and regulations.

6. Projects dependent on a contingent action to be effective or feasible, and projects which are not feasible and/or effective at significantly reducing the risk against the threat(s) and hazard(s) for which the project was designed. Note that you must describe the feasibility and effectiveness of your project in your response to Phase 2 Factor 3. A feasible project will demonstrate (either in the application materials or prior to HUD obligation of funds if HUD selects only a portion of your proposal for funding or for substantial amendments post award) conformance with accepted design practices, established codes, standards, modeling techniques, or best practices. (Note that CDBG-NDR grantees are responsible for complying with national objective requirements and make a certification acknowledging that responsibility and covering the entire grant. An infeasible and ineffective project design will not provide the benefit proposed in your application to meet a CDBG-NDR national objective and justify project costs.)

7. Projects for temporary measures (e.g. sandbags, bladders, geotubes, newly established emergency operation centers). Equipment is generally ineligible for CDBG-NDR assistance unless necessary in the provision of an eligible public service or special economic development activity.

8. Response activities, equipment, and training (e.g., electronic evacuation road signs, interoperable communications equipment).

9. Projects sited within a Special Flood Hazard Area where the jurisdiction is not participating in the National Flood Insurance Program.

3. Threshold Requirements.

To be rated and ranked, all Applicants and applications must meet all threshold requirements of this NOFA. Applicants must demonstrate compliance with the threshold requirements through the information provided in their application, unless instructed otherwise in this NOFA. The threshold requirements of this NOFA include the incorporated requirements of Section III.C.2 of the General Section (see section on Additional Overview Information for a list of incorporated General Section requirements) and threshold requirements specific to the CDBG-NDR program described in this NOFA. If an application does not meet all threshold requirements, HUD will not consider the application as eligible for funding and will not rate and rank it. HUD will screen for technical (not substantive) deficiencies and administer a cure period as described in Section V.C.2. of the General Section. Applicants must review and follow documentation requirements provided in this Thresholds Requirements section and the instructions on application organization, content and submission provided in section V.B. of this NOFA. Required forms, certifications and assurances must be included in the application and will be available on at http://www.grants.gov. In addition to the thresholds incorporated from the General Section, the following are also competition thresholds:

1. Eligible Applicant. You must be an Eligible Applicant and identify which Applicant you are on your Crosswalk Checklist. See List of 67 Eligible Applicants. Additionally, the following criteria must be met, as relevant, to comply with this threshold:

(1) Partners. To demonstrate a partnership, a Partner Letter (either phase) or a Phase 2 Partner Agreement (PA) must be provided signed by the executive of the Applicant and the partner entity. The PA must demonstrate a commitment to work collaboratively throughout the entirety of the grant to undertake specified actions. See Appendices C and D for further instructions and a template Partner and Phase 2 Partner Agreement.

2. Eligible County. The area primarily benefiting from the proposed CDBG-NDR assisted

activity (ies) or project(s) is a county for which a 2011, 2012, or 2013 Presidentially declared major disaster declaration exists. Appendix B for a list of the Eligible Counties.

3. Most impacted and distressed target area. You must demonstrate that the area primarily benefiting from the proposed activities is most impacted and distressed related to the effects of the Qualified Disaster and has unmet recovery needs. See Appendix B for a list of most impacted and distressed counties by HUD’s definition and Appendix G for requirements for more detail on the permitted alternate definition.

4. Eligible Activity. You must demonstrate that each CDBG-NDR activity proposed is an eligible activity (see Appendix A) or request an eligibility waiver for the activity with your application (see Appendix E). HUD does not guarantee that such waivers will be granted, but any request will be evaluated prior to determination regarding disposition of your application. See the CDBG Disaster Recovery information on hud.gov for information regarding past eligibility waivers.

5. Resilience incorporated. You must demonstrate that each CDBG-NDR disaster recovery activity (including any planning activity) proposed can reasonably be expected to improve the most impacted and distressed area’s resilience to current and future threat(s) and hazard(s), including effects of climate change. Further, only Phase 1 applicants that demonstrate taking or commit to take at least one permanent action to increase resilience of the target area, region, or state will be invited to participate in Phase 2. For more detail on the specific actions to be considered, see the Phase 2 Long-term Commitment Factor. Action must have been taken subsequent to the date of the Qualified Disaster.

6. Meet a national objective (or be not subject to the test). You must demonstrate that each proposed activity other than general administration and planning, which are not subject to such demonstration, can and will meet a CDBG-NDR national objective (See Appendix A) or request and receive a waiver from HUD (note that HUD has never granted national objective waivers except to permit a change in documentation, and see Appendix E for instructions).

7. Overall benefit. You must demonstrate that at least 50 percent of the funds requested in your Application assist activities that will provide sufficient benefit to low- and moderate-income persons in the form of services, area benefit, housing, or jobs, to meet the national objective of benefit to low-and moderate-income persons (see Appendix A) or request and receive a waiver from HUD (overall benefit waivers are uncommon and must meet a compelling need test; see Appendix E for instructions).

8. Establish tie-back. You must establish a tie-back to a Qualified Disaster for each proposed CDBG-NDR-assisted activity. (Note that non-CDBG-DR funds pledged as leverage are not subject to the tie-back requirements.) See the definition section of this NOFA for more detail on tie-backs.

9. Benefit-cost analysis. You must submit a benefit-cost analysis completed in compliance with Appendix H for each Covered Project in your Phase 2 application. HUD will not fund any Phase 2 activities for which the benefits to the applicant’s community and to the United States as a whole

are not demonstrated by the evidence submitted to justify the costs.

(a) CDBG-NDR Applicant Certifications. You must include in your application attachments CDBG-NDR Applicant Certifications signed by the Applicant. See Appendix F for the certifications for states and local government applicants.

1. Number of Applications and Projects.

1. An Applicant may participate in a maximum of one application under this NOFA. A Partner may participate in more than one application, provided each application demonstrates capacity.

2. There is no limit to the number of proposed activities, partners, or projects per application, so long as all proposed activities meet all thresholds and CDBG-NDR program requirements.

3. If HUD receives electronically multiple versions of an application, HUD will rate and rank the last version of the application received by Grants.gov that meets the timely receipt requirements. All other applications (i.e., prior versions) will not be considered eligible. If applicants find after submitting an application that they want to amend or adjust their application and it is prior to the deadline date, applicants should be aware that they must resubmit the entire application, including all fax transmissions previously sent, to ensure that HUD gets a complete application.

4. Relation to prior CDBG-DR Grants and activities. Note that a CDBG-NDR Applicant may propose additional funding for an existing CDBG-DR activity, provided the Applicant can meet CDBG-NDR threshold and program requirements. The CDBG-NDR award will be made under a separate grant agreement from any prior CDBG-DR award from the same appropriation.

5. Program Requirements. Appendix A contains CDBG-NDR program requirements, administrative and national policy requirements, and other program priorities that applicants should consider as they develop their applications. Applicants MUST review this complete NOFA including Appendix A and ensure they comply with the requirements, as relevant.

IV. Application and Submission Information

1. 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:

Stanley Gimont

Director, Office of Block Grant Assistance

US Department of Housing and Urban Development

451 7th Street S.W

Washington, DC 20410

Email: [email protected]

Refer to Section IV. of the General Section for additional guidance. Applicants requesting a waiver should submit their waiver requests via e-mail to [email protected]. The subject line should contain the name of the applicant and ‘Request for Waiver to Electronic Application for CDBG-NDR’.

2. 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.

Applicants must follow the instructions below on content and form of the application submission. These criteria apply to all CDBG-NDR grant applicants and applications, unless otherwise noted.

a. Application Layout.

The first part of your application for each Phase will be comprised of narrative exhibits. Your narratives will respond to thresholds, rating factors, and other criteria in the NOFA, as indicated below.

The second part of your application for each Phase will be comprised of attachments. These documents will also respond to the rating factors in the NOFA, as well as threshold and mandatory documentation requirements. They may include documents such as project renderings and visualizations, maps, photographs, application data, and various certifications.

1. Double-space your narrative exhibit pages. Single-spaced pages will be counted as two pages;

2. Use 8-1/2 x 11-inch paper;

3. All margins should be approximately one inch. If any margin is smaller than 1/2 inch, the page will be counted as two pages;

4. Use 12-point, Times New Roman font;

5. Any pages marked as sub-pages (e.g., with numbers and letters such as 25A, 25B, 25C), will be treated as separate pages;

6. If a section is not applicable, indicate “N/A” so that there is a clear indication to HUD (do not just leave the section blank);

7. Mark each Exhibit and Attachment with the appropriate tab/title page, as listed below. No material on the tab/title page will be considered for review purposes;

8. No more than one page of text may be placed on one sheet of paper; i.e., you may not shrink pages to get two or more on a page. Shrunken pages, or pages where a minimized/reduced font are used, will be counted as multiple pages;

9. Do not format your narrative exhibits in columns. Pages with text in columns will be counted as two pages;

10. Any tables included in the narrative exhibits of the application must also be double spaced or they will be counted twice.

11. All pages should be numbered. HUD recommends that applicants consecutively number the pages of the Attachments section to ensure proper assembly of their application if printed.

12. Provide a crosswalk. To ensure that HUD considers all of your responses relevant to a particular requirement or rating factor, complete and submit the Appendix J Crosswalk Checklist.

Standard Forms. The last part of your application will be comprised of standard forms common to many HUD programs. For the CDBG-NDR application, the required standard forms are: Application for Federal Assistance (SF-424), Disclosure of Lobbying Activities (SF-LLL), Applicant/Recipient Disclosure/Update Report (HUD-2880); and Third Party Documentation Transmittal (HUD-96011).

b. Application Page Count. These criteria apply to all applicants.

Each CDBG-NDR application for Phase 1 must contain no more than 40 pages, with three additional pages allowed for each project area after the first, if the application includes multiple, separate areas.

Each CDBG-NDR application for Phase 2 must contain no more than 75 pages, with five additional pages allowed for each project after the first, if the application includes multiple projects. Any pages beyond these limits will not be reviewed. HUD will not consider the information on any excess pages, which may result in a lower score or failure of a threshold.

c. Exceptions to page limits.

The documents listed below constitute the only exceptions and are not counted in the page limit listed above. Extraneous information not related to the content of these attachments will be counted toward the page limit.

1. Additional pages submitted at the request of HUD in response to a technical deficiency.

2. Crosswalk Checklist

3. Evidence of Partnership

4. Leverage documentation

5. Consultation Summary. See Appendix J for instructions.

6. Waiver requests. Waiver requests associated with an application must be submitted with an application. If HUD, during review of an application or during the post-review negotiation process determines that the Applicant would require an additional waiver for the proposed project, HUD may contact the Applicant any time prior to award announcement to explain the issue and request that the Applicant submit a waiver request for consideration.

7. Benefit-cost Analysis. You will submit a Benefit-Cost Analysis (BCA) for each Covered Project in your Phase 2 application in accordance with the instructions in Appendix H. There is no page limit to the BCA, however, material in the BCA will not be considered as part of the award of points for a rating factor.

8. Maps, drawings, renderings, and other graphical representations of the project or most impacted and distressed target area and related geography submitted uploaded to www.grants.gov (total application must not exceed 200 MB in size), or by providing a password-protected link in your Executive Summary to a cloud storage service such as Dropbox, Google Drive, Microsoft OneDrive, Box, or Bitcasa. Files must be in a PDF or JPEG format. Include relevant copyright or ownership information within the body of each file. All submitted files must be referenced in your narratives by filename. HUD will not open or review unreferenced files. Such graphical representations will not count against the page limits provided they include no narrative text or data tables. Labels, legends, data sources, and copyright information are acceptable and expected.

1. You may email the password for any cloud storage link to [email protected] . Include Applicant’s name in the Subject line of the email. Include Applicant’s name, a contact person’s name and telephone number, and a list of the relevant filenames in the body of the email.

9. Application Certifications and Standard forms (see Appendix F for the certifications). Standard forms are available at http ://portal .hud .gov/hudpo rtal /HUD ?src =/progr amoffices /admin istration /hudcl ips /forms /. Remember to sign the certifications and forms.

10. Blank/extra pages generated as part of standard forms.

11. Tabs/title pages that are blank or display a title/header/ “n/a” indication.

12. Sources and Uses statement included as part of the Budget submission in Phase 2.

13. Summary of citizen comments by topic with a list of commenters by name and organization (if any) and Applicant responses.

14. Data linked from or submitted separate and apart from the narrative in Exhibit B demonstrating the Unmet Recovery Need and most impacted and distressed threshold requirements. Data must be summarized and described in the narrative, but may be provided separately in accordance with instructions in Appendix G.

c. CDBG-NDR-Specific Electronic Submission Requirements: Format and Title Instructions in Addition to the Electronic Submission Requirements in Section IV of the General Section.

