[Federal Register Volume 69, Number 79 (Friday, April 23, 2004)]
[Notices]
[Pages 22320-22376]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-9276]
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Part V
Department of Housing and Urban Development
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Notice of Funding Availability for Fiscal Year (FY) 2004 Rural Housing
and Economic Development Program; Notice
Federal Register / Vol. 69, No. 79 / Friday, April 23, 2004 /
Notices
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4932-N-01]
Notice of Funding Availability for Fiscal Year (FY) 2004 Rural
Housing and Economic Development Program
AGENCY: Office of the Assistant Secretary for Community Planning and
Development, HUD.
ACTION: Notice of funding availability (NOFA).
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Overview Information
A. Federal Agency Name: Department of Housing and Urban
Development, Community Planning and Development, Office of Rural
Housing and Economic Development.
B. Funding Opportunity Title: Rural Housing and Economic
Development (RHED) program.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
4932-N-01. The OMB approval number is 2506-0169.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Rural
Housing and Economic Development. The CDFA number is 14.250.
F. DATES: Application Deadline: Applications are due May 24, 2004.
Please see Section IV of this NOFA for application submission,
delivery, and timely receipt requirements.
G. Optional, Additional Overview Content Information:
1. The purpose of the Rural Housing and Economic Development
program is to build capacity at the state and local level for rural
housing and economic development and to support innovative housing and
economic development activities in rural areas. The funds made
available under this program will be awarded competitively through a
selection process conducted by HUD in accordance with the HUD Reform
Act.
I. Funding Opportunity Description
A. Background
There has been a growing national recognition of the need to
enhance the capacity of local rural nonprofit organizations, community
development corporations, federally recognized Indian tribes, state
housing finance agencies (HFAs) and state economic development and
community development agencies to expand the supply of affordable
housing and to engage in economic development activities in rural
areas. A number of resources are available from the federal government
to address these problems, including programs of the United States
Department of Agriculture (USDA), the Economic Development
Administration (EDA), the Appalachian Regional Commission (ARC), the
Department of Interior (for Indian tribes), and HUD. The Rural Housing
and Economic Development program was developed to supplement these
resources and to focus specifically on capacity building and promoting
innovative approaches to housing and economic development in rural
areas. In administering these funds, HUD encourages you to coordinate
your activities with those supported by any of the agencies listed
above.
B. Definitions
1. Appalachia's Distressed Counties means those counties in
Appalachia that the Appalachian Regional Commission (ARC) has
determined to have unemployment and poverty rates that are 150 percent
of the respective U.S. rates and a per capita income that is less than
67 percent of the U.S. per capita income, and have counties with 200
percent of the U.S. poverty rate and one other indicator, such as the
percentage of overcrowded housing. Refer to http://www.arc.gov for a
list of ARC distressed counties and more information.
2. Colonia means any identifiable, rural community that:
a. Is located in the state of Arizona, California, New Mexico, or
Texas;
b. Is within 150 miles of the border between the U.S. and Mexico;
and
c. Is determined to be a Colonia on the basis of objective need
criteria, including a lack of potable water supply, lack of adequate
sewage systems, and lack of decent, safe, sanitary, and accessible
housing.
3. Farm Worker means a farm employee of an owner, tenant, labor
contractor, or other operator raising or harvesting agricultural or
aquacultural commodities; or a worker in the employment of a farm
operator, handling, planting, drying, packing, grading, storing,
delivering to storage or market, or carrying to market agricultural or
aquacultural commodities produced by the operator. Seasonal farm
workers are those farm employees who typically do not have a constant
year-round salary.
4. Firm Commitment means an agreement by which an applicant's
partner agrees to perform an activity specified in the application, and
demonstrates the financial capacity to deliver the resources necessary
to carry out the activity, and commits the resources to the activity,
either in cash or through in-kind contributions. It is irrevocable,
subject only to approval and receipt of a FY2004 Rural Housing and
Economic Development grant. Each letter of commitment must include the
organization's name and applicant's name, reference the Rural Housing
and Economic Development program, and describe the proposed total level
of commitment and responsibilities, expressed in dollar value for cash
or in-kind contributions, as they relate to the proposed program. The
commitment must be written on the letterhead of the participating
organization, must be signed by an official of the organization legally
able to make commitments on behalf of the organization, and must be
dated no earlier than the date of publication of this NOFA. In
documenting a firm commitment, the applicant's partner must:
a. Specify the authority by which the commitment is made, the
amount of the commitment, the proposed use of funds, and the
relationship of the commitment to the proposed investment. If the
committed activity is to be self-financed, the applicant's partner must
demonstrate its financial capability through a corporate or personal
financial statement or other appropriate means. If any portion of the
activity is to be financed through a lending institution, the
participant must provide evidence of the institution's commitment to
fund the loan;
b. Affirm that the firm commitment is contingent only upon the
receipt of FY2004 Rural Housing and Economic Development funds and
state a willingness on the part of the signatory to sign a legally
binding agreement (conditioned upon HUD's environmental review and
approval of a property where applicable) upon award of the grant.
5. Federally Recognized Indian tribe means any tribal entity
eligible to apply for funding and services from the Bureau of Indian
Affairs by virtue of its status as an Indian tribe. The list of
federally recognized Indian tribes can be found in the notice published
by the Department of the Interior on December 5, 2003 (68 FR 68180) and
is also available from HUD.
6. Innovative Housing Activities means projects, techniques,
methods, combinations of assistance, construction materials, energy
efficiency improvements, or financing institutions or sources new to
the eligible area or to its population. The innovative activities can
also build upon and enhance a model that already exists.
7. Local Rural Nonprofit Organization or Community Development
Corporation means either of the following:
[[Page 22321]]
a. Any private entity with tax-exempt status recognized by the
Internal Revenue Service (IRS) which serves the eligible rural area
identified in the application (including a local affiliate of a
national organization that provides technical and capacity building
assistance in rural areas); or
b. Any public nonprofit entity such as a Council of Governments
that will serve specific local nonprofit organizations in the eligible
area.
8. Lower Mississippi Delta Region means the eight-state, 240-
county/parish region defined by Congress in the Lower Mississippi Delta
Development Act, Public Law 100-460. Refer to http://www.dra.gov for
more information.
9. Eligible Rural Area means one of the following:
a. A non-urban place having fewer than 2,500 inhabitants (within or
outside of metropolitan areas).
b. A county with an urban population of 20,000 inhabitants or less.
c. Territory, including its persons and housing units, in the rural
portions of ``extended cities.'' The U.S. Census Bureau identifies the
rural portions of extended cities.
d. Open country that is not part of or associated with an urban
area. The USDA describes ``open country'' as a site separated by open
space from any adjacent densely populated urban area. Open space
includes undeveloped land, agricultural land, or sparsely settled
areas, but does not include physical barriers (such as rivers and
canals), public parks, commercial and industrial developments, small
areas reserved for recreational purposes, or open space set aside for
future development.
e. Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
10. State Community and/or Economic Development Agency means any
state agency that has promotion of economic development statewide or in
a local community as its primary purpose.
11. State Housing Finance Agency means any state agency created to
assist local communities and housing providers with financing
assistance for development of housing in rural areas, particularly for
low- and moderate-income people.
II. Award Information
A. Amount Allocated
1. Available Funds. Approximately $25 million in Fiscal Year (FY)
2004 funding (plus any additional funds available through recapture)
are being made available through this NOFA.
2. Funding Categories and Maximum Award Amounts. HUD will award up
to approximately $25 million on a competitive basis in the following,
funding categories. Applicants must apply for funds in only one of the
two categories: Category 1, Capacity Building, or Category 2, Support
for Innovative Housing and Economic Development Activities.
a. Category 1: Capacity Building. HUD will award up to
approximately $10 million to applicants for capacity building
activities. This amount will go directly to local rural nonprofit
organizations or community development corporations or federally
recognized Indian tribes to increase an organization's capacity to
support innovative housing and economic development activities. The
maximum amount awarded to a successful applicant in this category will
be $150,000.
b. Category 2: Support for Innovative Housing and Economic
Development Activities. HUD will award up to approximately $15 million
to federally recognized Indian tribes, state housing finance agencies
(HFAs), state community and/or economic development agencies, local
rural nonprofit organizations or community development corporations to
support innovative housing and economic development activities in rural
areas throughout the nation. The maximum amount awarded to a successful
applicant in this category will be $400,000.
B. Grant Amount.
In the event, you, the applicant, are awarded a grant that has been
reduced (e.g., the application contained some activities that were
ineligible or budget information did not support the request), you will
be required to modify your project plans and application to conform to
the terms of HUD's approval before execution of the grant agreement.
HUD reserves the right to reduce or de-obligate the award if suitable
modifications to the proposed project are not submitted by the awardee
within 90 days of the request. Any modifications must be within the
scope of the original application. HUD reserves the right to not make
awards under this NOFA.
C. Grant Period.
Recipients will have 36 months from the date of the executed grant
agreement to complete all project activities.
D. Notification of Approval or Disapproval.
HUD will notify you whether or not you have been selected for an
award. If you are selected, HUD's notice to you concerning the amount
of the grant award (based on the approved application) will constitute
HUD's conditional approval, subject to negotiation and execution of a
grant agreement by HUD.
III. Eligibility Information
A. Eligible Applicants
Eligible applicants for the Rural Housing and Economic Development
program are local rural nonprofit organizations and community
development corporations, federally recognized Indian tribes, state
housing finance agencies and state community and/or economic
development agencies. Eligible applicants for each of the funding
categories are as follows:
1. For Capacity Building Funding. If you are a local rural
nonprofit, including grassroots, faith-based and other community-based
grassroots organization, community development corporation, or
federally recognized Indian tribe, you are eligible for capacity
building funding to carry out innovative housing and economic
development activities that should lead to an applicant becoming self-
sustaining in the future.
2. For Support for Innovative Housing and Economic Development
Activities Funding. If you are a local rural nonprofit organizations,
including grassroots, faith-based and other community-based grassroots
organization, community development corporation, federally recognized
Indian tribe, state HFA, or state economic development or community
development agency, you may apply for funding to support innovative
housing and economic development activities in rural areas.
B. Cost Sharing or Matching
There is no match required under the Rural Housing and Economic
Development program. Applicants that submit evidence of leveraging
dollars under Rating Factor 4 ``Leveraging Resources'' will receive
points according to the scale under that factor.
C. Other
1. Eligible Activities. The following are examples of eligible
activities under the Rural Housing and Economic Development program.