(1) Exhibits and Exhibit Title Pages. Exhibits are as listed below. Each Exhibit should be contained in its own separate file in the application. Each file should contain one title page. Do NOT create title pages

separately from the document it goes with. Provided the information on the title page is limited to the list in this section, the title pages will not be counted in the page limits. Each title page should only contain, in the following order:

1. The name of the Exhibit, as described below, e.g., “ExhibitAExecutiveSummary.” WARNING: Applications that contain file names which are longer than 50 characters (HUD recommends using file names with 32 characters or less), or contain spaces or special characters, will result in the file being detected as a virus by the www.grants.govsystem and the application will be rejected with a “VirusDetect” message.

2. The name of the applicant; and

3. The name of the file that contains the Exhibit.

(2) Attachments and Attachment Title Pages. Attachments are as listed. Each Attachment should be contained in its own separate file in the application. Each Attachment that is not a HUD form should contain one title page. Provided the information on the title page is limited to the list in this section, the title pages will not be counted. HUD forms do not require title pages. Each title page should only contain:

1. The name of the Attachment, as described below, e.g., “Att1PartnerDocumentation.” WARNING:

Applications that contain file names which are longer than 50 characters (HUD recommends

using file names with 32 characters or less), or contain spaces or special characters, will result in the

file being detected as a virus by the Grants.gov system and the application will be rejected with a “VirusDetect” message.

2. The name of the applicant; and

3. The name of the file that contains the Attachment.

1. Documentation Requirements. Documentation requirements are provided throughout the “Threshold Requirements” section \ and “Rating Factors” section of this NOFA, as relevant. Applicants must carefully review and follow documentation requirements.

2. Instructions on Application Organization and Content. The following provides instructions on the organization and content of your application. It lists the narrative exhibits and attachments, and instructions for each, that are required as part of the application. All narrative exhibits, attachments, and forms are required to be submitted in your application unless otherwise indicated. Non-submission of any of the items below may lower your rating score or make you ineligible for award under this NOFA. Review the threshold requirements and the Rating Factors for the criteria and to ascertain the effects of non-submission. Please be advised that not providing information clearly and consistently, and/or not providing exhibits and attachments in accordance with the instructions and documentation requirements in this NOFA, may negatively impact HUD’s ability to determine if your application meets threshold requirements to score your application. This could result in a determination of threshold non-compliance or a lower score. Please also only submit documents that are required to respond to a threshold requirement and/or rating factor. HUD forms required by this NOFA will be made available at http ://www .grant s .gov/appli cants /apply

for grant s .jsp . The list of narrative exhibits and attachments, and instructions for each, are as follows:

3. Table of Contents. Complete the Crosswalk Checklist, indicating by Exhibit or Attachment Title and page number where required and optional responses are located in your application. (Required for both Phase 1 and Phase 2 applications)

Narrative Exhibits. The narrative exhibits required in your applications for each Phase are as follows:

1. Phase 1. Within any Exhibit, you must address the required elements, and you may do this by providing a

   specific cross-reference to another Exhibit, including the page number, rather than repeating information.

   
   

   Exhibit A – Executive Summary. Please summarize your application briefly and specifically (suggested 2 pages maximum)

2. Exhibit B – Threshold Requirements. Provide a narrative response to each of the threshold requirements.

3. Exhibit C – Capacity. Provide a narrative response to the Capacity Factor.

4. Exhibit D – Need. Provide a narrative response to the Need Factor.

5. Exhibit E – Soundness of Approach. Provide a narrative response to the Soundness of Approach Factor.

6. Exhibit F – Leverage. Provide a narrative response to the Leverage Factor.

7. Exhibit G – Long-Term Commitment. Provide a narrative response to Long-Term Commitment Factor.

Phase 2 (For successful Phase 1 Applicants invited by HUD to go forward to Phase 2.) In any of the Phase 2 exhibits, you may reference and summarize, and need not repeat in its entirety, material from your Phase 1 submission that is responsive to the phase 2 Factor. Within any Exhibit, you must address the required elements, and you may do this by providing a cross reference to another Exhibit rather than repeating information.

1. Exhibit A – Executive Summary. Please summarize your application briefly and specifically (suggested 3 pages maximum)

2. Exhibit B – Threshold Requirements. Provide a narrative response to the threshold requirements.

3. Exhibit C – Capacity. Provide a narrative response to the Capacity Factor. Remember to provide the required organization chart and to include information about each Partner. Attach the documents required in Appendices D and E.

4. Exhibit D – Need. Review and provide a narrative response to the Need Factor.

5. Exhibit E – Soundness of Approach. Review and provide a narrative response to the Soundness of Approach Factor.

6. Exhibit F – Leverage. Provide a narrative response to the Leverage Factor. Remember to attach all supporting documentation.

7. Exhibit G – Long-Term Commitment. Provide a narrative response to the Long-Term Commitment Factor.

(3) Attachments. The attachments required in your applications, unless otherwise noted, do not count against page limits and are as follows:

1. Attachment A – Partner documentation. Documents required under Appendix C and D for each Partner, if applicable.

2. Attachment B – Leverage documentation. Provide supporting documentation for the leverage factor, including letters of commitment, as described in the Leverage Factor.

3. Attachment C – CDBG-NDR Application Certifications. Sign, date, and submit the certifications provided in Appendix F.

4. 
   

   Attachment D – Consultation Summary. Complete the Consultation Summary described in Appendix J and submits it with your Phase 1 application. If you are invited to Phase 2, provide a separate updated Consultation Summary with your application.

5. Attachment E –Maps and Drawings (optional). Maps, drawings, renderings, and other graphical representations of the project or most impacted and distressed target area and overall project geography submitted uploaded to grants.gov (total application must not exceed 200 MB in size), or by providing a password-protected link in your Executive Summary to a cloud storage service such as Dropbox, Google Drive, Microsoft OneDrive, Box, or Bitcasa. Files must be in a PDF or JPEG format. Include relevant copyright or ownership information within the body of each file. All submitted files must be referenced in your narratives by filename. HUD will not open or review unreferenced files. Such graphical representations will not count against the page limits provided they include no narrative text or data tables. Labels, legends, data sources, and copyright information are acceptable and expected.

You must email the password for any cloud storage link to [email protected] . Include Applicant’s name in the Subject line of the email. Include Applicant’s name, a contact person’s name

and telephone number, a list of the relevant filenames, and the password in the body of the email.

4. Attachment F – Benefit-Cost Analysis. Submit your Benefit-Cost Analysis for each Phase 2 Covered Project, completed as described in Appendix H. (Phase 2 applications for covered projects only)

5. Attachment G – Waiver Requests (optional). Submit your waiver request(s) as described in Appendix E.

6. Attachment H – Crosswalk Checklist. Complete and submit the Crosswalk Checklist from Appendix K of the NOFA. HUD will use this document during review to locate all required responses. When you fill out this checklist, you will be ensuring that your submission is complete and responds to all required elements of the NOFA.

7. Standard Forms. Complete and provide the forms listed below. The Applicant must be the signatory for these forms.

1. Application for Federal Assistance (SF-424). Applicants must include the nine digit zip code (zip code plus four digits) associated to the applicant address in box 8d of the SF424. The DUNS number used must have an active registration in SAM.

2. Disclosure of Lobbying Activities (SF-LLL). If this form does not apply, indicate that (e.g., writing “N/A”) on the form and submit it with your application.

3. Applicant/Recipient Disclosure/Update Report (form HUD-2880) (“HUD Applicant Recipient Disclosure Report”);

Third Party Documentation Facsimile Transmittal (Facsimile Transmittal Form on www.grants.gpv form HUD-96011), if applicable.

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 [Insert 180 days from date of publication]. 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.

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.

Applications must be received no later than the deadline. Please refer to the General Section for more information about timely receipt of applications.

HUD will provide the deadline date for invited Phase 2 applicants in the invitation to proceed following Phase 1. An invited Applicant will have 120 days from the date of the invitation to prepare and submit a Phase 2 application to HUD.

Applicants should carefully read the section titled “Application and Submission Information” in Section IV. of the General Section. This section contains information on how to find instructions for using Adobe Reader, HUD’s timely receipt policies, and other application information. Note: depending on the size of the attachment and the speed of your computer's internet connection, the submission process can take several hours. The system will shut down promptly at the deadline. Any incomplete application will not be accepted and no exceptions will be granted. HUD encourages applicants to submit their

applications early and with sufficient time to address any issues that might affect the applicant’s ability to have an application successfully uploaded and received by Grants.gov . HUD will not consider any application that does not meet the timely receipt requirements for electronic applications.

4. Intergovernmental Review.

This program is subject to Executive Order 12372, Intergovernmental Review of Federal Programs. Executive Order 12372 allows each state to designate an entity to perform a state review function. To determine if your state has designated a State Point of Contact (SPOC), please go to http://www.whitehouse.gov/omb/grants spoc/. States not listed on the website have chosen not to participate in the intergovernmental review process and, therefore, do not have a SPOC. If your state has a SPOC, you should contact the SPOC to see if that person/office is interested in reviewing your application before you submit it to HUD.

4. Funding Restrictions.

1. Statutory Time Limits.

1. Required Obligation Date. Funds appropriated for the CDBG-NDR program must be obligated by HUD on or before September 30, 2017. Any funds that are not obligated by that date will be recaptured by the Treasury, and thereafter will not be available for obligation for any purpose.

2. Required Expenditure Date. In accordance with P.L. 113-2, all CDBG-NDR funds must be expended within two years of the date HUD obligates funds to the grantee, unless a waiver is requested and granted prior (see Appendix E for more details). Any funds that are not expended by that date will be cancelled and recaptured by the Treasury, and thereafter will not be available for obligation or expenditure for any purpose.

3. Grant Size. The maximum grant award possible following Phase 2 is $500,000,000. The minimum award after Phase 2 is $1,000,000. You must identify scaling and scoping options for your Phase 2 proposal as described in the Soundness of Approach Factor. Also see Appendix H for details in completing a BCA for each Covered Project or phase thereof in your application. HUD will consider Applicant submission of Unmet Recovery Need in allocating a reserve pool of up to $30 million under a separate formula allocation Notice.

4. Budget Deductions. HUD may delete any unallowable items from your proposal and may reduce your grant amount accordingly. HUD will not fund any portion of an application that: (a) is not eligible for funding under specific HUD program statutory or regulatory requirements, as waived; (b) does not meet the requirements of this notice; or (c) is duplicative of other funded programs, cost, benefits, or activities. Only the eligible portions of an application (excluding duplicative portions) may be funded. Allowable costs for CDBG-NDR funds under this appropriation include only those necessary expenses to meet the unmet recovery needs of the most impacted and distressed target area identified in the application.

5. Grant Reduction or Recapture. If you are selected for funding, and if you then or subsequently propose to make a substantial amendment to your project, compared to what was presented in this application, HUD reserves the right to amend the award and reduce the amount or recapture the grant.

6. Withdrawal of Grant Amounts. If a grantee does not proceed within a reasonable timeframe, HUD reserves the right to withdraw any funds the grantee has not obligated under their award. If funds are withdrawn prior to September 30, 2017, HUD shall redistribute any withdrawn amounts to one or more other jurisdictions eligible for CDBG-DR funding.

7. Ineligible Activities. See the Cross-cutting section and Appendix A regarding ineligible uses of program funds.

F. Other Submission Requirements.

Partner. Each Partner must submit a letter of intent to participate as part of the Applicant’s Phase 1 applications for CDBG-NDR funds. For Phase 2, a letter of intent and a binding cooperation, subrecipient, or developer agreement, or a contract, as applicable, with the Applicant, contingent on grant award must be submitted with the Applicant’s CDBG-NDR application. See Appendices C and D for instructions on completing Partner documentation. The Applicant as Grantee will sign the Grant Agreement with HUD and be responsible for implementing the activities identified in application. The Grantee will be

responsible for ensuring compliance with requirements that all CDBG-NDR costs be necessary and reasonable, but, in the case of a Partner specifically identified in the application that the Grantee would be otherwise required by program requirements to competitively procure, will not be required by HUD to undertake additional procurement competition to secure the services of any Partner for an application selected under this NOFA. (In many cases, this will entail the Grantee undertaking a cost analysis prior to making payments to such a Partner.) The provisions of 24 CFR 85.36 set forth the conditions under which a grantee may engage in a non-competitive, single source procurement (§ 85.36 (d)(4)). Grantees

operating under part 85 are granted the authorization referenced under § 85.36 (d)(4)(i)(C) only regarding procurement of a duly documented Partner selected prior to the Applicant’s submission to HUD. State grantees that have not adopted part 85 should review state or local requirements associated with single source procurement to ensure continued consistency with § 85.36 and are advised to follow all applicable procurement requirements. All partnership documentation must be submitted with the application to be considered. If a Partner dissolves the partnership after award and before activities are complete, the Grantee should make its best effort to replace the Partner with a similarly skilled Partner, if the Grantee's application was rated and ranked based on the capacity of the dissolved Partner. The Grantee's application may have to be re-rated and re-ranked based on the lost capacity unless the Grantee's application provided a contingency plan for such loss. If a Grantee wants to add a Partner that is a contractor after award, then that selection would not be covered by the single-source permission above and would be subject to procurement requirements under part 85 or State law. Partners are encouraged, not required.

Treatment of Covered Projects (Hurricane Sandy and 2013 Disaster Grantees only). Applicants that received a CDBG-DR allocation in response to Hurricane Sandy will apply for CDBG-NDR funding under the terms specified in this NOFA, but will additionally be subject to or encouraged to follow additional guidance covered by the Federal Register Notices published November 18, 2013 (78 FR 69104) and June 3, 2014 (79 FR 31964). In these Notices, HUD describes requirements imposed by Public Law 113-2 (Appropriations Act) and waivers and alternative requirements applicable to the second allocation of Appropriation Act funds in response to Hurricane Sandy and disasters occurring in 2013. These Notices include special requirements for infrastructure projects and programs, including additional requirements for major infrastructure projects that meet the definition of a “covered project.”

The following paragraphs describe the treatment of “infrastructure projects,” “related infrastructure projects,” and “covered projects” (as defined in above-referenced Notices) by applicants that previously received grants in response to Hurricane Sandy and 2013 Disasters. This additional guidance only applies to CDBG-DR grantees covered by these Notices.

Applicants that Received a CDBG-DR Allocation in Response to Hurricane Sandy that wish to be considered for funding under the general pool of funding only:

1) Infrastructure Projects: HUD strongly encourages applicants that are subject to the November 18,

2014, Federal Register Notice to follow, to the extent applicable, the requirements for “infrastructure projects” and “related infrastructure projects” (defined in paragraph VI.2.b.) in paragraphs VI.2.c. through VI.2.f. (78 FR 69107). These applicants are also encouraged to follow the requirements for “covered projects” (defined in paragraph VI.2.g.) in paragraphs VI.2.g.(2)-(5) (78 FR 69107, 69108). Grantees are advised that paragraphs VI.2.g.(1) is inapplicable and is superseded by the project description requirements.

2. Covered Projects and Consultation with the Regional Coordination Working Group: In addition, although HUD review and HUD rating and ranking process described in this NOFA will supersede the HUD review of covered projects in paragraph VI.2.h., HUD encourages these applicants to submit activities that meet the definition of “covered project” to the Regional Coordination Working Group for consultation prior to applying for funding under the National Resilient Disaster Recovery Competition. The goal of this coordination effort is to promote a regional and cross-jurisdictional approach to resilience in which neighboring communities and states come together to: identify interdependencies among and across geography and infrastructure systems; compound individual investments towards shared goals; foster leadership; build capacity; and share information and best practices on infrastructure resilience.

3. Procedures: Submissions documenting voluntary compliance may be submitted as an attachment to an application and will not be counted toward page limits in the application. Submissions to the Regional Coordination Working Group for consultation should be sent to HUD to forward to the Regional Coordination Working Group.

Applicants that wish to be considered for funding under the set aside of $181 million for areas most impacted and distressed by Hurricane Sandy in New York State, New York City, and New Jersey. For applicants that wish to be considered for the Hurricane Sandy Recovery Set Aside (this may be in addition to the funding available to all applicants under this NOFA), submission to the Sandy Regional Coordination Working Group is mandatory. Accordingly, the actions described in paragraph I.A.(1) above are strongly encouraged, but the actions in paragraphs I.A.(2) and (3) above are mandatory for these grantees.

Applicants that Received a CDBG-DR Allocation in Response to 2013 Disasters. HUD strongly encourages applicants that are subject to the June 3, 2014, Notice to follow the requirements for “infrastructure projects” and “related infrastructure projects” (defined in paragraph V.3.b.) in paragraphs V.3.c. through V.3.f. (79 FR 31967, 31968). These applicants are also encouraged to follow the requirements for “covered projects” (defined in paragraph V.3.g.) in paragraphs V.3.g.(2)-(5) (79 FR 31968). Grantees are advised that paragraphs V.3.g.(1) and V.3.g.(5) are inapplicable and are superseded by the project description requirements and HUD rating and ranking process described in this NOFA.

Submissions documenting voluntary compliance may be submitted as an attachment to an application and will not be counted toward page limits in the application.

Reminders. In the process of preparing your submission, HUD also reminds you of the following, which may affect your approach to program design and the quality and compliance of your planning process and proposed project or program:

Affirmatively furthering fair housing. All activities under this NOFA shall be carried out in a manner that affirmatively furthers fair housing, as required by section 808(e)(5) of the Fair Housing Act, as amended (42 U.S.C. 3608(e)(5)). Each Applicant will make the required certification for CDBG-NDR activities, included in Appendix F. Successful Applicants shall adhere to HUD regulations at 24 CFR §§ 91.225 (local governments) or 325 (states) and 24 CFR § 570.601 and take appropriate actions to support and document compliance with the certification.

Limited English Proficiency (LEP). For assistance in ensuring that information regarding the CDBG-NDR planning process and this application is available to LEP populations, recipients should consult the Final Guidance to Federal Financial Assistance Recipients Regarding Title VI, Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons published on January 22, 2007, in the Federal Register (72 FR 2732).

Physical Accessibility. Note that all meetings must be held in facilities that are physically accessible to persons with disabilities. Where physical accessibility is not achievable, Applicants and Partners must give priority to alternative methods of product or information delivery that offer programs and activities to

qualified individuals with disabilities in the most integrated setting appropriate in accordance with HUD’s implementing regulations for section 504 of the Rehabilitation Act of 1973 (29 U.S.C.§ 794) at 24 CFR Part 8 and all applicable laws and regulations. In addition, all notices of and communications during all training sessions and public meetings shall be provided in a manner that is effective for persons with hearing, visual, and other communication-related disabilities or provide other means of accommodation for persons with disabilities consistent with section 504 of the Rehabilitation Act of 1973 and HUD’s section 504 regulations. See 24 CFR section 8.6.

Environmental review. Each Applicant under this NOFA will undertake environmental review responsibilities related to any awarded funds in accordance with Appendix A. This includes complying with environmental justice requirements as set forth in Executive Order 12898 (59 FR 7629) and HUD’s regulations.

Floodplain Management and Protection of Wetlands. HUD CDBG-DR grants must conform to Executive Orders 11988 on Floodplain Management and 11990 on Wetlands, as well as HUD’s regulations at 24 CFR 55, and 58, which may include identifying alternate locations, and, as necessary, modifying the project.

Design. HUD is seeking high quality designs. You are encouraged to select your architects, engineers and planners, and enlist local affiliates of national architectural, engineering and planning organizations such as the American Institute of Architects, the American Society of Landscape Architects, The American Society of Civil Engineers, the American Planning Association, and the department of architecture or engineering at a local college or university to assist you in assessing qualifications of design professionals or in participating on a selection panel that results in the procurement of excellent design services. You are strongly encouraged to select a design team that is committed to a process in which all residents and other stakeholders affected by the Qualified Disaster in your most impacted and distressed target areas participate in identifying threat(s) and/or hazard(s), vulnerabilities, and community development objectives and designing the resilient recovery proposal(s).

Prior to obligation of funds by HUD, the grantee will demonstrate that the engineering design for a project is feasible if a registered Professional Engineer (or other design professional) certifies that the design meets the appropriate code, or industry design and construction standards. HUD will not undertake an up-front comprehensive feasibility and effectiveness review of a proposed project because ensuring that a CDBG-NDR project is feasible, including having an appropriate design that will result in the proposed benefits (including meeting a national objective and carrying out activities in accordance with the Grantee’s Action Plan), and meets cost-reasonableness standards is a Grantee responsibility under the certifications provided with the application. The Phase 2 evaluation process will include consideration of feasibility and effectiveness of the project against current and future threats (see Factor 3). If during application review, HUD or other panel members identify any risk factors inherent in the proposed project, including project feasibility risks, HUD will impose additional management conditions on the grant, such as those listed in 24 CFR 85.12.

HUD encourages innovative proposals; however, all projects must consist of technologies that can be demonstrated to be effective.

In Phase 2, your Sources and Uses response must identify all project costs. CDBG-NDR funds may not be used for operations and maintenance of the project. In Phase 2, you will identify the source(s) and plan for operations and maintenance in your Leverage factor response and in your BCA, if applicable.

HUD expects well-designed projects to identify and, at a minimum, meet design or resilience standards as follows.

Safe Room. Any Safe Room construction, reconstruction, or rehabilitation is at least consistent with the requirements of FEMA P-320 or FEMA P-361.

Wind Retrofit. Wind retrofit construction, reconstruction, or rehabilitation activities funded under CDBG-DR are required to be implemented in conformance with FEMA-804.

Flood-related Activities. HUD recommends flood projects be designed and constructed in conformance with the design criteria of ASCE/SEI 24-05 as a minimum standard, if applicable.

Levees, Floodwalls and other flood control structures. HUD expects the Applicant or one of its Partners to take responsibility for operating and maintaining any levee, floodwall, or other flood control structure. One function of such a structure must be for the purpose of providing flood protection for existing structures at risk of flooding, although the CDBG-NDR project incorporating such a structure must also meet an Unmet Recovery Need and may include co-benefits that meet other community development objectives, but must not be created to reduce flooding to currently undeveloped land. A levee system proposed under this NOFA must be technically sound (i.e. levee is tied off to high ground, is geotechnically stable, etc.), well maintained, and provides reliable flood protection. Any levee proposed under this NOFA must meet FEMA accreditation standards on completion and the Sources and Uses statement must identify and the Leverage response commit to providing a source of funding for operations and maintenance of the levee in perpetuity. If HUD provides funding for such structure under this NOFA, HUD will impose special Grant Terms and Conditions governing the use of the funds, as further described in Appendix A. These terms will require the Grantee to provide HUD with certain information to be shared with Congress, other federal agencies, and affected parties, in part for the purpose of insuring that no additional federal resources are used for operations and maintenance of the structure in future. The terms also will require grantees to provide certain notices annually to property owners in the affected areas.

Section 3 of the Housing and Urban Development Act (Section 3). Applicants must certify that they will comply with Section 3 of the Housing and Urban Development Act of 1968, as amended (12 U.S.C. 1701u) and HUD’s implementing regulations at 24 CFR part 135. These authorities require recipients to ensure, to the greatest extent feasible, that training, employment, and contracting opportunities will be directed to Section 3 residents and Section 3 business concerns. Additional information on these requirements can be found at http ://www .hud .gov/secti on3

V. Application Review Information

A. Review Criteria.

A.1. Rating Factors.

Applications must respond to the rating factor criteria of the NOFA as the basis to be rated and ranked. Applicants must review and follow any documentation requirements provided in this Rating Factor Section and the instructions on application organization, content and submission. Minimums in factors and subfactors, as well as the overall total score for each phase, are effectively scored thresholds.

PHASE 1	Points	Minimum
Factor 1- Capacity	25	12
Subfactor: General Management	5
Subfactor: Technical Capacity	7
Subfactor: Community Engagement	7
Subfactor: Regional Capacity	6
Factor 2 – Need / Extent of the Problem	25	15
Subfactor: Unmet needs	5	3
Subfactor: Most Impacted and Distressed	5	3
Subfactor: Response to questions	15
Factor 3 – Soundness of Approach	30	15
Subfactor: Stakeholder consultation	15	5
Subfactor: Ideas/Concept	15	5
Factor 4 – Leverage and outcomes	15
Subfactor: Outcomes	7
Subfactor: Leverage narrative	6
Subfactor: Leverage commitments	2
Factor 5- Long-Term Commitment	5	1
Subtotal Phase 1	100	65
PHASE 2
Factor 1 – Capacity	20	14
Subfactor: Past Experience	10
Subfactor: Management structure	10
Factor 2- Need	20
Subfactor: Target area/unmet needs	5
Subfactor: Resilience need	8
Subfactor: Best actions	7
Factor 3 – Soundness of Approach	40	25
Subfactor: Project/frame correspond	10
Subfactor: Increases resilience to current and future disasters	10
Subfactor: Model/replicable/holistic	10
Subfactor: Schedule	5	1
Subfactor: Budget	3	1
Subfactor: Plan consistency	2
Factor 4 – Leverage	10
Factor 5 –Long-Term Commitment	10	2
Subtotal Phase 2	100	75
Benefit-Cost Analysis		Benefits reasonably demonstrated to justify Costs
Total	200	125

Factor 1: Phase 1 Capacity

Maximum Points: 25

1. General management capacity. (5 Points) You will be rated on the degree to which you demonstrate clear capacity, or a plan to get capacity, in managing federal funds, project management roughly on the scale of your idea or proposal, and leadership capacity to coordinate among proposed partners.

Have you decided on a specific government agency to implement the proposed activities? What is its role and management capacity?

Describe how the agency has (or plans to obtain) the relevant project management, quality assurance, financial and procurement, and internal control capacity to quickly launch and implement a major project.