These examples are illustrative and are not meant to limit the
activities that you may propose in your application:
a. For Capacity Building Funding. Capacity building for innovative
Rural Housing and Economic Development involves the enhancement of
existing organizations to carry out new functions
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or to perform existing functions more effectively. Permissible
activities include, but are not limited to, the following:
(1) Enhancement of existing functions or creation of new functions
to provide affordable housing and economic development in rural areas;
(2) Acquisition of additional space and support facilities;
(3) Salaries for additional staff needed to conduct the work,
including financial management specialists, and economic development
specialists;
(4) Training of staff in the areas of financial management,
economic development financing, housing accessibility and visitability
standards, fair housing issues, and complaint filing;
(5) Development of business plans to help the organization become
self-sustaining;
(6) Development of Management Information Systems (MISs) and
software to enable better and more accurate reporting of information to
HUD and to other entities;
(7) Development of feasibility studies and market studies;
(8) Training in energy efficiency in construction for housing and
commercial projects;
(9) Housing counseling services, including fair housing counseling,
information on budgeting, and information on credit and available
federal programs;
(10) Conducting conferences or meetings with other federal or state
agencies to inform residents of programs, rights, and responsibilities
associated with homebuying opportunities; and;
(11) Arranging for technical assistance to conduct needs
assessments, conduct asset inventories, and develop strategic plans.
b. For Support of Innovative Housing and Economic Development
Activities. This category is intended to support other costs for
innovative housing and economic development activities. Permissible
activities may include, but are not limited to the following:
(1) Cost of using new or innovative construction, energy
efficiency, or other techniques that will result in the design or
construction of innovative housing and economic development projects;
(2) Preparation of plans or of architectural or engineering
drawings;
(3) Preparation of legal documents, government paperwork, and
applications necessary for construction of housing and economic
development activities to occur in the jurisdiction;
(4) Acquisition of land and buildings;
(5) Demolition of property to permit construction or rehabilitation
activities to occur;
(6) Development of infrastructure to support the housing or
economic development activities;
(7) Purchase of construction materials;
(8) Job training to support the activities of the organization;
(9) Homeownership counseling, including fair housing counseling,
credit counseling, budgeting, access to credit, and other federal
assistance available;
(10) Conducting conferences or meetings with other federal or state
agencies to inform residents of programs, rights, and responsibilities
associated with homebuying opportunities;
(11) Development of feasibility studies and market studies;
(12) Development of Management Information Systems (MISs) and
software to enable better and more accurate reporting of information to
HUD and to other entities;
(13) Establishing Community Development Financial Institutions
(CDFIs), lines of credit, revolving loan funds, microenterprises, and
small business incubators; and
(14) Provision of direct financial assistance to homeowners/
businesses/developers, etc. This can be in the form of default
reserves, pooling/securitization mechanisms, loans, grants, funding
existing individual development accounts or similar activities.
2. Statutory and Regulatory Requirements. To be eligible for
funding under HUD NOFAs issued during FY2004, you, the applicant, must
meet all statutory and regulatory requirements applicable to this NOFA.
If you need copies of the program regulations, they are available from
the NOFA Information Center or through the http://www.grants.gov Web
site. HUD may also eliminate ineligible activities from funding
consideration and reduce funding amounts accordingly.
3. General HUD Threshold Requirements.
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. Beginning in FY2004, any applicant seeking funding
directly from HUD or other federal agencies must obtain a DUNS number
and include it in its SF 424 Application for Federal Assistance
submission. Failure to provide a DUNS number will prevent you from
obtaining an award. Individuals who would personally apply for federal
financial assistance, apart from any governmental, business, or
nonprofit organization they may represent, are excluded from the
requirement to obtain a DUNS number. This is pursuant to Office of
Management and Budget (OMB) Policy issued in the Federal Register on
June 27, 2003 (68 FR 38402). HUD's regulation implementing the DUNS
Number requirement for its programs was issued in the Federal Register
on March 26, 2004 (69 FR 15671). A copy of the OMB Federal Register
Notice and HUD's regulation implementing the DUNS number can be found
on HUD's Web site at http://www.hud.gov/offices/adm/grants/duns.cfm.
Failure to provide a DUNS number with the application submission will
be treated as a technical deficiency of the application. If the DUNS
number is not provided within the cure period (see section V.B.1.g.,
Corrections to Deficient Applications) the application will not be
funded. The Grants.gov Web page at http://www.grants.gov/GetStarted
provides step-by-step instructions for obtaining a DUNS number, as well
as procedures for registering in the Central Contractor Registry and e-
Authentication. Registration in the Central Contractor Registry and
receiving credentials from the Grants.gov E-Authentication provider are
not necessary for submitting a paper copy application to HUD; only the
DUNS number is required. Central contractor registration and e-
Authentication is required for submittal of electronic grant
applications through the Grants.gov portal. For FY2004, HUD is
maintaining its policy of accepting paper copies of the application.
However, it is HUD's intent to move to electronic submission of all
applications in FY2005.
c. Compliance with Fair Housing and Civil Rights Laws.
(1) Applicants must comply with all applicable fair housing and
civil rights requirements in 24 CFR 5.105(a).
(2) If you, the applicant:
(a) Have been charged with an on-going systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an on-going pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, Section
504 of the Rehabilitation Act of 1973, or Section 109 of the Housing
and Community Development Act of 1974; and
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(d) The charge, lawsuit or letter of findings referenced in subpart
(a), (b) or (c) above has not been resolved to HUD's satisfaction
before the application deadline, then you are ineligible and HUD will
not rate or rank your application. HUD will determine if actions to
resolve the charge, lawsuit, or letter of findings taken prior to the
application deadline are sufficient to resolve the matter.
(3) Examples of actions that normally would be considered
sufficient to resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.
d. Conducting Business In Accordance with Core Values and Ethical
Standards. Entities subject to 24 CFR parts 84 and 85 (most nonprofit
organizations and state, local, and tribal governments or government
agencies or instrumentalities that receive federal awards of financial
assistance) are required to develop and maintain a written code of
conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations
governing specific programs, your code of conduct must prohibit real
and apparent conflicts of interest that may arise among officers,
employees, or agents; prohibit the solicitation and acceptance of gifts
or gratuities by your officers, employees, and agents for their
personal benefit in excess of minimal value; and, outline
administrative and disciplinary actions available to remedy violations
of such standards. If you are awarded assistance under this NOFA, you
will be required, prior to entering into an agreement with HUD, to
submit a copy of your code of conduct and describe the methods you will
use to ensure that all officers, employees, and agents of your
organization are aware of your code of conduct. Failure to meet the
requirement for a code of conduct will prohibit you from receiving an
award of funds from HUD.
e. Delinquent Federal Debts. Consistent with the purpose and intent
of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal funds
shall be made to an applicant that has an outstanding delinquent
federal debt unless: (1) The delinquent account is paid in full; (2) a
negotiated repayment schedule is established and the repayment schedule
is not delinquent; or (3) other arrangements satisfactory to HUD are
made prior to the deadline submission date.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system in cases
where the selected applicant has no prior federal support, the program
office has reason to question whether the applicant's financial
management system meets federal financial management standards, or the
applicant is considered a high risk based upon past performance or
financial management findings. HUD will not disburse funds to any
applicant that does not have a financial management system that meets
federal standards. See Section VI.B for additional information on this
topic.
g. Name Check Review. Recommended applicants are subject to a name
check review process. Name checks are intended to reveal matters that
significantly reflect on the applicant's management and financial
integrity or if any key individuals have been convicted or are
presently facing criminal charges. If the name check reveals
significant adverse findings that reflect on the business integrity or
responsibility of the applicant or any key individual, HUD reserves the
right to (1) deny funding or consider suspension/termination of an
award immediately for cause; (2) require the removal of any key
individual from association with management or implementation of the
award; and (3) make appropriate provisions or revisions with respect to
the method of payment or financial reporting requirements.
h. False Statements. A false statement in an application is grounds
for denial or termination of an award and grounds for possible
punishment as provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. You, the applicant, are
subject to the provisions of Section 319 of Public Law 101-121
(approved October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment),
which prohibits recipients of federal contracts, grants, or loans from
using appropriated funds for lobbying the executive or legislative
branches of the federal government in connection with a specific
contract, grant, or loan. In addition, you must disclose, using
Standard Form-LLL ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, Members of Congress, and congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment.
j. Debarment and Suspension. In accordance with 24 CFR part 24, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended, from
doing business with the federal government. This requirement applies to
all lower tier covered transactions and to all solicitations for lower
tier covered transactions. The prohibition includes the following:
(1) Having principals who, within the previous three years, have
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (federal, state or local)
transaction, violation of federal or state anti-trust statutes or
commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen
property; and
(2) Charges or indictments by a governmental entity (federal, state
or local) for commission of any of the above violations.
4. Additional Non-discrimination and Other Requirements. You, the
applicant, and your subrecipients must comply with:
a. The Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et
seq.), the Age Discrimination Act of 1974 (42 U.S.C. 6101 et seq.), and
Title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681 et
seq.).
b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5)
of the Fair Housing Act, HUD is obliged to affirmatively further fair
housing. HUD requires the same of its funding recipients. If you are a
successful applicant, you will have a duty to affirmatively further
fair housing opportunities for classes protected under the Fair Housing
Act. Protected classes include race, color, national origin, religion,
sex, disability, and familial status. Your application must include
specific steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
[[Page 22324]]
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the rating factors in this
NOFA that address affirmatively furthering fair housing.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Recipients of assistance under this NOFA must comply with
Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C.
1701u (Economic Opportunities for Low- and Very Low-Income Persons in
Connection with Assisted Projects) and the HUD regulations at 24 CFR
part 135, including the reporting requirements at subpart E. Section 3
requires recipients to ensure that, to the greatest extent feasible,
training, employment, and other economic opportunities will be directed
to low- and very-low income persons, particularly those who are
recipients of government assistance for housing, and business concerns
that provide economic opportunities to low- and very low-income
persons.
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Woman-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
woman-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and tribal governments are required by 24 CFR 85.36(e) and
nonprofit recipients of assistance (grantees and subgrantees) by 24 CFR
84.44(b) to take all necessary affirmative steps in contracting for the
purchase of goods or services to assure that minority firms, women's
business enterprises, and labor surplus area firms are used whenever
possible, or as otherwise specified in this NOFA.
e. Relocation. The relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, and the implementing government-wide regulation at 49
CFR part 24 cover any person who moves permanently from real property
or moves personal property from real property directly because of
acquisition, rehabilitation, or demolition for an activity undertaken
with HUD assistance. Some HUD program regulations also cover persons
who are temporarily relocated. For example, 24 CFR
570.606(b)(2)(i)(D)(1)-(3) provides guidance on temporary relocation
for the CDBG program. You, the applicant should review the regulations
for the Rural Housing and Economic Development program when planning
your project.
f. Executive Order 13166, Improving Access to Services for Persons
With Limited English Proficiency (LEP). Executive Order 13166 seeks to
improve access to federally assisted services, programs and benefits
for individuals with limited English proficiency. Applicants obtaining
an award from HUD must seek to provide access to program benefits and
information to LEP individuals through translation and interpretive
services in accordance with LEP Guidance published on December 19, 2003
(68 FR 70967). For assistance and information regarding your LEP
obligation, go to www.LEP.gov.
g. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to guide
federal agencies in formulating and developing policies that have
implications for faith-based and community organizations to ensure the
equal protection for these organizations in social services programs
receiving federal financial assistance. Consistent with this order, HUD
has undertaken a review of all policies and regulations that have
implications for faith-based and community organizations, and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community-based organizations in HUD
program implementation. Copies of the regulatory changes can be found
at: http://www.hud.gov/grants/index.cfm.
h. Accessible Technology. The Rehabilitation Act Amendments of 1998
(the Act) applies to electronic information technology (EIT) used by
HUD for transmitting, receiving, using, or storing information to carry
out the responsibilities of any federal funds awarded. The Act's
coverage includes, but is not limited to, computers (hardware,
software, word-processing, email, and web pages), facsimile machines,
copiers, and telephones. Consistent with the principles of the Act, HUD
requires the same of its funding recipients. If you are a successful
applicant, you will be required when developing, procuring,
maintaining, or using EIT, to ensure that the EIT allows employees with
disabilities and members of the public with disabilities to have access
to and use of information and data that is comparable to the access and
use of information and data by employees and members of the public who
do not have disabilities. If these standards impose a hardship on a
funding recipient, the recipient may provide an alternative means to
allow the individual to have access to and use the information and
data. However, no recipient will be required to provide information
services to a person with disabilities at any location other than a
location at which the information services is generally provided.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
NOFA for procurement, and any person contracting with such an agency
with respect to work performed under an assisted contract, must comply
with the requirements of Section 6002 of the Solid Waste Disposal Act,
as amended by the Resource Conservation and Recovery Act.