Describe the agency’s experience working with and coordinating partners (including contractors, funders, subrecipients, community stakeholders, and other government agencies) in previous projects similar in scope of scale to the proposed activities. If you do not have such experience, how will you get it?

Who wrote this application, state/community staff or a professional technical or grant writer in a consulting or contract capacity? If a professional writer was the drafter, describe how the Applicant staff and decision makers were actively engaged in the writing process and how they will maintain Applicant systems understanding and analytic capacity over time.

2. Cross-disciplinary technical capacity (7 Points). For this subfactor, you will be rated on the degree to which you and any Partners possess sufficient cross-disciplinary capacity to fully design and implement a major project(s).

Describe the capacity of each of your partners. Specifically identify areas of expertise for yourself and each Partner.

How will you work across disciplines in achieving project goals? What experience does your team have in multi-disciplinary work?

What experience do you and your partners have with area-wide or comprehensive planning? With implementing large, complex programs or projects?

Describe how you and your Partners have the data analysis, public works, affordable housing, environmental quality, community engagement, design and engineering, affordable housing, economic revitalization, and other relevant capacity to quickly launch and implement a major project? Alternately, how will you get the capacity?

Specifically, do you or your Partner(s) have the capacity to identify and assess science-based information on existing and future risks from climate change? What is your capacity to assess and address possible future conditions and risks and possible benefits and outcomes, including resilience, of project(s) or program(s) over their lifetimes?

Do you or any Partner(s) have experience working with civil rights and fair housing issues including, for example, working with data to analyze racial or economic disparities?

How will you determine and ensure excellent design quality that enhances long-term resilience? Is the Applicant’s capacity to design or plan dependent on Partner capacity? If yes, describe the dependency.

What is your plan to regain capacity if a Partner drops out?

How do you determine whether a project is cost reasonable? Briefly describe your or your Partners’ experience with cost-benefit analysis, such as FEMA’s Hazard Mitigation Cost Effectiveness process or cost efficiency analysis for Department of Transportation programs? If you are proposing to work with no partner(s), explain why your approach is appropriate given your circumstances. Also, describe how you will procure or otherwise acquire capacity in the areas listed above, as applicable.

3. Community engagement capacity (7 Points). You will be rated on the extent to which you show capacity and experience with productive engagement with a wide range of community stakeholders, including vulnerable populations.

Describe your and your Partners’ capacity to engage community stakeholders, including those most likely to be affected by / most vulnerable to future threat(s) and hazard(s) including the effects of climate change, in discussing and identifying unmet recovery and resilience needs, and designing and selecting approaches to address the needs. How will feedback be implemented into the applications? Will outreach be done to continue keeping stakeholders involved in the process if the projects move into implementation?

How have you worked with and empowered formal and informal community leaders in the execution of past projects? In the recovery from your Qualified Disaster?

Do you or any Partner(s) have experience or capacity working with and harmonizing the contributions of diverse stakeholders in the consultation process?

3. Regional or multi-governmental capacity (6 Points). You will be rated on the extent you clearly demonstrate capacity to reach beyond the most impacted and distressed target area and work on a multi-governmental regional or statewide basis to address disaster recovery and resilience. (HUD strongly encourages using a multi-entity regional organization to expand the reach of the overall resilience effort beyond the most impacted and distressed target area for which CDBG-NDR funds may be used. Use of a multi-entity organization is not required and P.L. 113-2 requires that the Applicant not delegate or contract to any other party any inherently governmental responsibilities related to management of the funds, such as oversight, policy development, and financial management.)

What is the extent of your experience working on and effectively addressing regional problems? Describe how you will work regionally on resilience. Are the threat(s) and/or hazard(s) you are addressing regional? Would local solutions negatively affect other areas? Would a regional solution be more practical, protect a greater population, and be more cost effective? Are there best practices that can be used in building this regional approach?

Have you considered how a regional approach could reduce protected class-related disparities and improve choices and opportunities for vulnerable populations?

Will you use an existing multi-entity organization or establish a new one to carry out your proposed

		project? If yes, describe the entity’s role. If not, describe why not.
	Factor 2: Phase 1 Need/Extent of the Problem			Maximum Points: 25

HUD requires all Applicants to frame unmet disaster recovery, disaster relief, affordable housing, restoration of infrastructure, and economic revitalization need using an evidence-based practice approach, to the greatest extent feasible. To that end, the Applicant must cite or provide quality data sources or other evidence or information used in determining Unmet Recovery Need and justifying the conclusion that a particular geographic area is most impacted and distressed as a result of the effects of the Qualified Disaster. See Appendix G for detail and instructions on determining and documenting most impacted and distressed and Unmet Recovery Need.

HUD will provide points for this factor based on your clarity and thoroughness in your response. At a minimum, your response must describe the Unmet Recovery Needs of the most impacted and distressed area(s) as a result of the Qualified Disaster(s). HUD strongly encourages you to consider regional or statewide resilience needs that can be addressed with leveraged funding sources, and to specifically address present and future recovery, revitalization, and resilience needs resulting from current and projected effects of climate change in the geography considered.

First, provide a narrative summary with a cross-reference to your response to the Unmet Recovery Need and Most Impacted and Distressed threshold requirement. In your summary, describe your unmet needs and the characteristics and location of your geographic most impacted and distressed target area(s). HUD is only requiring you to submit one qualified most impacted and distressed target area to meet the threshold to participate in this competition. However, because the only allowable CDBG-NDR costs are necessary expenses tied back to the Unmet Recovery Needs of most impacted and distressed areas related to a Qualified Disaster, you may describe and justify additional most impacted and distressed target areas in your threshold submission and provide a summary for all areas in response to this Factor.

In addition, you must use a comprehensive risk approach to analyzing need that will inform the development of your proposed project or program. Your narrative must describe the science-based risk approach you will employ to select your project, or if proposing a recovery program, the approach you will employ to select projects and activities within your proposed program. At a minimum, your approach must include consideration of historical impacts and forward looking analysis of risks, including climate change and other risks that may affect the resilience of the community such as development patterns. This consideration should be based on a broad range of information and best available data, including forward-looking analyses of risks the affected project from climate change and other hazards, such as the Northeast, Midwest, Great Plains and Southwest United States Regional Climate Trends and Scenarios from the U.S. National Climate Assessment, the Sea Level Rise Tool for Sandy Recovery, or comparable peer-reviewed information. In addition, your approach should consider, to the extent feasible and appropriate, public health and safety impacts; direct and indirect economic impacts; social impacts; environmental impacts; cascading impacts and interdependencies within and across communities. You should employ an approach that, wherever possible, includes both quantitative and qualitative measures and recognizes the inherent uncertainty in predictive analysis.

In addition to the above, if you plan to approach responses to the factors from a geographic perspective larger than the minimum required geography (as HUD strongly encourages you to), you must provide a summary of the characteristics and location of that larger area(s) as well (5 points for Unmet Needs and 5 points for Impacted and Distressed).

Next, for Phase 1, consider and respond to the following questions, at a minimum as they relate to the Unmet Recovery Need tied back to the most impacted and distressed areas from the Qualified Disaster (15 points).

HUD expects you to comprehensively consider post-disaster threats, hazards, and vulnerabilities. What threat(s), hazard(s), or vulnerability(ies) are you are focusing on? How did you identify it/them? Who and what are/have been/will be affected by events related to them and what are the future risks from the threat(s), hazard(s), or vulnerability(ies)?

What data and other information did you use to identify the risk(s) or vulnerability(ies) and over what

timeframe? The law directs HUD to use the best available data. Why is the information you considered the best data in your geographic area?

As reported in the May 2014 National Climate Assessment, effects of climate change are already being felt and will continue to be felt in the future. These effects must be taken into account using a risk management approach, accounting for relevant uncertainties. Given the history of your region, climate change projections, demographic and development trends, and other factors as appropriate, what risks is your community facing? How serious and likely are the risks? What are your “known unknowns”? To what extent are public and private buildings, improvements, and residences in your community un-insured or under-insured for the risk(s) you have identified? If your community has been subject to repeated flooding, what is the estimated portion of the uninsured structures are subject to the so-called “one bite rule” related to the requirement to maintain federal flood insurance coverage? How has this affected and how will this affect your current recovery and future resilience? What factors are affecting individual and community decision about purchasing and maintaining sufficient insurance?

How will addressing the threat(s) and hazard(s) related to this vulnerability(ies) address specific unmet disaster recovery, affordable housing, economic revitalization or restoration of infrastructure needs from the Qualified Disaster? How will addressing the risks from this vulnerability help your community recover, protect your community’s recovery projects/efforts, or revitalize your community from the effects of the disaster you had?

Are there risks with disproportionate effects on any population groups? Describe and identify whether the disproportionate effects relate to household income or a particular protected class. Will some of the risks disproportionately affect those with accessibility challenges? Can potential solutions benefit those with functional needs? Does the identified vulnerability(ies) offer any opportunity(ies) for disaster recovery and economic revitalization, including resilience to future and current risk? Why is addressing the risk related to this vulnerability important to your state, region, and local community?

Are there existing conditions in your community that exacerbate vulnerability (e.g. environmental pollution, significant economic downturn)? You may cross-reference and summarize your response to the Most Impacted and Distressed threshold, if such a condition(s) is described there?

What have you already done to address the risks from this vulnerability(ies)? What barriers are keeping

you from completing a solution?
	Factor 3: Phase 1 Soundness of Approach		Maximum Points: 30

Overall in this factor, HUD will evaluate your responses for clarity, thoroughness, completeness, and inclusion of the input from, needs of, and potential benefits to vulnerable populations and the businesses that employ and serve them. HUD will evaluate your responses related to the Consultation subfactor based on the overall breadth of your consultation (and planned consultation) with regional local governments, state agencies, and stakeholders and their involvement in framing issues, determining priorities. HUD will evaluate responses related to the Idea or Concept subfactor based on innovativeness, relevance of the idea or concept to the expressed needs and objectives, and the extent to which the idea expressed involves cross-disciplinary or greater regional approaches, with a special focus on issues of importance to vulnerable subpopulations.

a. Consultation. (15 Points) Framing a disaster recovery problem generally requires discussion with stakeholders to increase the Applicant’s awareness of their recovery needs, community development issues and priority vulnerabilities. At the same time, the Applicant can provide data and technical assistance to increase stakeholder ability to contribute to the framing process.

What are your plans for collaboration, outreach, and communication? What have you already discussed with stakeholders?

Who are the stakeholders for this project, and how have you worked with them on developing this

proposal? How will you work with them if you are selected to go forward to Phase 2? How have you involved the greater community, especially vulnerable populations, in the development of this proposal? How have you worked with advocacy groups or directly with vulnerable populations to best identify their needs in the proposed approach?

Did any of your discussions with stakeholders bring to light potential cumulative impacts of your risks and vulnerabilities? Describe.

Have you considered and discussed with stakeholders the indirect risks and vulnerabilities in the environment of your most impacted and distressed target area and (optionally) region or state, with particular attention to potential sources of contamination, such as wastewater treatment facilities or brownfields?

How have the results of the collaboration with stakeholders, project partners, and/or citizens shaped your proposal? Provide a summary of the consultation process and complete and submit the Consultation Summary form in Appendix I.

b. Idea(s) or Concept(s). (15 Points)

Do you have an idea(s) or concept(s) that will address identified unmet

needs and the risks and opportunity(ies) of your vulnerability(ies) in a way that will make you more resilient? What is/are your general idea(s)? Build something? Relocate something? Finance something? Are you open to alternatives, or are you already committed to a particular approach? What actions have you already taken to make your state/community more resilient? Do you want to augment or replace existing actions? How will you ensure your idea will be feasible and effective at supporting recovery and resilience? Does your idea provide long-term or permanent resilience?

How are you considering potential co-benefits of implementing your idea (e.g. environmental and human health, workforce and business development)? Are there other community development objectives that can be met through your resilience project(s)? How does your idea represent integrated thinking across disciplines such as those listed in Phase 2 of the Capacity Factor? How has or will your proposal involve and address residents and small businesses that are least resilient or most vulnerable to future threat(s) and hazard(s), including future effects that may be caused by climate change?

How will your idea affect adjacent areas (positively or negatively)? Describe both potential positive and negative effects.

What are the local and regional interdependencies among sectors (e.g., housing, transportation, energy, environmental)? If you don’t know, how have you or will you collaborate with your neighbors to learn about and consider these issues?

Can you resolve your vulnerability(ies) and meet unmet recovery needs inside your jurisdiction, or will you need to work with other UGLGs or state(s) or regional organizations? If you need others, have you already approached them? If yes, are they supportive of this application? Do you have a formal agreement to cooperate? In what disciplines or areas? Can any other jurisdiction prevent you from addressing the risks from this vulnerability using your approach? Are there cross-jurisdictional mechanisms (plans, commitments, bodies with decision-making authority) that are already in place to support this activity?

Characterize your community’s overall approach to resilience now and in the foreseeable future. Characterize your community’s approach to resilience incorporating risks associated with climate change. Does your most impacted and distressed target area(s) and region or state participate in the National Flood Insurance Program (NFIP) Community Rating System? Do you participate in any other state, regional, national, or international program that rates overall community commitment to resilience? If yes, briefly describe your commitment, rating, and results. Does your state or community have a climate change adaptation plan? If yes, briefly describe the actions it outlines.

Factor 4: Phase 1 Leverage and Outcomes

Maximum Points: 15

HUD is linking leverage and outcomes in this section because resilient recovery projects usually need resources across a significant time period to achieve their goals and sustain their usefulness. Thus, leverage consists not only of planning, design and construction or implementation resources, it may also include resources to maintain or expand the improvement into the future, throughout its intended useful life. Maintaining an improvement across time is often easier if the improvement was designed and developed to be effective given future conditions and to be sustainable, in the sense of using green or natural resources or approaches compatible with or supporting the natural environment. Leverage may also include extending your resilience investments beyond the most impacted and distressed area(s) where you are allowed to use your CDBG-NDR assistance.

1. Outcomes (7 Points). For this rating subfactor, HUD will evaluate the degree to which your responses to the prompts demonstrate that you are seeking to achieve multiple disaster recovery (past) and community development objectives such as vulnerability and risk reduction (future) benefits in its effort. HUD will consider the degree to which you are seeking co-benefits from your proposed approach and that you measure and evaluate those benefits.

How long do you want your solution to last? Are you considering a large-scale up-front effort followed by limited maintenance (such as a flood or fire buyouts program) or a multi-phase construction project that will continue over time and require substantial resources to maintain it, such as construction of sections of a levee? Have you considered infrastructure solutions, such as green or nature-based infrastructure, that provide co-benefits, like recreational opportunities, stormwater management, summer cooling, or habitat? Whether or not your idea involves infrastructure investment, what are the potential co-benefits of implementing your idea? How can your idea be implemented in an environmentally and financially sustainable way? Can your response to your vulnerability be an opportunity to bring one or more potential community assets, such as unemployed persons, Section 3 residents and businesses, or blighted property, into place/condition to help economically revitalize your most impacted and distressed target area, and region or state?

What will success look like to you and how will you measure it? What specific program evaluation factors will you measure and incorporate in your Phase 2 proposal (if selected)?

2. Leverage (6 Points). For this rating subfactor, HUD will consider the degree to which you demonstrate commitment as an indicator of support in the community for the CDBG-NDR effort and the extent to which your response to narrative questions indicates a thorough exploration of potential funding and financing sources.

What local or regional partners or resources are you aware of that could potentially address the implementation and maintenance aspects of your response to your vulnerability? What conversations have you had with insurance or reinsurance representatives to discuss how your issues and vulnerabilities might affect risk considerations and insurance premiums for public and private property in your most impacted and distressed target area, and region or state? How your idea might affect risk considerations or attract co-funding from insurers or other community stakeholders?

How can potential co-benefits of implementing your idea (e.g. environmental and human health, workforce development) contribute toward its financing? Alternatively, what are the cost savings (by general type and order of magnitude) that you envision as part of the co-benefit approach (e.g. investment in X also saves money on Y)? What are the streams of public funding that are likely to be used differently as a result of this approach? For how long? To what extent do you have commitments that extend the reach of your idea or concept beyond the most impacted and distressed area eligible for CDBG-NDR funding? How far does your idea indicate your project may extend – multi-county, regional, statewide? To the extent you have commitments at the time of a Phase 1 submission to support planning and future implementation activities, applicants must demonstrate supporting commitments in accordance to the guidance provided under Factor 4: Phase 2 Leverage.

Committed Leverage Resources (up to 2 Points). You will receive 1 point if your application includes a total commitment of direct financial assistance (e.g. cash) in an amount not less than $50,000 from either yourself or a unit of general government Partner or a philanthropic organization and 2 points if the amount is not less than $250,000.

Note that grantees will be required to show evidence that committed leverage resources were actually received and used for their intended purposes through quarterly reports as the project proceeds. Sources of leverage funds may be substituted after grant award, as long as the dollar commitment is met.

Factor 5: Phase 1 Regional Coordination and Long-term		Maximum Points: 5
Commitment

Describe any significant or major steps you have already taken or are seriously considering that commit you to increasing the resilience in your jurisdiction regardless of whether you receive a CDBG-NDR award. HUD will only award points for Phase 1 or invite an Applicant to Phase 2 if it has already taken (after the date of the Qualified Disaster) or firmly commits to take within one year of the announcement of Phase 2 results, one or more actions improving permanent resilience in a geography including at a minimum its most impacted and distressed target area(s). HUD will evaluate your response this factor by assigning points for local, regional, and state commitments that may be reasonably expected to increase resilience. Up to 5 points are available and examples are provided in Phase 2: Factor 5 for categories and examples of changes that will be highly considered. In evaluating this factor, HUD will take into account the geographic scale of the area served by the resilience improvement or protection, and the degree to which the action as you describe it will clearly result in a significant improvement in resilience from the existing status or policy baseline for the area before the date of the Qualified Disaster. HUD will also take into account significant new actions taken after the date of NOFA publication. To receive points for this factor, you must provide a baseline and a goal outcome measure for at least one metric, (e.g., number of persons, households, businesses, acres of land, structures for XXX years) expected to be positively protected by each action or commitment. You must also provide the actual or planned effective date of any change. (See Factor 5: Phase 2 Long-Term Commitment for more detail.)

	Factor 1: Phase 2 Capacity		Maximum Points: 20
a. Past Experience of the Applicant (10 Points)

You will be rated on the extent to which you demonstrate recent experience in a wide range of areas related to understanding, planning for, and implementing disaster recovery and economic revitalization project(s) and program(s) in your community, together with experience working productively with team members and diverse stakeholders.

Provide examples of recent experience (within the last 3 years) managing resilient disaster recovery or other activities similar in scope, scale, and complexity to the ones you are proposing to undertake. Examples must include a discussion of the specific tasks undertaken, actual results achieved, and the specific skills and resources applied to each task. Describe concisely and separately your experience and your Partner(s) in the specific activity categories proposed, including at a minimum experience with, as applicable to your project or program:

General Administrative Capacity

Project management (or program management as applicable) and logistics

Procurement (both professional services and construction)

Contract management

Financial management

Accountability, Quality Control/Quality Assurance, Monitoring, Internal Audit

Rapid program design and launch

Determining, tracking, and evaluating project or program outcomes

Technical Capacity

Risk, impacts, and vulnerability assessment, including integration of information on extreme

weather events, climate variability, and climate change

Management of project design (architecture, landscape architecture, and engineering)

Site, city, and regional planning

Flood insurance and floodplain management

Insurance industry issues

Green (nature-based) infrastructure planning and implementation

Pre-development site preparation

Property disposition (as applicable)

Leveraged/mixed financing

Acquisition and disposition of real estate, including voluntary and involuntary relocation of

homes and businesses,

Rehabilitation and reconstruction of housing, commercial, industrial, and other structures,

Redevelopment of property, from procurement through occupancy or final use

Remediation of brownfields and contaminated sites and ecological restoration

Accessing operating and investment capital

Assessing technical feasibility and value engineering

Community Engagement and Inclusiveness

Regional collaboration

Cross-disciplinary collaboration

Community Engagement and Outreach, especially with vulnerable populations and their advocates Project coordination in partnership with other key implementing stakeholders

Consultation and stakeholder involvement during need determination, design, implementation, commissioning, and evaluation phases of a project

Working productively with other organizations, including meeting management (both facilitation and scheduling).

b. Management structure (10 Points)

HUD will evaluate this factor on the extent to which you demonstrate having and understanding a management structure consistent with high-quality implementation of a project or program of the scale you propose. References will be considered to the extent that they are relevant and independent.

(1)You must provide a description of your existing management structure, including any gaps or vacancies, or positions contingent on award, and including an organizational chart that identifies all key management positions and the names and positions of staff that will manage CDBG-NDR. You must also describe your key staff or positions and their specific roles and responsibilities for the day-to-day management of your proposed project or program. If you are applying with a Partner(s), provide this information for each organization and also describe the role of each entity. Clearly state whether your capacity to implement the project depends on a particular Partner. Describe your contingency plan if any Partner fails to act or is untimely. For any gap or vacancy, describe how and when you will fill the position or capacity gap. Do not include any individual’s Social Security Number in your application.

(2) References. You must include at least two references for recent work similar to, or of similar scope to, the programs covered under this NOFA and proposed to be undertaken by you. In addition, you may include one reference for each Partner. References should only include a contact name, address, phone number and email address so HUD may verify the information.

Alternatively, one reference may include one major news/feature or journal article, independent program evaluation, or a transcript from a reputable independent source other than you or a Partner. No video or audio recordings may be submitted.

Note that under Public Law 113-2, applicants may have a contractor assist in administration of the grant but they cannot cede inherent governmental responsibilities to a contractor.

Under this Capacity factor, HUD will only consider Partners who have firm agreements to work with or

for the Applicant if award is made (see Appendices C and D).
	Factor 2: Phase 2 Need/Extent of the Problem		Maximum Points: 20

a. Unmet Recovery Need and Target Geography (5 Points also a threshold factor)

HUD is looking for thorough, evidence-based descriptions of Unmet Recovery Needs in the most impacted and distressed area and of resilience and recovery needs in a wider geography (region or state), with a clear, logical conclusion regarding the most appropriate approaches to address the identified needs. You have completed Phase 1 and have a broad general framework that should extend beyond the CDBG-NDR most impacted and distressed target area and Unmet Recovery Needs and into the resilience needs of the larger region. Now you are proposing a specific project(s) for CDBG-NDR implementation funding, supported by leverage funding. In this narrative, you will focus on the CDBG-NDR target geography and needs addressed by the specific project(s) for CDBG-NDR and by the related funding described in the leverage factor (which may include supporting investments outside the most impacted and distressed target area).

You must identify the specific geography in which you will carry out your CDBG-NDR program or project, by eligible county and relevant smaller geographic area, such as local jurisdiction, neighborhood, and Census tract(s) or Census block group(s). You must identify separately the geography that qualifies under the Unmet Recovery Need and Most Impacted and Distressed threshold criteria (which should be substantially the same or inclusive of the geography that you discussed in your Phase 1 response to this Need Factor) and the overall proposed project area, if the areas are not identical. If a large number of Census tracts are involved, a list may be submitted as an attachment that will not count towards the page limit. You may apply for more than one project in more than one most impacted and distressed target area; if you do, indicate, provide delineated data for, and name each area. Also, describe each Covered Project separately in the BCA responding to Appendix H.

Update your Phase 1 analysis by providing a narrative describing the nature and extent of Unmet Recovery need and other needs in your target geography, noting any additional sources of information or data that may have changed the conclusions of your Phase 1 analysis. For Phase 2, you will add narrative (if it was not included in Phase 1) focused on any sub-area(s) that will be served or most affected by your proposed Phase 2 project(s) or program(s), based on best-available information from reputable sources. At a minimum, your narrative for this factor must address how the target area(s) qualifies as most impacted and distressed, and describe quantitatively the unmet disaster recovery, revitalization and resilience needs in this area. (As in Phase 1, needs for resilience must consider and address current and future threats and hazards.) As in Phase 1, HUD encourages you to consider and discuss needs in a broader geographic area. If you do, you must explain how the most impacted and distressed area served by your Phase 2 project fits into or relates to the overall area.

The Phase 2 Benefit-Cost Analysis (BCA) must at a minimum reflect benefits and costs associated with addressing all the needs described in this section; however, HUD encourages applicants to consider

additional benefits and costs beyond those associated with addressing these needs. Additional information or narrative to explain how monetary costs or benefits are established for the purpose of calculating a benefit-cost ratio may be included in the BCA Attachment to your Phase 2 application without counting against the application page limit.

As noted in Phase 1, in Appendix G, HUD provides the definition of “most impacted and distressed” that was used for formula allocations of P.L. 113-2 funding, along with a link to the data supporting the calculations. As with Phase 1, you may accept HUD’s definition for threshold purposes. However, for Phase 2, HUD expects the best applications to use quality data to further support and to describe other aspects demonstrating how the specific Phase 2 target geography is most impacted and distressed and has remaining recovery needs.

b. Resilience Needs Within Recovery Needs. (8 Points) Disasters result in loss of life and significant disruptions for communities, and are costly. Asking, “How much less costly could this event have been if... ” may provide a starting point to help you and stakeholders better understand the value of investment in resilience. To the extent that this narrative overlaps with your BCA for a Covered Project, you may provide a crosswalk or summary here for reviewers.