In accordance with Section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the quantity acquired in the preceding fiscal year
exceeded $10,000; must procure solid waste management services in a
manner that maximizes energy and resource recovery; and must have
established an affirmative procurement program for procurement of
recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under this NOFA, all
successful applicants will be required to cooperate with all HUD staff
or contractors performing HUD-funded research or evaluation studies.
k. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. Compliance with
HUD regulations at 24 CFR 5.108 that implement Executive Order 13202 is
a condition of receipt of assistance under this NOFA.
l. Salary Limitation for Consultants. FY2004 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant, whether retained by the federal government or the grantee,
at more than the daily equivalent of the rate paid for level IV of the
Executive Schedule, unless specifically authorized by law.
[[Page 22325]]
m. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. Depending on applicant type, specific
OMB circulars listed below may apply. The policies, guidance, and
requirements of OMB Circular A-87 (Cost Principles Applicable to
Grants, Contracts and Other Agreements with State and Local
Governments), OMB Circular A-21 (Cost Principles for Education
Institutions), OMB Circular A-122 (Cost Principles for Non-Profit
Organizations), OMB Circular A-133 (Audits of States, Local
Governments, and Non-Profit Organizations), and the regulations at 24
CFR part 84 (Grants and Agreements with Institutions of Higher
Education, Hospitals, and other Non-Profit Organizations), and 24 CFR
part 85 (Administrative Requirements for Grants and Cooperative
Agreements to state, local, and federally recognized Indian tribal
governments), may apply to the award, acceptance, and use of assistance
under this NOFA, and to the remedies for non-compliance, except when
inconsistent with the provisions of the Consolidated Appropriations
Act, 2004 (Pub. L. 108-199, approved January 23, 2004), other federal
statutes or regulations, or the provisions of this NOFA. Copies of the
OMB Circulars may be obtained from EOP Publications, Room 2200, New
Executive Office Building, Washington, DC 20503, telephone (202) 395-
3080 (this is not a toll-free number), toll-free from 800-877 8339 (TTY
Federal Information Relay Service); or from the Web site, http://www.whitehouse.gov/omb/circulars/index.html.
n. Environmental Requirements. If you become a recipient under this
NOFA to assist physical development activities or property acquisition,
you are generally prohibited from acquiring, rehabilitating,
converting, demolishing, leasing, repairing or constructing property,
or committing or expending HUD or non-HUD funds for these types of
program activities, until HUD has completed an environmental review in
accordance with 24 CFR part 50. See Section V.B.7 for additional
information on this topic.
Requirements regarding the Environmental Review of project sites
proposed in your application for the Rural Housing and Economic
Development program are found at Section V.B.1.e. of this NOFA.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under this
NOFA, you are subject to 18 U.S.C. 208, the federal criminal conflict
of interest statute, and the Standards of Ethical Conduct for Employees
of the Executive Branch regulation published at 5 CFR part 2635. As a
result, if you have assisted or plan to assist applicants with
preparing applications for this NOFA, you may not serve on a selection
panel and you may not serve as a technical advisor to HUD. All
individuals involved in rating and ranking applications in response to
HUD's FY2004 NOFAs, either published simultaneously with this NOFA or
after the publication of this NOFA, including experts and consultants,
must avoid conflicts of interest and the appearance of conflicts.
Individuals involved in the rating and ranking of applications received
under this NOFA must disclose to HUD's General Counsel or HUD's Ethics
Law Division, if applicable, how the selection or non-selection of any
applicant under this NOFA will affect the individual's financial
interests, as provided in 18 U.S.C. 208, or how the application process
involves a party with whom the individual has a covered relationship
under 5 CFR 2635.502. The individual must disclose this information
prior to participating in any matter regarding this NOFA. If you have
questions regarding these provisions or if you have questions
concerning a conflict of interest, you may call the Office of General
Counsel, Ethics Law Division, at (202) 708-3815.
p. Drug-Free Workplace. If you receive an award of funds from HUD,
you are required to provide a drug-free workplace. Compliance with this
requirement means that you will do the following:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The notice must specify the actions that will be taken
against the employee for violation of this prohibition. The statement
must also notify employees as a condition of employment under the
federal award that they are required to abide by the terms of the
statement and that the employees must agree to notify the employer in
writing of any violation of a criminal drug statute in the workplace no
later than five calendar days after such violation.
(2) Establish an on-going drug-free awareness program to inform
employees about the following:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
and
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace.
(3) Notify the federal agency in writing within ten calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to the Office of Departmental
Grants Management and Oversight, Department of Housing and Urban
Development, 451 Seventh Street, SW., Room 3156, Washington, DC 20410-
3000, along with the following information:
(a) The program title and award number for each HUD award covered;
and
(b) The HUD staff contact name, phone, and fax number.
(4) Require that each employee engaged in the performance of the
federally funded activity be given a copy of the drug-free workplace
statement required in item (1) and notifying the employee that one of
the following actions will be taken against the employee within 30
calendar days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination, consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring the employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such purposes
by a federal, state, or local health, law enforcement, or other
appropriate agency.
5. Program-Specific Threshold Requirements.
a. The application must receive a minimum rating score of 75 points
to be considered for funding.
b. HUD will only fund eligible applicants as defined in this NOFA
under Section III.A.
c. Applicants must serve an eligible rural area as defined in
Section III. of this NOFA.
d. Proposed activities must meet the objectives of the Rural
Housing and Economic Development program.
6. Program Requirements:
a. Applicants must demonstrate that their activities will continue
to serve populations that are in need and that beneficiaries will have
a choice of innovative housing and economic development opportunities
as a result of these activities.
b. Environmental Review. Requirements regarding the Environmental
Review of project sites proposed in your application for the Rural
Housing and Economic
[[Page 22326]]
Development program are found at Section V.B.1.e, of this NOFA.
c. Executive Order 13202. Requirements regarding construction
projects proposed in your application for the Rural Housing and
Economic Development program can be found in Section V.B.7. of this
NOFA.
7. Energy Star. The Department of Housing and Urban Development has
adopted a wide-ranging energy action plan for improving energy
efficiency in all program areas. As a first step in implementing the
energy plan, HUD, the Environmental Protection Agency (EPA), and the
Department of Energy (DoE) have signed a joint partnership to promote
energy efficiency in HUD's affordable housing efforts and programs. The
purpose of the Energy Star partnership is to promote energy efficiency
in the affordable housing stock and to help protect the environment.
Awardees constructing, rehabilitating, or maintaining housing or
community facilities are encouraged to promote energy efficiency in
design and operations. They are urged especially to purchase and use
Energy Star labeled products. Awardees providing housing assistance or
counseling services are encouraged to promote Energy Star to homebuyers
and renters. Program activities may include developing Energy Star
promotional and information materials, outreach to low- and moderate-
income renters and buyers on the benefits and savings when using Energy
Star products and appliances, and promoting the designation of
community buildings and homes as Energy Star compliant. For further
information about Energy Star see http://www.energystar.gov or call
888-STAR-YES (888-782-7937). Persons with hearing or speech impairments
may access this number through TTY by calling 888-588-9920 or the toll-
free Federal Information Relay Service at 800-877-8339.
IV. Application and Submission Information
A. Address To Request Application Package
This section describes how you may obtain application forms. Copies
of the published Rural Housing and Economic Development NOFA and
application forms may be downloaded from the Grants.gov Web site at
http://www.grants.gov/Find or you may call HUD's NOFA Information
Center at 800-HUD-8929. (This is not a toll-free number.) Persons with
hearing or speech impairment may access this number through TTY by
calling toll-free Federal Information Relay Service at 800-877-8339.
1. Application Kit. An application kit for the Rural Housing and
Economic Development program is not necessary for submitting an
application in response to this announcement. This announcement
contains all the information necessary for the submission of your
application for the Rural Housing and Economic Development program. In
response to concerns about the length of time it takes for the
publication and dissemination of application kits, HUD has made an
effort to improve the readability of our NOFAs and publish all required
forms and formats for application submission in the Federal Register.
As a result of this effort, you will not have to wait for an
application kit to prepare your application for funding. HUD is
continuing to streamline programs and application submission
requirements and encourages the applicant community to offer additional
suggestions. Please pay attention to the submission requirements and
format for submission specified in this NOFA to ensure that you have
submitted all required elements of your application.
The published Federal Register document is the official document
that HUD uses to evaluate applications. Therefore, if there is a
discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy or
on http://www.Grants.gov/Find, the Federal Register publication
prevails. Please be sure to review your application submission against
the requirements in the Federal Register file of the NOFA(s) for which
you are interested in applying. Paper copies of these documents can be
obtained from the NOFA Information Center by calling 800-HUD-8929.
Persons with hearing or speech impairments may access this number
through TTY by calling the toll-free 800-HUD-2209.
2. Guidebook and Further Information. A guidebook to HUD programs
titled ``Connecting with Communities: A User's Guide to HUD Programs
and the FY2004 NOFA Process'' is available from the NOFA Information
Center and HUD's Web site at http://www.hud.gov. The guidebook provides
a brief description of all HUD programs, eligible applicants for the
programs, and examples of how programs can work in combination to serve
local community needs. To obtain a guidebook, or a paper copy of this
notice, call the NOFA Information Center at 800-HUD-8929. Persons with
hearing or speech impairments may access this number through TTY by
calling the toll-free 800-HUD-2209.