This section establishes a value (or range) for the unmet resilience needs embedded in your total recovery needs. In this section, you will describe the costs already incurred as a result of the Qualified Disaster(s), essentially following this formulation: “The disaster(s) in my community affected the community in a, b, and c ways and cost individuals d, local government e, insurance f, state government g, and the federal government Q. If my proposed project (or larger idea of which your project is a stand-alone portion(s)) had been implemented prior to the disaster(s), my community would have been affected by the disaster in x, y, and z ways and cost individuals h, local government i, insurance j, state government k, and the federal government M.” You must identify using quality data from an identified source (to the extent possible) and address in your narrative:

1. The extent to which action or investment that enhanced resilience could have limited the direct and indirect effects of the Qualified Disaster event(s). Include a general monetary estimate (within an order of magnitude, or scoped as a relationship to actual damages incurred) of how at least two resilient alternatives or features, such as improved drainage, green and nature-based infrastructure, water use efficiency, floodplain or fire zone buyouts, modern building codes or better code enforcement,

planning, regional coordination, could have reduced your overall disaster recovery needs. For example, strategically placed dunes and plantings could have limited by up to 70% the flooding and property damage in certain areas during a coastal storm. (Your actual proposed project described in the Soundness of Approach factor must address your identified current and future needs.)

2. Considering the above, estimate the general amount of total investment in resilience necessary to appropriately benefit your community cost-effectively now and in future. Put another way, How much will resilience improvements assist, protect, or support your long-term recovery and economic revitalization in your most impacted and distressed target area? In the region or state? Describe how you arrived at your estimates.

3. Past events have shown that vulnerable populations such as lower income households, persons with disabilities, homeless persons, the elderly, and minorities frequently are less resilient following a disaster. Describe the income characteristics of households in your most impacted and distressed target area(s) and provide breakouts to the extent available for vulnerable population types. What are the unmet recovery and resilience needs of lower income households, and the businesses that employ persons from lower income households, in your target area? In the overall area affected by the Qualified Disaster? In the region or state? What are the key projected demographic and economic development trends for those regions, including, if data are available, the unmet needs of persons with disabilities or accessibility challenges? Will the effects of these trends affect recovery and resilience needs? Quantify and monetize to the extent feasible.

(4) Describe any relevant social, governmental, educational, environmental, or economic factors contributing to or hindering disaster recovery and resilience in the most impacted and distressed target geography and wider region.

c. Appropriate approaches. (7 Points) Based on the above responses, describe which CDBG-NDR activity or program type(s) (as waived) is the optimal choice to improve disaster recovery and resilience in your most impacted and distressed target area, and the greater region or state, as applicable Describe which CDBG-NDR ineligible action or approach is the optimal choice to improve and maintain resilience in your overall project area. This is not the place to describe the specific projects you are proposing later in the Soundness of Approach factor. In this persuasive narrative, describe the more general logical conclusion(s) you have drawn from your consideration of the evidence you analyzed and the other information described above. Given your analysis, what are the most appropriate recovery approaches or types of action to meet your unmet recovery and revitalization needs and address your community development objectives, including increasing resilience to current and future hazards and threats? You must cross-reference or specifically update your Phase 1 proposal in this response.

For example, in a very low-lying area prone to repetitive flooding that the National Climate Assessment and other best-available information indicates will only worsen, the activity types most likely to improve both recovery and resilience might be voluntary flood buyouts inside the most impacted and distressed target area using CDBG-NDR funds and in the larger area using leverage funds, with conversion of the buyout properties to absorb and contain floodwaters from future events as well as create areas that provide recreation and habitat. This could be paired with construction of new neighborhoods with affordable housing on higher ground for participating families and businesses. A coastal community subject to extreme high winds and torrential downpours might choose more stringent local or statewide building codes coupled with an information campaign and incentives to create shelters in homes and public buildings, along with strategic stormwater management improvements, including reduction of impermeable surfaces. Inappropriate activity types might include extremely expensive infrastructure projects with unclear or limited quantifiable benefits for community, regional, state, and national interests; or projects that do not correspond to the unmet recovery and resilience needs described, or that are not designed for future conditions. Inappropriate activities would also include those that enable or encourage building in areas of high risk, or those predicted to face greater threats and hazards in the future.

Note again that consideration of how resilient infrastructure could limit disaster effects helps quantify the share and extent of unmet resilience need within the overall recovery and economic revitalization effort.

Factor 3: Phase 2 Soundness of Approach

Maximum Points: 40

In this factor, HUD is looking for compelling proposals reflecting sound approaches.

a. A sound approach addresses comprehensive recovery, including the risks from vulnerabilities and community development objectives identified in Phase 1 and the preceding factors in a manner that will clearly be effective in creating or supporting physical or economic recovery and maintaining it resiliently for the foreseeable future. A sound selection process can be defined as a clearly thoughtful process using current available science and consulting cross-disciplinary experts to identify and define problems, then researching and brainstorming solutions with significant community stakeholder involvement, and repeating this process recursively to arrive at comprehensive solutions for local issues. A proposal resulting from such a process will elegantly tailor an investment to the local resilience, recovery, and revitalization needs, and make every investment smart by having it serve multiple purposes and take advantage of every opportunity. In evaluating your narrative response to this section, HUD will consider the extent to which the correspondence between your project and the framing is clear, thoughtful, and compelling (10 points); whether your proposal clearly and significantly increases

resilience to current and future disasters in the most impacted and distressed area and beyond (10 points); and whether your approach is a model, replicable, or holistic (10 points).

In responding to items 2, 4 and 5 below, you should build on your Phase 1 response regarding success and how you will measure it and propose clearly defined goals and outcomes for your proposed project(s). Over the useful life of the proposal, projects should increase the level of protection and lead to significant improvements in your community's resilience. You must provide credible evidence that, once in service or underway, your proposed project(s) will decrease risk to vulnerable populations and improve community(ies) resilience. Even if you are not proposing a Covered Project, you must review the BCA instructions found in Appendix H and select metrics related to the “Resiliency Value,” ‘Environmental Value,” “Social value,” and “Economic Revitalization” categories that best relate to your proposed activities. You must propose at least one metric per category to track for each proposed project. HUD is allowing you latitude to set the desired outcomes and metrics that will result from implementation of your proposed projects and programs, requiring only that the proposed metrics be clearly relevant to measuring the success of your proposed project(s) in the context of the objectives you set out in response to this NOFA. HUD encourages you to go further and incorporate periodic evaluation of projects outcomes, including resilience outcomes, into the scope of your overall effort.

You will be evaluated on the clarity of the linkage between your measures and the needs, risks, and objectives you framed, the practicality of creating or accessing the information you propose to track, whether the responsibility and resources for data collection are clearly assigned or available by agency or entity, and whether you incorporate periodic evaluation of program outcomes into your overall effort.

In this context, your response to this factor:

1. Describes your proposed CDBG-NDR projects or programs and the alternatives you considered, clearly and concisely establishes how the proposed project responds to and addresses your Unmet Recovery Need and the framed recovery issues from Phase 1, and summarizes how your proposed project(s) or program(s) is eligible and meets a national objective (cross reference to your threshold response). (See Appendix E for instructions for waiver requests.)

2. Addresses the current and future risks from your identified vulnerabilities and other community development objectives. Specifically identify how and how much your proposed project(s) will increase the resilience of your most impacted and distressed target area, and region or state.

3. Describe how you (or any partners) will train and employ Section 3 persons and will contract with Section 3 business concerns for economic opportunities per HUD’s rules at 24 CFR 135.9. How will vulnerable populations benefit from your proposal?

4. Describe how your proposal represents a model for other communities. Is your proposal scalable? Replicable? Does it integrate existing required plans or strategies into a holistic vision?

5. Your proposal under this NOFA must be feasible, in the sense that you and your Partner(s) must be capable of implementing all of your proposed actions and activities sufficiently well to deliver the proposed benefits, including meeting the expected national objective. On another level, HUD will also consider whether your project has a feasible and effective design. For example, an infrastructure project must be designed in conformance with accepted design practices, established codes, standards, modeling techniques, or best practices. A project incorporating a financing assistance mechanism must respond to market conditions by identifying a market for the financial instrument and appropriately designing terms and conditions, and a project incorporating affordable housing must be designed to meet relevant building standards and be affordable to a particular market niche. For this subfactor, HUD will consider feasibility in the second sense, with a strong focus on how your project’s design will improve resilience.

Describe your project’s feasibility and effectiveness in providing protection from current and future threat(s) and hazard(s), including future risks associated with climate change. Indicate the level of

protection and the expected useful life of your project(s) after implementation or completion. The feasibility of the project must be supported by describing how the project design conforms (or will conform) with accepted design practices, established codes, standards, modeling techniques, or best practices. Estimate the resources, including operations and maintenance, by type and amount needed to maintain the usefulness of the project(s) over that time and identify the source of those resources. (You may provide a cross-reference to your Budget or Sources and Uses statement.) See section IV.F Other Submission Requirements for guidance and requirements that may affect your description of your project’s feasibility.

6. Describe how you consulted and allied with other jurisdictions in your region during both phases. Update your Phase 1 submission for Appendix I – Consultation Summary. Discuss the parties involved, the issues discussed or negotiated and the actions taken to support your resilient recovery and to advance increased resilience to extreme events, shocks and stresses arising from the identified future threat(s) and/or hazard(s) of your region as well. Describe how your proposed project fits into this larger framework.

7. Maps, drawings, renderings, and other graphical representations of the overall project or target area are optional, but encouraged. See the submission instructions the Application and Submission Requirements section of this NOFA.

2. BCA. You must complete a benefit-cost analysis covering each CDBG-NDR Covered Project. Instructions are in Appendix H. HUD will not fund any project for which the benefits are not demonstrated by the evidence submitted to justify the costs. HUD recognizes that cost efficiency analysis is particularly difficult for community development objectives and will take that difficulty in account in considering responses.

3. Scaling/scoping. You must identify opportunities for scaling, scoping, or phasing your proposed project, including relevant funding amounts and timing associated with each individual part. For a Covered Project, each part must be separately considered under the BCA. HUD reserves the right to adjust requested funding amounts downward to fit unmet needs as determined by HUD. You may provide a narrative here describing your phase or scoping priorities.

4. Program Schedule (5 points). You must provide a detailed and feasible schedule for completing all of your proposed activities within 24 months of the effective date of the Grant Agreement, or, if you submit a waiver request with your application, within the time requested (see Appendix E for instructions on HUD’s ability to extend deadlines and on making waiver requests.). Be sure to describe the level of environmental review required for your project(s). The schedule must identify each task and significant activity required for completing each project, including procurement, environmental review and obtaining federal, state, and local permits, and should list the planned start and completion dates of all tasks and CDBG-NDR activities within the proposed project or program. Specifically include a milestone(s) for the date(s) at which you expect your project(s) to become functional and the expected benefits realized.

5. Budget (3 points). You must provide a budget for the CDBG-NDR activities related to the grant that shows all projected sources of funds and estimates all applicable costs at a minimum, in the format required to set up and report on each project and activity in DRGR. (Before the beginning of Phase 2, HUD will provide all invited Applicants information on setting up and reporting on a CDBG-NDR project and activity in DRGR.) Describe how you determined the budget and how you will ensure that the project will be cost-effective, in line with industry standards, and appropriate for the scope of the project. HUD will evaluate your proposed project cost estimate on the extent to which projected sources are sufficient for the scope of the proposed project as a whole (not just the CDBG-NDR portion). To the extent that proposed supporting activities will include no CDBG-NDR investment and will not be set up in DRGR following grant award,

   
   

   provide the same level of information. Provide a detailed Sources and Uses statement that reflects all funding, including supporting commitments. The Sources and Uses Statement is not subject to page limits. The proposed uses for the CDBG-NDR funds must be identified in a separate column from other funds. You may provide additional description of your cost estimate in the narrative as needed to provide further detail on costs and/or detail restrictions associated with other sources.

f. Consistency with Other Planning Documents. This rating factor evaluates whether each applicant can provide evidence of consistency with other planning documents.

1. Consolidated Plan and/or Regional Sustainability Plan. You will receive 1 point if the proposed activities are consistent with the Consolidated Plan and/or with a regional sustainability plan for the jurisdiction in which the most impacted and distressed target area is located. All applications must include the Certification of Consistency with the Consolidated Plan (form HUD-2991) in your attachments or the Applicant must commit to updating the Consolidated Plan within 6 months of grant award. You must provide a copy of the relevant section from the regional sustainability plan or letter from the appropriate regional planning official in your attachments. Zero points will be awarded if the required documentation is not provided.

2. Mitigation Plan. You will receive 1 point if consistent with FEMA approved Local Mitigation Plan covering the most impacted and distressed target area. Provide relevant section from the plan/letter from the appropriate planning official in the comments (not covered by page limits). Zero points will be awarded if the documentation is not provided.