You may request general information, paper copies of this NOFA and
HUD NOFA policy requirements, and applications from the NOFA
Information Center (800-HUD-8929 or 800-HUD-2209 (TTY)) between the
hours of 9 a.m. and 8 p.m. (Eastern time) Monday through Friday, except
on federal holidays. When requesting information, please refer to the
name of the program you are interested in. Be sure to provide your
name, address (including ZIP Code), and telephone number (including
area code). You can also obtain information on this NOFA and download
application information for HUD programs issued via NOFA during FY2004
through the http://www.Grants.gov Web site.
B. Content and Form of Application Submission
1. Application Submission Requirements. Be sure to read and follow
the application submission requirements carefully.
a. Page Numbering. All pages of the application must be numbered
sequentially. Your application must include an original and two copies
of the items listed below.
b. Application Items. Your application must contain the items
listed in this section. These items include the HUD standard forms and
non-standard certifications that can be found in the Appendices to this
NOFA. The items are as follows:
(1) A transmittal letter that must include the category under which
you are applying, the dollar amount requested, the category under which
you qualify for demographics of distress special factor under Rating
Factor 2 ``Need and Extent of the Problem'', which of the five
definitions of the term ``rural area'' set forth in Section III
(I.B.9.) of this NOFA applies to the proposed service area, and
accompanying documentation as indicated on the form.
(2) Table of Contents.
(3) A signed SF-424 (application form).
(4) Assurances Non-Construction Programs (HUD-424B).
(5) Disclosure of Lobbying Activities (SF-LLL).
(6) Applicant/Recipient Disclosure/Update Report (HUD-2880).
(7) Client Comments and Suggestions (HUD 2994) (Optional).
(8) Survey on Ensuring Equal Opportunity for Applicants (HUD-
23004).
[[Page 22327]]
(9) Program Outcome Logic Model (HUD-96010).
(10) SF-424 Supplement Survey on Equal Opportunity for Applicants
(optional submission).
(11) A budget for all funds (federal and non-federal including HUD-
424CB and HUD 424-CBW).
(12) Certification of Consistency with RC/EZ/EC Strategic Plan
(HUD-2990), if applicable.
(13) Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable.
(14) Racial and Ethnic Data Reporting Form (HUD-27061).
(15) Documentation of funds pledged in support of Rating Factor 4--
`` Leveraging Resources'' (which will not be counted in the 15-page
limitation). Documentation must be in the form of a firm commitment as
defined in Section I.B.4. of this NOFA.
(16) The required certifications and assurances (signed, as
appropriate, and attached as an Appendix).
(17) Acknowledgment of the Application receipt form (HUD 2993)
(submitted with application and returned to you as verification of
timely receipt).
(18) If you are a private nonprofit organization, a copy of your
organization's IRS ruling providing tax-exempt status under section 501
of the Internal Revenue Code of 1986, as amended.
(19) Narrative response to Factors for Award.
(a) A description of your organization and assignment of
responsibilities for the work to be carried out under the grant (Rating
Factor 1).
(b) A description of the need and extent of the problem and
populations to be served (Rating Factor 2).
(c) A workplan that demonstrates your soundness of approach and the
clear linkage between rural housing and economic development (Rating
Factor 3). In addressing this submission requirement, you must:
(i) Describe the activities you propose to undertake that address
the needs, which have been identified, the linkage between rural
housing and economic development, as well as the specific outcomes you
expect to achieve.
(ii) Include a management plan that identifies the specific actions
you will take to complete the proposed activities on time and a budget
in the format provided that explains the uses of both federal and non-
federal funds and the period of performance under the grant.
(iii) Include a discussion of the process by which the work
accomplished with the grant will be evaluated to determine if the
objectives of the grant were met.
(d) Identify the resources that will be leveraged by the amount of
this grant's funding that you are requesting (Rating Factor 4). To
receive the maximum number of points under Rating Factor 4 you must
provide evidence of firm commitments.
(e) You must describe the extent to which your program reflects a
coordinated, community-based process of identifying needs and building
a system to address these needs, providing program beneficiaries with
outcomes that result in increased independence and empowerment, and the
potential for your organization to become financially self-sustaining.
You must also describe how your activities will achieve the program
outcomes, as described in Rating Factor 5 (Achieving Results and
Program Evaluation), namely, where applicable, the number of housing
units constructed, the number of housing units rehabilitated, the
number of jobs created, the number of jobs retained, the number of
participants trained, the number of new businesses created and the
number of existing businesses assisted, number of housing units
rehabilitated that will be made available to low-to-moderate income
participants, percentage change in earnings as a result of employment
for those participants, the percent of trained participants who find a
job, annual estimated savings for low-income families as a result of
energy efficiency improvements (Rating Factor 5).
(f) The total narrative response to all factors should not exceed
15 pages and must be submitted on 8.5'' by 11'' paper, using a 12 point
font, with lines double spaced and printed only on one side. Please
note that, although submitting pages in excess of the page limit will
not disqualify your application, HUD will not consider or review the
information on any excess pages, which may result in a lower score or
failure to meet a threshold.
(20) Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD 27300).
C. Submission Dates and Times
1. Applications for the Rural Housing and Economic Development
program must be postmarked at or before midnight of the application due
date and received in HUD headquarters on or within five days after the
application due date.
2. Applications received more than five days after the application
due date will be deemed late and will not be considered.
3. Only one application will be accepted from any given
organization. If more than one application is received from an
organization, the application that was received first in HUD's
Processing and Control Unit will be considered for funding. Any
subsequent application from that organization will be deemed
ineligible.
----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit
----------------------------------------------------------------------------------------------------------------
Application.......................... ....................... ....................... May 24, 2004
Transmittal Letter
Application Form................. ....................... SF-424.................
Budget information............... (per required form).... HUD-CB.................
HUD-CBW................
Rating Factors: Narrative........ Described in Section
V.A. of this
announcement.
Assurances....................... (per required form).... HUD-424B...............
Disclosure Update................ ......do............... HUD-2880...............
Disclosure of Lobby.............. ......do............... SF-LLL.................
Certification of RC/EZ........... ......do............... HUD-2990...............
Certification of Consistency with ......do............... HUD 2991...............
Consolidated Plan.
Acknowledgement of Receipt....... ......do............... HUD-2993...............
Comments and Suggestions......... ......do............... HUD-2994...............
Survey on Ensuring Equal ......do............... HUD-23004..............
Opportunity for Applicants.
[[Page 22328]]
Racial and Ethnic Data Reporting ......do............... HUD-27061..............
Form.
Logic Model...................... ......do............... HUD-96010..............
Questionnaire for HUD's ......do............... HUD-27300..............
Initiative on Removal of
Regulatory Barriers.
----------------------------------------------------------------------------------------------------------------
D. Intergovernmental Agency Review
Intergovernmental agency review is not required for this program.
E. Funding Restrictions
1. Administrative Costs. Administrative costs for assistance under
the Rural Housing and Economic Development program may not exceed 15
percent of the total HUD Rural Housing and Economic Development grant
award.
2. Multiple Capacity Building Grants. If you have received two or
more Rural Housing and Economic Development grants for capacity
building since 1999, you are not eligible to apply under Category 1:
Capacity Building.
3. Ineligible Activities. RHED funds cannot be used for the
following activities:
a. Income payments to subsidize individuals or families;
b. Political activities;
c. General governmental expenses other than expenses related to the
administrative cost of the grant; or
d. Projects or activities intended for personal gain or private
use.
HUD reserves the right to reduce or deobligate the award if
suitable modifications to the proposed project are not submitted by the
awardee within 90 days of the request. Any modification must be within
the scope of the original application. HUD reserves the right not to
make awards under this NOFA.
F. Other Submission Requirements
1. Address for Submitting Applications. Completed applications (one
original and two complete copies) must be submitted to Processing and
Control Unit, Room 7251, Office of Community Planning and Development,
Department of Housing and Urban Development, 451 Seventh Street, SW.,
Washington, DC 20410-7000, ATTN: Office of Rural Housing and Economic
Development. When submitting your application, please include your
name, mailing address (including ZIP Code), telephone number, and fax
number (including area code).
2. Delivery and Receipt Procedures. The following procedures apply
to the delivery and receipt of applications in HUD Headquarters. Please
read the following instructions carefully and completely, because
failure to comply with these procedures may disqualify your
application. HUD's delivery and receipt policies are:
a. Hand deliveries will be permitted. However, if HUD staff are not
available to accept your package or the courier service is not allowed
to enter the building to deliver the package due to security or other
reasons, the package will be determined not delivered and not accepted
by HUD. In such instances, HUD recommends that you, the applicant, or
your agent take your package to the nearest post office and follow the
mailing instructions for postal service timely delivery. HUD will not
take responsibility for ensuring that staff is available to take your
package or breach security measures in order to accept an undeliverable
package.
b. HUD will not accept or consider any application sent by
facsimile.
c. HUD urges applicants sending packages by courier to the Robert
C. Weaver Headquarters Building to use the following courier services,
because these services have unescorted access to these buildings: DHL,
Falcon Carrier, Federal Express (FedEx), and United Parcel Service
(UPS). Packages may be mailed using the United States Postal Service.
Mailed applications will be accepted as being timely submitted if they
are received at the designated HUD location (including specified room
number for receipt) within five days after the due date and show a
postmark of being delivered to the postal facility for mailing by the
application due date and time. If the Postal Service does not normally
postmark large packages, the proof of timely submission shall be
receipt of the application within five days after the due date at the
designated HUD location and, upon request by an HUD official, proof of
mailing using USPS Form 3817 (Certificate of Mailing) or a receipt from
the Postal Service which contains the post office name, location, and
date and time of mailing. For submission through the United States
Postal Service, no other proof of timely submission will be accepted.
d. Applications mailed to a location or office not designated for
receipt of the application, which results in the designated office not
receiving your application in accordance with the requirements for
timely submission, will result in your application being considered
late and will not receive funding consideration. HUD will not be
responsible for directing packages to the appropriate office.
Applicants should pay close attention to these submission and
timely receipt instructions as it can make a difference in HUD
accepting your application for funding consideration. Please remember
that mail sent to federal facilities is screened prior to delivery, so
please allow sufficient time for your package to be delivered. If an
application is received late because of the processing time required
for the screening, the application will not be considered for funding.
3. Proof of Timely Submission. Proof of timely submission of an
application is specified below.
a. In the case of packages sent to HUD via a delivery service,
other than the United States Postal Service, timely submission shall be
evidenced via a delivery service receipt indicating that the
application was delivered to a carrier service at least 24 hours prior
to the application deadline, and, if applicable, that through no fault
of the applicant, the delivery could not be made on or before the
application due date. Couriers turned away from an HUD facility due to
security issues will not be considered as meeting the requirement of
``no fault of the applicant,'' because applicants have been advised
that delivery delays can arise when using courier services, resulting
in a late application submission.
b. For packages submitted via the United States Postal Service,
proof of timely submission shall be a postmark not later than the
application due date or receipt not later than five days after the
application due date at the designated HUD facility and, upon request
by an HUD official, proof of mailing using USPS Form 3817 (Certificate
of Mailing) or a receipt from the Post Office which contains the post
office name, location and date and time of mailing. For submission
through the United States Postal Service, no other proof of timely
submission will be accepted. Applications not meeting the
[[Page 22329]]
timely submission requirements will not be considered for funding.