Factor 4: Phase 2 Leverage

Maximum Points: 10

HUD views leveraged commitments as an indicator of support in the community for this CDBG-NDR effort Phase 1) or project (Phase 2). These additional resources will also increase the effectiveness of the proposed grant activities. These rating factors evaluate the extent to which you demonstrate that you have secured financial and/or supporting commitments from other sources to implement the effort proposed in this application, in accordance with the criteria below.

(1). Program Requirements that Apply to Leverage. You must follow these requirements in compiling and documenting leverage for purposes of the NOFA. Otherwise, it may not be possible for HUD to count the commitment at the level claimed. These general requirements apply to all leverage resource commitments.

(2) Firmly Committed. Resources must be firmly committed as of the application deadline date. “Firmly committed” means that the amount of the resource and its dedication to CDBG-NDR Grant activities is explicit. Endorsements or general letters of support from organizations or vendors alone will not count as resources and should not be included in the application.

(3) Content. Leverage documents must represent valid and accurate commitments of future support. They must detail the dollar amount and any terms of the commitment. They must also indicate that the funding is available to you for the activities directly related to undertaking your CDBG-NDR proposal.

(a)If a commitment document is for more than one resource/amount, they should be indicated individually in the document rather than in one lump sum.

(b)An example of a good commitment: “X Agency commits to providing $100,000 in funds for a technical study to support the CDBG-NDR proposal in XX target area.”

(4) Signature. Resource commitments must be written and signed by a person authorized to make the commitment and dated. For example, a PHA nonprofit’s Executive Director cannot commit the funds of another agency, organization or government body (unless you can demonstrate otherwise in the application).

(5) Letterhead. Commitment letters must be on letterhead or they will not be accepted.

(6) If the commitment document is not included in the application and submitted before the NOFA deadline date, it will not be considered.

(7) Staff time and benefits of the Applicant and/or Partner(s) (if any) are not an eligible leverage resource.

(8) Sources of Leverage. Funding may come from a variety of sources, including any of the following:

1. Public, private, and nonprofit entities;

2. State and local housing finance agencies;

3. Local governments;

4. Foundations;

5. Government Sponsored Enterprises such as the Federal Home Loan Bank, Fannie Mae, and Freddie Mac;

6. Colleges and universities;

7. HUD and other federal agencies, provided the statutory language of the funding source allows the funds to be used for these purposes. Public Housing funds and other funding provided under the U.S. Housing Act of 1937, as amended may be not used as match or leverage. Funds awarded under P.L. 113-2 may not be considered as leverage, although annual CDBG awards under the HCD Act may be considered. In the case of HUD’s annual Community Development Block Grant (CDBG) funds, the work activity must be included in the CDBG recipient’s annual action plan. Such plans may be amended to include the CDBG-NDR funded activity(ies) eligible under those grants;

(h)Financial institutions, banks, or insurers;

(i) Other private funders.

(9) Supporting Commitments. A supporting commitment is funding that your Partners have available for their use to carry out activities that directly support the proposal. Examples of this type of commitment include a university professor who received grant funding to conduct a healthy environment study for the target area or a city that commits its own funding to conduct a traffic redesign study for an intersection or corridor in the target area or a state that changes its low-income housing tax credit qualified allocation plan to direct tax credit resources to meet affordable housing unmet needs of the target area. This does not include in-kind contributions, such as professional staff time or office and meeting space from your Partners.

(10) No funds may be counted towards the leverage factor to the extent that the CDBG-DR or CDBG-NDR funds are considered match or cost share by the source of those funds. The funds should still be included in the overall project(s) Budget required in the Soundness of Approach Factor.

You will receive up to 6 points as described below based on the amount of leveraged commitments relative to the amount of CDBG-NDR funds requested. In calculating the ratio, HUD will only include supporting commitments in an amount up to 1.5 times the amount of cash leverage that has been firmly committed. For example, if $200,000 of cash leverage is committed and $400,000 of supporting commitments is acceptable, HUD will only include $300,000 of the supporting commitments. If you propose both metro and non-metro projects in one application, HUD will score leverage commitments for each project in the appropriate column and award points based on the weighted average score between all projects. The weighting will be based on the specific percentage the leverage represents in relation to grant funds requested.

Leveraged Commitments as Percent of Grant Funds Requested (Applications for a Metro Area)	Leveraged Commitments as Percent of Grant Funds Requested (Applications for a Non-metro Area)	Points Awarded
100 percent and above	50 percent and above	6
Between 70.00 and 99.99 percent	Between 35.00 and 49.99 percent	4
Between 40.00 and 69.99 percent	Between 20.00 and 34.99 percent	2
Between 10.00 and 39.99 percent	Between 5.00 and 19.99 percent	1
Below 10 percent	Below 5 percent	0

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You will receive up to 4 additional points as follows:

HUD will rank applications by the amount of confirmed commitments of non-CDBG-DR direct financial assistance. The application with the largest documented commitment of non-CDBG-DR direct financial assistance (e.g. cash leverage), will receive 4 points.

The next application (ranked 2) will receive 3 points. The next application (ranked 3) will receive 2 points. The next applications (ranked 4) will receive 1 point.

Note that grantees will be required to show evidence that committed leverage resources were actually received and used for their intended purposes through quarterly reports as the project proceeds. Sources of leverage funds may be substituted after grant award, as long as the dollar commitment is met.

Factor 5: Phase 2 Regional Coordination and Long-term		Maximum Points: 10
Commitment

Before awarding points to your proposal for this factor, HUD requires a demonstration that you are committing your community to a more resilient future whether or not your proposal is selected for funding under this competition. You made a commitment in Phase 1. Have you completed the action you committed to? If not, provide your key milestones for completing that action within twelve months of grant award announcements.

What is the big change(s) you are making to improve resilience in your target area, region, or state? What actions have you already taken to establish measurably higher standards to improve resilience? HUD will evaluate your response this factor by assigning points for local, regional, and state commitments that may be reasonably expected to increase resilience. Up to 10 points are available and examples are provided below for categories and examples of changes that will be highly considered. In evaluating this factor, HUD will take into account the geographic scale of the area served by the resilience improvement or protection, and the degree to which the action as you describe it will clearly result in a significant improvement in resilience from the existing status or policy baseline for the area before the date of the Qualified Disaster. HUD will also take into account significant new actions taken after the date of NOFA publication. To receive points for this factor, you must provide a baseline and a

goal outcome measure for at least one metric, (e.g., number of persons, households, businesses, acres of land, structures for XXX years) expected to be positively protected by each action or commitment. You must also provide the actual or proposed effective date of the change.

If such change is not already implemented before your submission for Phase 2 but are planned for completion or implementation within one year of Phase 2 grant award announcements, you may include the change in this factor only if you also submit as an attachment to your application a signed letter with a firm commitment on the part of the entity responsible for taking and implementing the action to complete the changes by a date certain, subject to loss of some or all awarded funds to you if the entity fails to complete the change(s). (Such attachments are not subject to the page limits.) If you are proposing a Covered Project, you will only receive points for this subfactor if you incorporate consideration of the effects of these changes into your BCA by quantifying (or attempting to quantify) the value of each change.

1. Lessons learned. Describe how the lessons learned in developing and implementing your proposal will be embedded in your community’s and your region’s overall approach to resilience and recovery. Focus on changes that you or your Partner(s) are committing to undertake and that are most likely to measurably improve resilience at least during the projected useful life of your proposal for Phase 2, if not permanently. This subfactor is the general or miscellaneous category. If your commitment or change fits better under one of the subfactors below, you should describe it there, not here.

2. Legislative action. If you or any governmental Partner(s) have taken or will take legislative action(s) after the date of publication of this NOFA to enhance the resilience of your community(ies), describe the specific action(s). Examples of such actions include implementing significant updates to state and local building codes or zoning that reduces an identified vulnerability, and other matters within the span of control of the Applicant and public sector Partners.

3. Raising standards. HUD is encouraging you to consider raising enforceable standards for construction and other real property significantly above the minimum, but will also provide points to those communities who have already adopted above-established-guidelines-or-minimums standards that are measurably increasing resilience now and will continue to do so into the foreseeable future. Your response must identify your existing standard, if any, and the change you have already undertaken or propose.

1. If your community is subject to flooding, do you or will you require freeboard above the minimum NFIP requirements? Describe the requirement, and how this is or will be required and enforced in your state, region, or most impacted and distressed target area. For example, a community(ies) in your target area may opt to use FEMA’s latest maps plus at least 2 feet above base flood elevation.

2. Have you or will you raise standards for permeable surfaces and include green roof requirements for new construction or substantial reconstruction in the floodplain? Describe the requirement, and how this is or will be required and enforced in your most impacted and distressed target area, region or state.

3. Have you implemented or will you enhance state or local wetlands preservation mechanisms or requirements, including a compensatory mitigation plan, statute or ordinance, or have you or will you otherwise guarantee that wetlands within the 500 and 100 year floodplains will be preserved? Describe the mechanism or requirement, as well as how this is or will be required and enforced in your state, region, or most impacted and distressed area.

4. For non-flood hazards, describe the actions you have or will require beyond an established minimum standard to improve resilience. Within your response, if you are proposing a building code change, describe the current version of the model building codes you have adopted and enforced in the project area and provide a summary of or links to any relevant exceptions, un-adopted portions of the model, or adopted code supplements specific to non-flood hazard reduction.

d. Resilience actions related to plan updates or alignment. Communities have many tools to use to speed disaster recovery and to improve resilience. Ensuring that important plans align is a measure recommended by researchers and experienced funders. For example, according to the Georgetown Climate Center’s April 2014 Summary Report – Workshop on Disaster Relief, FEMA’s required hazard mitigation plans often do not relate to local land use plans and regulations, which may result in missed funding opportunities during post-disaster redevelopment. Other plans that may be considered for alignment include, for example:

Transportation (for example, SIPs, TIPs, long range transportation plans)

Disaster Recovery and Hazard Mitigation (FEMA Hazard Mitigation Plans, prior CDBG-DR Action Plans)

Housing (HUD’s Consolidated Plan, Continuum of Care commitments, Analysis of Impediments to Fair Housing Choice or Regional Fair Housing and Equity Assessments)

Economic Development (HUD’s Consolidated Plan, EDA’s CEDS plans, Promise Zones) Environment (Watershed management plans, Intended Use plans for Clean Water and/or Drinking Water, Coastal Zone Management Plans)

Climate Action Plans (formulated at the county or state level)

1. How have you updated your land-use plans since the date of the Qualified Disaster to reflect the best evidence-based risk information? How have you provided for swift or automatic updates to land-use plans post-disaster and how have you explicitly linked your hazard mitigation plan and land-use requirements to recognize post-disaster issues that may constrain your community’s access to FEMA funding in the event of a disaster? Describe the linkages between your hazard mitigation plan and local land use requirements and how the linkage will make your community resilient. Identify separately the changes that affect the most impacted and distressed target area and those that affect the region or state as a whole.

2. Do you or will you (or if you are a local government, your state) have an “Enhanced” Multi-Hazard Mitigation Plan incorporating consideration of long-term threats imposed by climate change? Describe the plan and how it will be implemented in your most impacted and distressed target area and in your region or state.

3. Are you participating in the Federal Highway Administration’s climate change vulnerability assessment program and identifying critical vulnerabilities to your transportation system? If yes, describe your participation and any permanent changes you have made since publication of the NOFA or plan to make in the next year as a result, and describe how these changes will affect resilience in your most impacted and distressed target area and in your region or state.

4. If you have aligned plans and planning processes other than those in 1 and 2 above since the date of the Qualified Disaster, identify the affected plans and describe the changes and their expected resilience effects in your most impacted and distressed area, region, or state.

e. Resilience actions related to financing and economic issues. In the leverage factor, HUD is awarding points for the amounts of funding committed to leverage and support your proposal. In this factor, HUD is looking at the duration and dedication of potential funding for improving resilience in your most impacted and distressed target area and in your region or state.

1. Do or will you have a financing source or mechanism that is dedicated to addressing an identified risk or vulnerability? Describe the source or mechanism (including its expected start and end (if any) dates, and annualized funding expected after the date of this NOFA) and the financing’s primary and co-benefits in your most impacted and distressed area and in your region or state. For example, Charlotte and Mecklenburg County, North Carolina, use storm-water fees to run a floodplain buyouts program that purchases properties to reduce future flood damage risks, improve the function of the floodplain, and increase property values.

2. Landlords that own and rent relatively small numbers of housing units to low- and moderate-income

3. 
   

   renters usually have difficulty securing sufficient credit for repairs after major disasters, leaving or exacerbating shortages in available affordable rental housing units post-disaster. Do you or will you have a financing source or mechanism available to improve the resilience of your stock of at-risk rental units in your most impacted distressed area, region, or state before, during, and after an extreme event? Describe the source or mechanism (including its expected start and end (if any) dates, and annualized funding expected after the date of this NOFA) and the financing’s primary and co-benefits in your most impacted and distressed area and in your region or state.