4. Addresses. You, the applicant, must submit a complete
application and the required number of copies to the location
identified in this NOFA. When submitting your application, you must
refer to the name of the program for which you are applying and include
the correct room number to ensure that your application is properly
directed. The address for deliveries to the Robert C. Weaver Federal
Building is identified in this NOFA.
Please be sure to include the NOFA name and room number on your
submission package.
5. Electronic Submission of Packages using Grants.gov. In FY2005,
HUD intends to have applications submitted via the federal government's
new electronic application portal called http://www.Grants.gov.
Applicants are urged to become familiar with the Grants.gov site and to
follow the steps under ``Get Started'' so that you will be prepared to
apply on line for HUD and other federal agency programs.
For FY2004, paper applications will be considered by HUD to be the
official application submission. HUD urges all applicants to become
familiar with the http://www.grants.gov site and register to receive
funding opportunity notifications. The Grants.gov site provides
instructions on how to get a DUNS number, as well as registration and
e-authentication procedures. The Grants.gov site provides a help desk
to address Grants.gov technology issues, and HUD will establish a help
line to address questions on program issues. The Grants.gov help line
is 800-518-Grants. Individuals who personally apply for federal
financial assistance, apart from any business or nonprofit organization
they may operate, are excluded from the requirement to obtain a DUNS
number. You can find a copy of HUD's DUNS regulation at http://www.hud.gov/grants/index.cfm.
V. Application Review Information:
A. Criteria
The following Rating Factors will be used to review, evaluate, and
rate your application.
1. Rating Factor 1--Capacity of the Applicant and Relevant
Organizational Experience (25 Points)
This rating factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed work plan, as further described in Rating Factor 3, within the
36-month award period.
a. Rating standards applicable to individual funding categories.
The two funding categories have different objectives. Accordingly, in
addition to the generally applicable rating standard discussed above,
the different standards discussed below will be used to judge the
experience and qualifications of the applicants for each of the two
funding categories. HUD fully supports emerging organizations that
desire to develop internal capacity. Therefore, the following
categories will be evaluated:
(1) For Capacity Building applications (25 points). Team members,
composition, experience, organizational structure, and management
capacity. Your response to this sub-factor should clearly state the
need that your organization will address with the requested assistance.
In addition, you should describe how the enhanced capacity realized
through the assistance will fulfill that need. HUD will evaluate the
experience (including its recentness and relevancy) of your project
director, core staff, and any outside consultant, contractor,
subrecipient, or project partner as it relates to innovative housing
and economic development and to the implementation of the activities in
your workplan. HUD also will assess the services that consultants or
other parties will provide to fill gaps in your staffing structure to
enable you to carry out the proposed workplan; the experience of your
project director in managing projects of similar size, scope, and
dollar amount; the lines of authority and procedures that you have in
place for ensuring that workplan goals and objectives are being met,
that consultants and other project partners are performing as planned,
and that beneficiaries are being adequately served. In responding to
this sub-factor, please indicate how the capacity building assistance
will strengthen or otherwise affect your organization's current housing
or economic development program portfolio or, if you are a new grantee,
how the capacity assistance will ensure that you can carry out your
proposed activities. In judging your response to this factor, HUD will
only consider work experience gained within the last three years. When
responding, please be sure to provide the dates, job titles and
relevancy of the past experience to work to be undertaken by the
employee or contractor under your Rural Housing and Economic
Development program application. The more recent, relevant, and
successful the experience of your team members is in relationship to
the workplan activities, the greater the number of points you will
receive.
(2) For Support for Innovative Rural Housing and Economic
Development Activities applications:
(a) Team members, composition, and experience (10 points). HUD will
evaluate the experience (including its recentness and relevancy) of
your project director, core staff, and any outside consultant,
contractor, subrecipient, or project partner as it relates to
innovative housing and economic development and to the implementation
of the activities in your workplan. HUD also will assess the services
that consultants or other parties will provide to fill gaps in your
staffing structure to enable you to carry out the proposed workplan;
the experience of your project director in managing projects of similar
size, scope, and dollar amount; the lines of authority and procedures
that you have in place for ensuring that workplan goals and objectives
are being met, that consultants and other project partners are
performing as planned, and that beneficiaries are being adequately
served. In judging your response to this factor, HUD will only consider
work experience gained within the last seven years. When responding,
please be sure to provide the dates, job titles and relevancy of the
past experience to work to be undertaken by the employee or contractor
under your proposed Rural Housing and Economic Development award. The
more recent, relevant, and successful the experience of your team
members are in relationship to the workplan activities, the greater the
number of points that you will receive.
(b) Organizational structure and management capacity (5 points).
HUD will evaluate the extent to which you can demonstrate your
organization's ability to manage a workforce composed of full-time or
part-time staff, as well as any consultant staff, and your ability to
work with community-based groups or organizations in resolving issues
related to affordable housing and economic development. In evaluating
this subfactor, HUD will take into account your experience in working
with community-based organizations to design and implement programs
that address the identified housing and economic development issues.
The more recent, relevant, and successful the experience of your
organization and any participating entity, the greater the number of
points you will receive.
(c) Experience with performance-based funding requirements (10
points). HUD will evaluate your performance in any previous grant
program undertaken with HUD funds or other federal, state, local, or
nonprofit or for-profit organization funds. In assessing points for
this sub-factor, HUD reserves the right to take into account your past
performance in meeting performance
[[Page 22330]]
and reporting goals for any previous HUD award, in particular whether
the program achieved its outcomes. HUD will deduct one point for each
of the following activities related to previous HUD grant programs for
which unsatisfactory performance has been verified: (1) Mismanagement
of funds, including the inability to account for funds appropriately;
(2) untimely use of funds received either from HUD or other federal,
state, or local programs; and (3) significant and consistent failure to
measure performance outcomes. Among the specific outcomes to be
measured are the increases in program accomplishments as a result of
capacity building assistance and the increase in organizational
resources as a result of assistance.
b. Past Rural Housing and Economic Development program performance.
The past performance of previously awarded Rural Housing and Economic
Development grantees will be taken into consideration when evaluating
Rating Factor 1 ``Capacity of the Applicant and Relevant Organizational
Experience.'' Applicants who have been awarded Rural Housing and
Economic Development program funds prior to FY2004 should indicate
fiscal year and funding amount. HUD local field offices may be
consulted to verify information submitted by the applicant as a part of
the review of applications.
2. Rating Factor 2--Need and Extent of the Problem (20 Points)
The Rural Housing and Economic Development program is designed to
address the problems of rural poverty, inadequate housing and lack of
economic opportunity. This factor addresses the extent to which there
is a need for funding the proposed activities based on levels of
distress and the urgency of meeting the need/distress in the
applicant's target area. In responding to this factor, applications
will be evaluated on the extent to which the level of need for the
proposed activity and the urgency in meeting the need are documented
and compared to target area and national data.
a. In applying this factor, HUD will compare the current levels of
need in the area (i.e., Census Tract(s) or Block Group(s)) immediately
surrounding the project site or the target area to be served by the
proposed project and the national levels of need. This means that an
application that provides data that show levels of need in the project
area expressed as a percent greater than the national average will be
rated higher under this factor. Notwithstanding the above, an applicant
proposing a project to be located outside the target area could still
receive points under Rating Factor 2, if a clear rationale is provided
linking the proposed project location and the benefits to be derived by
persons living in distressed parts of the applicant's target area.
b. Applicants should provide data that address indicators of need
as follows:
(1) Poverty Rate (5 points)--Data should be provided in both
absolute and percentage form (i.e., whole numbers and percents) for the
target area(s). An application that compares the local poverty rate in
the following manner to the national average at the time of submission
will receive points under this section as follows:
(a) Less than the national average = 0 points;
(b) Equal to but less than twice the national average = 1 point;
(c) Twice but less than three times the national average = 3
points;
(d) Three or more times the national average = 5 points.
(2) Unemployment (5 points)--for the target area:
(a) Less than the national average = 0 points;
(b) Equal to but less than twice the national average = 1 point;
(c) Twice but less than three times the national average = 2
points;
(d) Three but less than four times the national average = 3 points;
(e) Four but less than five times the national average = 4 points;
(f) Five or more times the national average = 5 points.
(3) Other indicators of social or economic decline that best
capture the applicant's local situation (5 points).
(a) Data that could be provided under this section are information
on the community's stagnant or falling tax base, including recent
commercial or industrial closings; housing conditions, such as the
number and percentage of substandard or overcrowded units; rent burden
(defined as average housing cost divided by average income) for the
target area; local crime statistics, falling property values, etc. To
the extent that the applicant's statewide or local Consolidated Plan,
its Analysis of Impediments to Fair Housing Choice (AI), or its anti-
poverty strategy identify the level of distress in the community and
the neighborhood in which the project is to be carried out, references
to such documents should be included in preparing the response to this
factor.
(b) In rating applications under this factor, HUD reserves the
right to consider sources of available objective data other than or in
addition to those provided by applicants, and to compare such data to
those provided by applicants for the project site. These may include
U.S. Census data.
(c) HUD requires use of sound, verifiable, and reliable data (e.g.,
U.S. Census data, state statistical reports, university studies/
reports, or Home Mortgage Disclosure Act or Community Reinvestment Act
databases) to support distress levels cited in each application. See
http://www.ffiec.gov/webcensus/ffieccensus.htm. A source for all
information along with the publication or origination date must also be
provided.
(d) Updated Census data are available for the following indicators:
(i) Unemployment rate--estimated monthly for counties, with a two-
month lag;
(ii) Population--estimated for incorporated places and counties,
through 2000;
(iii) Poverty rate--through 2000.
(4) Demographics of Distress--Special Factors (5 points). Because
HUD is concerned with meeting the needs of certain underserved areas,
you will be awarded a total of five points if you are located in or
propose to serve one or more of the following populations, or if your
application demonstrates that 100 percent of the beneficiaries
supported by Rural Housing and Economic Development funds are in one or
more of the following populations. You must also specifically identify
how each population will be served and that the proposed service area
meets the definition of ``eligible rural area'' in Section I of this
NOFA:
(a) Areas with very small populations in non-urban areas (2,500
population or less);
(b) Seasonal farm workers;
(c) Federally recognized Indian tribes;
(d) Colonias;
(e) Appalachia's Distressed Counties; or
(f) The Lower Mississippi Delta Region (8 states and 240 counties/
parishes).
For these underserved areas, you should ensure that the populations
that you serve and the documentation that you provide are consistent
with the information described in the above paragraphs under this
rating factor.
3. Rating Factor 3--Soundness of Approach (20 Points)
This factor addresses the overall quality of your proposed
workplan, taking into account the project and the activities proposed
to be undertaken; the cost-effectiveness of your proposed program; and
the linkages between identified needs, the purposes of this program,
and your proposed activities and tasks. In addition, this factor
[[Page 22331]]
addresses your ability to ensure that a clear linkage exists between
innovative rural housing and economic development. In assessing cost-
effectiveness, HUD will take into account your staffing levels;
beneficiaries to be served; and your timetable for the achievement of
program outcomes, the delivery of products and reports, and any
anticipated outcome or product. You will receive a greater number of
points if your workplan is consistent with the purpose of the Rural
Housing and Economic Development program, your program goals, and the
resources provided.
a. Management Plan (13 points). A clearly defined management plan
should be submitted that identifies each of the projects and activities
you will carry out to further the objectives of this program; describes
the linkage between rural housing and economic development activities;
and addresses the needs identified in Factor 2, including needs that
previously were identified in a statewide or local Analysis of
Impediments to Fair Housing Choice (AI) or Consolidated Plan. The
populations that were described in Rating Factor 2 for the purpose of
documenting need should be the same populations that will receive the
primary benefit of the activities, both immediately and over the long
term. The benefits should be affirmatively marketed to those
populations least likely to apply for and receive these benefits
without such marketing. Your timetable should address the measurable
goals and objectives to be achieved through the proposed activities;
the method you will use for evaluating and monitoring program progress
with respect to those activities; and the method you will use to ensure
that the activities will be completed on time and within your proposed
budget estimates. Your management plan should also include the budget
for your program, broken out by line item. Documented projected cost
estimates from outside sources are also required. Applicants should
submit their workplan on a spreadsheet showing each project to be
undertaken and the tasks (to the extent necessary or appropriate) in
your workplan to implement the project with your associated budget
estimate for each activity/task. Your workplan should provide the
rationale for your proposed activities and assumptions used in
determining your project timeline and budget estimates. Failure to
provide your rationale may result in your application receiving fewer
points for lack of clarity in the proposed management plan.
This subfactor should include information that indicates the extent
to which you have coordinated your activities with other known
organizations (e.g., through letters of participation or coordination)
that are not directly participating in your proposed work activities,
but with which you share common goals and objectives and that are
working toward meeting these objectives in a holistic and comprehensive
manner. The goal of this coordination is to ensure that programs do not
operate in isolation. Additionally, your application should demonstrate
the extent to which your program has the potential to be financially
self-sustaining by decreasing dependence on Rural Housing and Economic
Development funding and relying more on state, local, and private
funding. The goal of sustainability is to ensure that the activities
proposed in your application can be continued after your grant award is
complete.
b. Policy Priorities (7 Points). Policy priorities are further
outlined in Section V.B.3. below. You should document the extent to
which HUD's policy priorities are furthered by the proposed activities.
Applicants that include activities that can result in the achievement
of these departmental policy priorities will receive higher rating
points in evaluating their application for funding. Six departmental
policy priorities are listed below. When policy priorities are
included, describe in brief detail how those activities will be carried
out.
The point values for policy priorities are as follows:
(1) Providing increased homeownership and rental opportunities for
low- and moderate-income persons, persons with disabilities, the
elderly, minorities, and families with limited English proficiency = 1
point;
(2) Improving our Nation's communities = 1 point;
(3) Encouraging accessible design features = 1 point;
(4) Providing full and equal access to grassroots faith-based and
other community-based organizations in HUD program implementation = 1
point;
(5) Ending chronic homelessness within ten years = 1 point and;
(6) Removal of barriers to affordable housing = up to 2 points.
4. Rating Factor 4--Leveraging Resources (10 Points)
This factor addresses the extent to which applicants for either of
the two funding categories have obtained firm commitments of financial
or in-kind resources from other federal, state, local, and private
sources. For every Rural Housing and Economic Development program
dollar anticipated, you should provide the specific amount of dollars
leveraged. In assigning points for this criterion, HUD will consider
the level of outside resources obtained in the form of cash or in-kind
goods or services that support activities proposed in your application.
HUD will award a greater number of points based upon a comparison of
the extent of leveraged funds with the requested Rural Housing and
Economic Development award. This criterion is applicable to both
funding categories under this NOFA. The level of outside resources for
which commitments are obtained will be evaluated based on their
importance to the total program. Your application must provide evidence
of leveraging in the form of letters of firm commitment from any
entity, including your own organization, which will be providing
matching funds to the project. Each commitment described in the
narrative of this factor must be in accordance with the definition of
``firm commitment,'' as defined in this NOFA. The commitment letter
must be on letterhead of the participating organization, must be signed
by an official of the organization legally able to make commitments on
behalf of the organization, and must not be dated earlier than the date
this NOFA is published.
Points for this factor will be awarded based on the satisfactory
provisions of evidence of leveraging and financial sustainability, as
described above, and the ratio of leveraged funds to requested HUD
Rural Housing and Economic Development funds as follows:
a. 50% or more of requested HUD Rural Housing and Economic
Development funds = 10 points;
b. 49-40% of requested HUD Rural Housing and Economic Development
funds = 8 points;
c. 39-30% of requested HUD Rural Housing and Economic Development
funds = 6 points;
d. 29-20% of requested HUD Rural Housing and Economic Development
funds = 4 points;
e. 19-9% of requested HUD Rural Housing and Economic Development
funds = 2 points;
f. Less than 9% of HUD requested Rural Housing and Economic
Development funds = 0 points.
5. Rating Factor 5--Achieving Results and Program Evaluation (25
Points)
This factor emphasizes HUD's commitment to ensuring that applicants
keep promises made in their application
[[Page 22332]]
and assesses their performance to ensure that rigorous and useful
performance measures are used and goals are met. Achieving results
means you, the applicant, have clearly identified the benefits or
outcomes of your program. Outcomes are ultimate project end goals.
Benchmarks or outputs are interim activities or products that lead to
the ultimate achievement of your goals. Program evaluation requires
that you, the applicant, identify program outcomes, interim products or
benchmarks, and performance indicators that will allow you to measure
your performance. Performance indicators should be objectively
quantifiable and measure actual achievements against anticipated
achievements. Your evaluation plan should identify what you are going
to measure, how you are going to measure it, and the steps you have in
place to make adjustments to your work plan if performance targets are
not met within established time frames.
Applicants must also complete the ``Logic Model'' HUD Form (HUD-
96010) included in the appendix to this NOFA and submit the completed
form with their application. This rating factor reflects HUD's goal to
embrace high standards of ethics, management, and accountability. HUD
will hold a training broadcast via satellite for potential applicants
to learn more about Rating Factor 5. For more information about the
date and time of the broadcast, consult the HUD Web site at http://www.hud.gov/grants/index.cfm.
Program outcomes for the Rural Housing and Economic Development
program must include where applicable:
a. Number of housing units constructed;
b. Number of housing units rehabilitated that will be made
available to low-to-moderate-income participants;
c. Number of jobs created;
d. Percentage change in earnings as a result of employment for
those participants;
e. Number of participants trained;
f. Percent of participants trained who find a job;
g. Number of new businesses created;
h. Number of existing businesses assisted; and
i. Annual estimated savings for low-income families as a result of
energy efficiency improvements.
j. Increase in program accomplishments as a result of capacity
building assistance (e.g., number of employees hired or retained,
efficiency or effectiveness of services provided); and
k. Increase in organizational resources as a result of assistance
(e.g., dollars leveraged).
6. RC/EZ/EC Bonus Points (2 points)
HUD will award two bonus points to all applications that include
documentation stating that the proposed eligible activities/projects
will be located in and serve federally designated Rural Renewal
Communities, Rural Empowerment Zones, or Rural Enterprise Communities
(Rural EZs/ECs). A listing of federally designated Rural RCs, EZs, and
ECs is available on the Internet at http://www.hud.gov/grants/index.cfm.
This notice contains a certification that must be completed for the
applicant to be considered for Rural EZ/EC bonus points.
B. Review and Selection Process
1. Application Selection Process
a. Rating and Ranking
(1) General. To review and rate applications, HUD may establish
panels which may include outside experts or consultants to obtain
certain expertise and outside points of view, including views from
other federal agencies.
(2) Rating. All applicants for funding will be evaluated against
applicable criteria. In evaluating applications for funding, HUD will
take into account an applicant's past performance in managing funds,
including the ability to account for funds appropriately; its timely
use of funds received either from HUD or other federal, state or local
programs; its success in meeting performance targets for completion of
activities; and the number of persons to be served or targeted for
assistance. HUD may use information relating to these items based on
information at hand or available from public sources such as
newspapers, Inspector General or Government Accounting Office reports
or findings, hotline complaints that have been found to have merit, or
other such sources of information. In evaluating past performance, HUD
will deduct points from rating scores as specified under Rating Factor
1, Capacity of the Applicant and Relevant Organizational Experience.
(3) Ranking. Applicants will be ranked separately within each of
the two funding categories. Applicants will be selected for funding in
accordance with their rank order in each category. An application must
receive a minimum score of 75 points to be eligible for funding. If two
or more applications are rated fundable and have the same score, but
there are insufficient funds to fund all of them, the application(s)
with the highest score for Rating Factor 2 (Need and Extent of the
Problem) will be selected. If applications still have the same score,
the highest score in the following factors will be selected
sequentially until one highest score can be determined: Rating Factor 3
(Soundness of Approach), Rating Factor 1 (Capacity and Experience),
Rating Factor 5 (Achieving Results and Program Evaluation), and Rating
Factor 4 (Leveraging Resources).
b. Initial screening. During the period immediately following the
application deadline, HUD will screen each application to determine
eligibility. Applications will be rejected, if they do not meet the
Threshold Requirements described in Section III.C.3. of this NOFA.
(1) Are submitted by ineligible applicants;
(2) Do not serve an eligible rural area as defined in Section III
of this NOFA;
(3) Do not meet the objectives of the Rural Housing and Economic
Development program; or
(4) Propose a project for which the majority of the activities are
ineligible.
c. Rating Factors for Award Used to Evaluate and Rate Applications.
The factors for rating and ranking applicants and the maximum points
for each factor are provided above. The maximum number of points for
this program is 102. This includes 100 points for all five rating
factors and two Rural EZ/EC bonus points, as described above
d. Forms, Certifications and Assurances. Applicants are required to
submit signed copies of the standard forms, certifications and
assurances included in the appendices of this NOFA signed by the
managing officer of your organization.
e. Environmental Review. Each application constitutes an assurance
that the applicant agrees to assist HUD in complying with the
provisions set forth in 24 CFR part 50. Selection for award does not
constitute approval of any proposed site. Following selection for
award, HUD will perform an environmental review of activities proposed
for assistance under this part, in accordance with 24 CFR part 50. The
results of the environmental review may require that proposed
activities be modified or that proposed sites be rejected. Applicants
are particularly cautioned not to undertake or commit HUD funds for
acquisition or development of proposed properties (including
establishing lines of credit that permit financing of such activities
or making commitments for loans that would finance such activities from
a revolving loan fund capitalized by funds under this NOFA) prior to
HUD
[[Page 22333]]
approval of specific properties or areas. Each application constitutes
an assurance that you, the applicant, will assist HUD in complying with
part 50; will supply HUD with all available relevant information to
perform an environmental review for each proposed property; will carry
out mitigating measures required by HUD or select alternate property;
and will not acquire, rehabilitate, convert, demolish, lease, repair,
or construct property, or commit or expend HUD or local funds for these
program activities with respect to any eligible property until HUD
approval of the property is received. In supplying HUD with
environmental information, grantees must use the guidance provided in
Notice CPD-99-01, entitled ``Field Environmental Processing for HUD
Colonias Initiative (HCI) grants,'' issued January 27, 1999. HUD's
funding commitment is contingent upon HUD's site approval following an
environmental review.
f. Adjustments to Funding.