1. Low- and moderate-income persons are extremely vulnerable to income disruption following a disaster. Employers of low- and moderate-income persons, such as Section 3 employers, may have difficulties securing credit following a disaster, may not qualify for SBA assistance, and may be less likely to return to business at all. Do you have a financing source or mechanism available to improve the resilience of employers of low- and moderate-income persons (such as Section 3 residents) in your most impacted distressed area, region, or state? Describe the source or mechanism (including its expected start and end (if any) dates, and annualized funding expected after the date of this NOFA) and the financing’s primary and co-benefits in your most impacted and distressed area and in your region or state.

4. What actions will or have you take(n) to increase the percentage of appropriately and fully-insured private and public buildings, homes, and businesses in your most impacted and distressed area, region, or state? Describe these actions, expected outcomes and benefits, how vulnerable populations and the businesses serving them will be included, and how efforts to improve insurance coverage will necessarily continue over extended durations.

2. NOFA Priorities.

3. Bonus Points

This Program chooses not to award bonus points.

B. Reviews and Selection Process.

HUD’s selection process is designed to ensure that grants are awarded to eligible applicants that submit the most meritorious applications. HUD will consider the information you submit by the application deadline date. After the application deadline date, HUD may not, consistent with its regulations in 24 CFR part 4, subpart B, consider any unsolicited information that you or any third party may want to provide. HUD may verify information provided in your application as needed by sending a written request for clarification. Responses to such inquiries will be required within 2 business days.

1. Application Screening

1. HUD will screen each application to determine if:

(1)The key eligibility criteria in section III.A are met;

(2)It is deficient, i.e., contains any Technical Deficiencies; and

(3)It meets the threshold criteria expressly incorporated into this NOFA from section III.C.2.of the General Section (see section on Additional Overview Information for a list of incorporated General Section requirements).

2. Corrections to Deficient Applications – Cure Period. The subsection entitled, “Corrections to Deficient Applications,” in section V.C.2 of the General Section applies to this NOFA (see section on Additional Overview Information for a list of incorporated General Section requirements).. Examples of curable (correctable) technical deficiencies include, but are not limited to, inconsistencies in the funding request, the Key Eligibility Data Form is not filled out completely, failure to submit the standard forms, and failure

to submit a signature and/or date of signature on a certification. Failure to submit a narrative exhibit or an attachment is not a technical deficiency that can be corrected. As detailed in the General Section, all technical deficiency cure items must be submitted by facsimile using the Facsimile transmittal form HUD-96011 and inserting in the box for name of the document, Technical Deficiency or TC, plus the name of the document being faxed. HUD will match the item to the electronic application so HUD’s official records are complete including all cure items.

c. Applications that will not be rated or ranked. HUD will not rate or rank applications that are deficient at the end of the cure period stated in V. C.2 of the General Section, or do not meet the thresholds described in section III.C.2 of the General Section that are expressly incorporated into this NOFA.

2. Preliminary Rating and Ranking.

a. Rating.

1. Reviewers will preliminarily rate each eligible application, SOLELY on the basis of the rating factors described in V.A of this NOFA.

2. HUD will assign a preliminary score for each rating factor and a preliminary total score for each eligible application.

b. Ranking. After preliminary review, applications will be ranked in score order.

3. Final Panel Review.

a. A Final Review Panel will:

(1) Review the Preliminary Rating and Ranking documentation to:

1. Ensure that any inconsistencies between preliminary reviewers have been identified and rectified; and

2. Ensure that the Preliminary Rating and Ranking documentation accurately reflects the contents of the application.

(2) Assign a final score to each application and rank them in score order; and

(3) Recommend for selection the most highly rated applications, subject to the amount of available funding, and with consideration of the $181 million set aside for applications from New York City, and the States of New Jersey and New York.

(4) Selection Considerations.

1. Geographic diversity. HUD reserves the right to fund applications out of rank order to ensure geographic diversity of funding.

2. Minimum scoring. See the Scoring Table. Any applicant that does not reach all applicable minimum scores in the Factor rating summary table will not be awarded a Grant.

4. Tie Scores. If two or more applications have the same score and there are insufficient funds to select all of them, HUD will select for funding the application(s) with the highest score for the overall Need Rating Factors. If a tie remains, HUD will select for funding the application(s) with the highest score for the overall Capacity Rating Factors, then Soundness of Approach, Leverage, and Long-Term Commitment.

5. Remaining Funds. HUD reserves the right to reallocate remaining funds from this NOFA to other eligible entities under P.L. 113-2.

1. If the total amount of funds requested by all applications found eligible for funding under this NOFA is less than the amount of funds available from this NOFA, all eligible applications will be funded in rank order and those funds in excess of the total requested amount will be considered remaining funds.

2. If the total amount of funds requested by all applications found eligible for funding under this NOFA is greater than the amount of funds available from this NOFA, eligible applications will be

funded until the amount of non-awarded funds is less than the amount required to feasibly fund the next eligible application. In this case, the funds that have not been awarded will be considered remaining funds.

6. Review and Selection Process References from the General Section.

The section on Additional Overview Information in this NOFA incorporates the relevant General Section requirements applicable to this NOFA, including the sub-sections of section V.C of the General Section that address the selection process.

C. Anticipated Announcement and Award Dates.

HUD anticipates announcing winners of Phase 1 and invitations to Phase 2 under this NOFA approximately 2 months after the application due date for Phase 1, and awards for Phase 2, approximately 5 months later.

VI. Award Administration Information.

A. Award Notices.

1. Negotiation. HUD will follow the instructions in the General Section regarding negotiation with selected applications to determine the specific terms of the funding agreement and budget (see section on Additional Overview Information in this NOFA, which incorporates the section of the General Section requirements)..

2. Adjustments to Funding. HUD will follow the instructions in the General Section

regarding Adjustments to Funding (see section on Additional Overview Information in this NOFA, which incorporates section VI.A.2 of the General Section requirements). Note that in addition to the non-duplication provisions of the General Section, HUD will not award CDBG-NDR funds that would duplicate benefits as prohibited in Section 312 of the Stafford Act and Public Law 113-2. More guidance related to prevention of duplication of benefits is provided in a notice published in the Federal Register at 76 FR 71060 (November 16, 2011) and in Appendix A to this NOFA.

3. Funding Errors. The section on Additional Overview Information in this NOFA incorporates section VI.A.3 of the General Section regarding funding errors.

4. Performance and Compliance Actions of Funding Recipients. The section on Additional Overview Information in this NOFA incorporates section VI.A.4 of the General Section regarding performance and compliance of funding recipients.

5. Debriefing. HUD will provide an applicant a copy of the total score received by its application and the score received for each rating factor.

6. Initial Announcement. The HUD Reform Act prohibits HUD from notifying you as to whether or not you have been selected to receive a grant until it has announced all grant recipients. If your application has been found to be ineligible or if it did not receive enough points to be funded, you will not be notified until the successful applicants have been notified. HUD will provide written notification to all applicants, whether or not they have been selected for funding.

7. Proficient Financial Controls. The Applicant will certify that it has and will maintain proficient financial controls. Before HUD issues a grant agreement, the awardee will satisfactorily complete a Financial Control Checklist as described in Appendix A.

8. Award Letter. The notice of award letter is signed by the Assistant Secretary for Community Planning and Development or the delegated program or field office official and will be delivered by email and the U.S. Postal Service.

9. Grant Agreement. When you are selected to receive a grant, HUD will send you a grant agreement, which constitutes the contract between you and HUD to carry out and fund Grant activities. It is effective on the date of HUD’s signature, which is the second signature.

B. Administrative and National Policy Requirements.

In addition to the list below, see III.C.3 of this NOFA for administrative and national policy requirements.

1. DRGR Requirements. The grantee must report on all activities and record all obligations and expenditures in the Disaster Recovery Grant Reporting (DRGR) system as described in Appendix A.

2. Closeout. HUD will close out CDBG-NDR grants in accordance with Appendix A and Notice CPD 2014-02, insofar as the Notice applies to CDBG-DR grants.

3. To the extent that Administrative requirements of Section VI.B. of the General Section relate to requirements already referenced in Appendix A, the requirements will be implemented for CDBG-NDR grants in accordance with Appendix A.

4. Sections VI.B.10 and 11do not apply to State applicants under this NOFA. Such an applicant must follow the environmental review and administrative and cost principles requirements of Appendix A.

Note the technical amendment to the General Section, dated May 6, 2014, adding OMB recently published recently published Guidance for Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards which would supersede the Circulars referenced in the General Section and Appendix A. 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. Electronic copies of the OMB circulars are located at www.whitehouse.gov/omb/circulars_default. Printed copies may also be obtained from the Executive Office of the President Publications, New Executive Office Building, Room 2200, Washington, DC 20503; telephone number (202) 395-3080 (this is not a toll-free number). Individuals with speech or hearing impairments may access this number by dialing (800) 877-8339 (toll-free TTY Federal Relay Service).

C. Reporting.

Please refer to Section VI of the General Section for a description of the general reporting requirements applicable to this NOFA.

HUD shall require grantees under this NOFA to report the sources and uses of all amounts expended and other information for HUD’s annual report to Congress or other purposes as determined by HUD.

1. Quarterly Report.

a. If you are selected for funding, you must submit a quarterly report to HUD using DRGR as described in Appendix A.

1. HUD will provide training and technical assistance on the submitting of quarterly reports.

2. Completion of quarterly reports is mandatory for all grantees, and failure to do so within the required timeframe will result in corrective actions up to and including suspension of grant funds until the report is submitted and approved by HUD.

3. Grantees will be held to the milestones in the program schedule, as approved by HUD. Adjustments to the schedule may be made by the grantee only with prior HUD approval. All obligations of funds by the Applicant or a partner must be recorded as obligations in DRGR on at least a quarterly basis.

2. Race and Ethnic Data Reporting. The race and ethnic data reporting requirements of VI.C.3 of the General Section are not applicable. The CDBG regulatory requirements regarding recordkeeping and reporting at 24 CFR 570.506 for UGLGs, and 570.490 for states are applicable. Grantees will maintain the required records and submit summary racial and ethnic date by activity into DRGR each quarter, as such information becomes available as projects progress.

7. 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.

Before the application deadline date, HUD staff will be available to provide you with general guidance and technical assistance. However, HUD staff are not permitted to assist in preparing your application. If you have a question or need a clarification, you may send an e-mail message to [email protected] . Before the application deadline date, frequently asked questions (FAQs) on the NOFA will be posted to the National Resilient Disaster Competition webpage at https ://www.hudex.change.info /cdbg-dr/resilientrecovery . You may obtain general information about HUD’s CDBG-NDR program from HUD’s website at http://www.hud.gov .

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.

7. Other Information.

A Finding of No Significant Impact (FONSI) with respect to the environment has been made for this NOFA in accordance with HUD regulations at 24 CFR Part 50, which implement section 102(2)(C) of the National Environmental Policy Act of 1969 (42 U.S.C. 4332(2)(C)). The FONSI is available for inspection at HUD's Funds Available web page at http://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/grants/fundsavail

Paperwork Reduction Act Statement. OMB has granted emergency approval in lieu of an overly abbreviated comment period. A 60-day notice is forth-coming shortly. Comments on the 60-day notice should be directed to regulations.gov. The information collection requirements contained in this document were approved by the OMB under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB Control Number [Paperwork Reduction Act Number XXXX]. In accordance with the Paperwork Reduction Act, HUD may not conduct or sponsor, and a person is not required to respond to, a collection of information, unless the collection displays a currently valid OMB control number. The public reporting burden for the collection of information is estimated to average 35.59 hours for Planning Grant applications per annum per respondent for the application and grant administration. This includes the time for collecting, reviewing, and reporting the data for the application, quarterly reports, and final report. The information will be used for grantee selection and monitoring the administration of funds. Response to this request for information is required in order to receive the benefits to be derived.

Posting Application Information. After the selection process, HUD may post online certain summary and contact information from CDBG-NDR applications (e.g., the Executive Summary, Applicant contact information, etc.) to facilitate connections between eligible applicants (both those selected for grant funding and those who are not) and other entities (e.g., foundations, philanthropies, etc.) that might be interested in supporting the project proposed in the application.

Appendix.

Appendix A – Program and Post-Award Requirements (required) Appendix B – List of Qualified Counties (informational)

Appendix C – Phase 1 and Phase 2 Partner Letter (sample) Appendix D – Phase 2 Affiliate Agreement Terms (requirement) Appendix E – Phase 2 Instructions for Requesting Waivers (requirement)

Appendix F – Phase 1 and Phase 2 Certifications (requirement)

Appendix G – Phase 1 and Phase 2 Most Impacted and Distressed and Unmet Recovery Needs Criteria and Instructions (requirement)

Appendix H – Phase 2 Benefit-Cost Analysis Guidance for Covered Projects (guidance)

Appendix I – Phase 1 and Phase 2 Consultation Summary (requirement)

Appendix J – Phase 1 and Phase 2 Crosswalk Checklist (Table of Contents) (required submission)