(1) HUD will not fund any portion of your application that is not
eligible for funding under the Rural Housing and Economic Development
program statutory or regulatory requirements, does not meet the
requirements of this NOFA, or is duplicative of other funded programs
or activities from prior year awards or other selected applicants. Only
the eligible non-duplicative portions of your application may be
funded.
(2) HUD reserves the right to utilize this year's funding to
correct errors in the prior year's selection process prior to the
rating and ranking of this year's applications. Additionally, HUD
reserves the right to reallocate funds between categories to achieve
the maximum allocation of funds in both categories.
(3) If after all eligible applicants have been selected for funding
in Category 1 and funds remain, the remaining funds will be allocated
to Category 2 to fund additional eligible applications in that
category. If a balance of funds remains, HUD reserves the right to
utilize those funds toward the following year's awards.
(4) In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of a NOFA, HUD may select that applicant when sufficient
funds become available.
(5) Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance and compliance actions of
funding recipients in accordance with the applicable standards and
sanctions of the Rural Housing and Economic Development program.
g. Corrections to Deficient Applications. After the application due
date, HUD may not, consistent with its regulations in 24 CFR part 4,
subpart B, consider any unsolicited information you, the applicant, may
want to provide. HUD may contact you, however, to clarify an item in
your application or to correct technical deficiencies. You should note,
however, that HUD may not seek clarification of items or responses that
improve the substantive quality of your response to any eligibility or
selection factor.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, a failure to submit the proper
certifications or failure to submit an application that contains an
original signature by an authorized official. In each case, HUD will
notify you in writing of a technical deficiency. HUD will notify
applicants by facsimile or by USPS, return receipt requested.
Clarifications or corrections of technical deficiencies in accordance
with the information requested by HUD must be submitted within five
calendar days after the date you receive HUD notification. (If the due
date falls on a Saturday, Sunday, or federal holiday, your correction
must be received by HUD on the next day that is not a Saturday, Sunday
or federal holiday). The determination of when you received the
deficiency letter will be based on the confirmation of the facsimile
transmission, return receipt, or postal tracking information, as
appropriate. If the deficiency is not corrected within this time
period, HUD will reject the application as incomplete and it will not
be considered for funding.
2. HUD's Strategic Goals
Implementing HUD's Strategic Framework and Demonstrating Results.
HUD is committed to ensuring that programs result in the achievement of
HUD's strategic mission. To support this effort, grant applications
submitted for HUD programs will be rated on how well they tie proposed
outcomes to HUD's policy priorities and annual goals and objectives and
on the quality of the applicant's proposed evaluation and monitoring
plan. HUD's Strategic Framework establishes the following goals and
objectives for the Department:
a. Increase Homeownership Opportunities
(1) Expand national homeownership opportunities.
(2) Increase minority homeownership.
(3) Make the home buying process less complicated and less
expensive.
(4) Fight practices that permit predatory lending.
(5) Help HUD-assisted renters become homeowners.
(6) Keep existing homeowners from losing their homes.
b. Promote Decent Affordable Housing
(1) Expand access to affordable rental housing.
(2) Improve the physical quality and management accountability of
public and assisted housing.
(3) Increase housing opportunities for the elderly and persons with
disabilities.
(4) Help HUD-assisted renters make progress toward self-
sufficiency.
c. Strengthen Communities
(1) Improve economic conditions in distressed communities.
(2) Make communities more livable.
(3) End chronic homelessness.
(4) Mitigate housing conditions that threaten health.
d. Ensure Equal Opportunity in Housing
(1) Resolve discrimination complaints on a timely basis.
(2) Promote public awareness of Fair Housing laws.
(3) Improve housing accessibility for persons with disabilities.
e. Embrace High Standards of Ethics, Management, and Accountability
(1) Rebuild HUD's human capital and further diversify its
workforce.
(2) Improve HUD's management, internal controls, and systems and
resolve audit issues.
(3) Improve accountability, service delivery, and customer service
of HUD and our partners.
(4) Ensure program compliance.
f. Promote Participation of Grassroots Faith-Based and Other
Community-Based Organizations
(1) Reduce regulatory barriers to participation by grassroots
faith-based and other community-based organizations.
(2) Conduct outreach to inform potential partners of HUD
opportunities.
(3) Expand technical assistance resources deployed to grassroots
faith-based and other community-based organizations.
(4) Encourage partnerships between grassroots faith-based and other
community-based organizations and HUD's traditional grantees.
You can find out about HUD's Strategic Framework and Annual
Performance Plans at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
3. Policy Priorities
HUD encourages applicants to undertake specific activities that
will
[[Page 22334]]
assist the Department in implementing its policy priorities and that
help the Department achieve its goals for FY2004 and beyond, when the
majority of funding recipients will be reporting programmatic results
and achievements. Applicants that include work activities that
specifically address one or more of these policy priorities will
receive higher rating scores than applicants that do not address these
HUD priorities. Above, this NOFA specifies which priorities relate to
this program and how many points will be awarded for addressing those
priorities.
Listed below are HUD's FY2004 policy priorities:
a. Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Families with Limited English Proficiency. Too
often, these individuals and families are shut out of the housing
market through no fault of their own. Developers of housing, housing
counseling agencies, and other organizations engaged in the housing
industry must work aggressively to open up the realm of homeownership
and rental opportunities to low- and moderate-income persons, persons
with disabilities, the elderly, minorities, and families with limited
English proficiency. Many of these families are anxious to have a home
of their own, but are not aware of the programs and assistance that are
available. Applicants are encouraged to address the housing, housing
counseling, and other related supportive service needs of these
individuals and coordinate their proposed activities with funding
available through HUD's affordable housing programs and home loan
programs.
Proposed activities support strategic goals a, b, and d.
b. Improving our Nation's Communities. HUD wants to improve the
quality of life for those living in distressed communities. Applicants
are encouraged to include activities which:
(1) Bring private capital into distressed communities;
(a) Finance business investment to grow new businesses;
(b) Maintain and expand existing businesses;
(c) Create a pool of funds for new small and minority-owned
businesses; and
(d) Create decent jobs for low-income persons.
(2) Improve the environmental health and safety of families living
in public and privately-owned housing by including activities which:
(a) Coordinate lead hazard reduction programs with weatherization
activities funded by state and local governments, and the federal
government; and
(b) Reduce or eliminate health related hazards in the home caused
by toxic agents such as molds and other allergens, carbon monoxide, and
other hazardous agents and conditions.
(3) Make communities more livable by:
(a) Providing public and social services; and
(b) Improving infrastructure and community facilities.
Activities support strategic goals b, c, and d.
c. Encouraging Accessible Design Features. As described in Section
III.C.3.c., applicants must comply with applicable civil rights laws
including the Fair Housing Act, Section 504 of the Rehabilitation Act
of 1973, and the Americans with Disabilities Act. These laws and the
regulations implementing them provide for nondiscrimination based on
disability and require housing and other facilities to incorporate
certain features intended to provide for their use and enjoyment by
persons with disabilities. HUD is encouraging applicants to add
accessible design features beyond those required under civil rights
laws and regulations. These features would eliminate many other
barriers limiting the access of persons with disabilities to housing
and other facilities. Copies of the Uniform Federal Accessibility
Standards (UFAS) are available from the NOFA Information Center (800-
HUD-8929 or 800-HUD-2209 (TTY)) and also from the Office of Fair
Housing and Equal Opportunity, Department of Housing and Urban
Development, Room 5230, 451 Seventh Street, SW., Washington, DC 20410-
2000, 202-755-5404 or toll-free 800-877-8339 (TTY Federal Information
Relay Service).
Accessible design features are intended to promote visitability and
incorporate features of universal design as described below:
(1) Visitability in New Construction and Substantial
Rehabilitation. Applicants are encouraged to incorporate visitability
standards where feasible in new construction and substantial
rehabilitation projects. Visitability standards allow a person with
mobility impairments access into the home, but do not require that all
features be made accessible. Visitability means that there is at least
one entrance at grade (no steps) approached by an accessible route such
as a sidewalk and that the entrance door and all interior passage doors
are at least 2 feet 10 inches wide, allowing 32 inches of clear passage
space. A visitable home also serves persons without disabilities, such
as a mother pushing a stroller or a person delivering a large
appliance. More information about visitability is available at http://www.concretechange.org.
Activities support strategic goals b, c, and d.
(2) Universal Design. Applicants are encouraged to incorporate
universal design in the construction or rehabilitation of housing,
retail establishments, and community facilities funded with HUD
assistance. Universal design is the design of products and environments
to be usable by all people to the greatest extent possible, without the
need for adaptation or specialized design. The intent of universal
design is to simplify life for everyone by making products,
communications, and the built environment more usable by as many people
as possible at little or no extra cost. Universal design benefits
people of all ages and abilities. In addition to any applicable
required accessibility features under Section 504 of the Rehabilitation
Act of 1973 or the design and construction requirements of the Fair
Housing Act, the Department encourages applicants to incorporate the
principles of universal design when developing housing, community
facilities, and electronic communication mechanisms or when
communicating with community residents at public meetings or events.
HUD believes that by creating housing that is accessible to all, it
can increase the supply of affordable housing for all, regardless of
ability or age. Likewise, creating places where people work, train, and
interact that are useable and open to all residents increases
opportunities for economic and personal self-sufficiency. More
information on universal design is available from the Center for
Universal Design, at http://www.design.ncsu.edu:8120/cud/, or the
Resource Center on Accessible Housing and Universal Design, at http://www.abledata.com/Site_2/accessib.htm.
Activities support strategic goals a, b, c, and d.
d. Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
(1) HUD encourages nonprofit organizations, including grassroots
faith-based and other community-based organizations, to participate in
the vast array of programs for which funding is available through HUD's
programs. HUD also encourages states, units of local government,
universities and colleges,
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and other organizations to partner with grassroots organizations, e.g.,
civic organizations, faith-communities, and grassroots faith-based and
other community-based organizations, that have not been effectively
utilized. These grassroots organizations have a strong history of
providing vital community services, such as assisting the homeless and
preventing homelessness, counseling individuals and families on fair
housing rights, providing elderly housing opportunities, developing
first-time homeownership programs, increasing homeownership and rental
housing opportunities in neighborhoods of choice, developing affordable
and accessible housing in neighborhoods across the country, creating
economic development programs, and supporting the residents of public
housing facilities. HUD wants to make its programs more effective,
efficient, and accessible by expanding opportunities for grassroots
organizations to participate in developing solutions for their own
neighborhoods. Additionally, HUD encourages applicants to include these
grassroots faith-based and other community-based organizations in their
workplans. Potential applicants, their partners, and their participants
must review the individual FY2004 HUD program announcements to
determine whether they are eligible to apply for funding directly or
whether they must establish a working relationship with an eligible
applicant in order to participate in a HUD funding opportunity.
Grassroots faith-based and other community-based organizations, and
applicants who currently or propose to partner, fund, subgrant, or
subcontract with grassroots organizations (including grassroots faith-
based or other community-based nonprofit organizations eligible under
applicable program regulations) in conducting their work programs will
receive higher rating points as specified in rating factor 3 above.
(2) Definition of Grassroots Organizations:
(a) HUD will consider an organization a ``grassroots organization''
if the organization is headquartered in the local community to which it
provides services; and,
(i) Has a social services budget of $300,000 or less, or
(ii) Has six or fewer full-time equivalent employees.
(b) Local affiliates of national organizations are not considered
``grassroots organizations.'' Local affiliates of national
organizations are encouraged, however, to partner with grassroots
organizations, and must demonstrate that they are currently working
with a grassroots organization (e.g., by having a faith community or
civic organization, or other charitable organization provide
volunteers).
(c) The cap provided in paragraph (2)(a)(i) above includes only
that portion of an organization's budget allocated to providing social
services. It does not include other portions of the budget such as
salaries and expenses not directly expended in the provision of social
services.
Activities support strategic goal f.
e. Participation of Minority-Serving Institutions in HUD Programs.
Pursuant to Executive Orders 13256, ``President's Board of Advisors on
Historically Black Colleges and Universities,'' 13230, ``President's
Advisory Commission on Educational Excellence for Hispanic Americans,''
13216, ``Increasing Participation of Asian Americans and Pacific
Islanders in Federal Programs,'' and 13270, ``Tribal Colleges and
Universities,'' HUD is strongly committed to broadening the
participation of Minority-Serving Institutions (MSIs) in its programs.
HUD is interested in increasing the participation of MSIs in order to
advance the development of human potential, strengthen the nation's
capacity to provide high quality education, and increase opportunities
for MSIs to participate and benefit from federal financial assistance
programs. HUD encourages all applicants and recipients to include
meaningful participation of MSIs in their work programs. A listing of
MSIs can be found on the Department of Education Web site at http://www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html or HUD's Web
site at http://www.hud.gov/grants/index.cfm.
Activities support strategic goals c and d.
f. Ending Chronic Homelessness within 10 Years. President Bush has
set a national goal to end chronic homelessness within 10 years.
Secretary Alphonso Jackson has embraced this goal and has pledged that
HUD's grant programs will be used to support the President's goal and
more adequately meet the needs of chronically homeless individuals. A
person experiencing chronic homelessness is defined as an unaccompanied
individual with a disabling condition who has been continuously
homeless for a year or more or has experienced four or more episodes of
homelessness over the last three years. Applicants are encouraged to
target assistance to chronically homeless persons by undertaking
activities that will result in:
(1) Creation of affordable group homes or rental housing units;
(2) Establishment of a set-aside of units of affordable housing for
the chronically homeless;
(3) Establishment of substance abuse treatment programs targeted to
the homeless population;
(4) Establishment of job training programs that will provide
opportunities for economic self-sufficiency;
(5) Establishment of counseling programs that assist homeless
persons in finding housing, financial management, anger management, and
building interpersonal relationships;
(6) Provision of supportive services, such as health care
assistance that will permit homeless individuals to become productive
members of society;
(7) Provision of service coordinators or one-stop assistance
centers that will ensure that chronically homeless persons have access
to a variety of social services.
Applicants who are developing programs to meet the goals set in
this policy priority should be mindful of the requirements of the
regulations implementing Section 504 of the Rehabilitation Act of 1973,
in particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1), and 8.4(d).
Activities support strategic goals b and c.
g. Removal of Regulatory Barriers to Affordable Housing. HUD is
seeking input into how it can more effectively work with the public and
private sectors to remove regulatory barriers to affordable housing.
The notice addresses how HUD will evaluate the effectiveness of state
and local government efforts to remove regulatory barriers to
affordable housing.
Increasing the affordablity of rental and homeownership housing
continues to be a high priority of the Department. Over the last 15
years, there has been increased recognition that unnecessary,
duplicative, excessive, or discriminatory public processes often
significantly increase the cost of housing development and
rehabilitation. Often referred to as ``regulatory barriers to
affordable housing,'' many public statutes, ordinances, regulatory
requirements, or processes and procedures significantly impede the
development or availability of affordable housing without providing a
commensurate or demonstrable health or safety benefit. ``Affordable
housing'' is decent quality housing that low-, moderate-, and middle-
income families can afford to buy or rent without spending more than 30
percent of their income; spending more than 30 percent of income on
shelter may require
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families to sacrifice other necessities of life.
Addressing these barriers to housing affordability is a necessary
component of any overall national housing policy. However, addressing
such barriers must be viewed as a complement to, not a substitute for,
other efforts to meet affordable housing needs. For many families,
federal, state and local subsidies are fundamental tools for meeting
these affordable needs. In many instances, however, other sometimes
well-intentioned public policies work at cross-purposes with subsidy
programs by imposing significant constraints. From zoning that keeps
out affordable housing, especially multifamily housing, to other
regulations and requirements that unnecessarily raise the costs of
construction, the need to address this issue is clear. For example,
affordable rehabilitation is often constrained by outmoded building
codes that require excessive renovation. Barrier removal will not only
make it easier to find and get approval for affordable housing sites,
but it will also allow available subsidies to go further in meeting
these needs. For housing for moderate-income families often referred to
as ``work force'' housing, barrier removal can be the most essential
component of meeting housing needs.
Under this policy priority, higher rating points are available to
(1) governmental applicants that are able to demonstrate successful
efforts in removing regulatory barriers to affordable housing, and (2)
nongovernmental applicants that are associated with jurisdictions that
have undertaken successful efforts in removing barriers. To obtain the
policy priority points for efforts to successfully remove regulatory
barriers, applicants must complete form HUD-27300, ``Questionnaire for
HUD's Initiative on Removal of Regulatory Barriers.'' A copy of HUD's
Notice entitled ``America's Affordable Communities Initiative, HUD's
Initiative on Removal of Regulatory Barriers: Announcement of Incentive
Criteria on Barrier Removal in HUD's FY2004 Competitive Funding
Allocations'' can be found on HUD's Web site at http://www.hud.gov/grants/index.cfm.
Local jurisdictions and counties with land use and building
regulatory authority applying for funding, as well as housing
authorities, nonprofit organizations, and other qualified applicants
applying for funding for a project located in these jurisdictions, are
invited to answer the 20 questions in PART A of form HUD-27300. For
those applications in which regulating authority is split between
jurisdictions (e.g., county and town) the applicant should answer the
question for that jurisdiction that has regulatory authority over the
issue at question. An applicant that scores at least five in Column 2
will receive one point in the NOFA evaluation. An applicant that scores
10 or more in Column 2 will receive two points in the evaluation.
State agencies or departments applying for funding, as well as
housing authorities, nonprofit organizations and other qualified
applicants applying for funds for projects located in unincorporated
areas or areas otherwise not covered in Part A are invited to answer
the 15 questions in PART B. Under Part B an applicant that scores at
least four in Column 2 will receive one point in the NOFA evaluation.
Under Part B an applicant that scores eight or greater will receive two
points in the respective evaluation. Applicants that propose to provide
services in multiple jurisdictions may choose to address the questions
in either PART A or Part B for that jurisdiction in which the
preponderance of services will be performed if an award is made. In no
case will an applicant receive for this policy priority more than two
points for barrier removal activities. An applicant that is a tribe or
tribally designated housing entity (TDHE) may choose to complete either
PART A or PART B based upon a determination by the tribe or TDHE as to
whether the tribe's or the TDHE's association with the local
jurisdiction or the state would be more advantageous to its
application.
Note: Upon completion of all NOFA evaluations, grant selections,
and awards, it is HUD's intent to add relevant data obtained from
this evaluative factor to the database on state and local regulatory
reform actions maintained at the Regulatory Barrier Clearinghouse
Web site at http://www.huduser.org/rbc/ used by states, localities,
and housing providers to identify regulatory barriers and learn of
exemplary local efforts at regulatory reform.
Form HUD-27300 can be found in the appendix to this NOFA. A limited
number of questions on form HUD-27300 expressly request the applicant
to provide brief documentation with its response. Other questions
require that for each affirmative statement made, the applicant must
supply a reference, URL, or brief statement indicating where the back-
up information may be found and a point of contact, including a
telephone number or e-mail address. Applicants are encouraged to read
the March 22, 2004, Federal Register notice (69 FR 13450) to obtain a
more complete understanding of this policy priority and how it can
impact their score. HUD also will be providing a satellite broadcast on
this subject as part of its NOFA training. The NOFA webcast schedule
can be found on HUD's Web site at: http://www.hud.gov/grants/index.cfm.
Activities support strategic goals a and b.
C. Anticipated Announcement and Award Dates
June 1, 2004.
VI. Award Administration Information
A. Award Notices
1. Award Notice. Successful Rural Housing and Economic Development
program applicants will be notified of grant award and will receive
post-award instructions by mail.
2. Applicant Debriefing. For a period of at least 120 days,
beginning 30 days after the awards for assistance are publicly
announced, HUD will provide to a requesting applicant a debriefing
related to its application. All debriefing requests must be made in the
form of a letter and mailed by the authorized official whose signature
appears on the SF-424 or his or her successor in office and submitted
to the person or organization identified as the Contact under the
section entitled ``VII. Agency Contact(s)'' in this NOFA. Information
provided during a debriefing will include, at a minimum, the final
score you received for each rating factor, final evaluator comments for
each rating factor, and the final assessment indicating the basis upon
which assistance was provided or denied.
Any applicant may obtain a debriefing of its application.
Applicants requesting a debriefing must mail a letter of request to
Jackie L. Williams, Ph.D., Director, Office of Rural Housing and
Economic Development, 451 Seventh Street, SW., Room 7137, Washington,
DC 20410-7000.
3. Negotiation. After HUD has rated and ranked all applications and
made selections, HUD may require that a selected applicant participate
in negotiations to determine the specific terms of the funding
agreement and budget. In cases where HUD cannot successfully conclude
negotiations with a selected applicant or a selected applicant fails to
provide HUD with requested information, an award will not be made to
that applicant. In such an instance, HUD may offer an award and proceed
with negotiations with the next highest-ranking applicant.
B. Administrative and National Policy Requirements
1. Lead-Based Paint Hazard Control. All property assisted under the
Rural
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Housing and Economic Development program is covered by the Lead-Based
Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and HUD's
implementing regulations at 24 CFR part 35.
2. Audit Requirements. Any grantee that expends $500,000 or more in
federal financial assistance in a single year (this can be program year
or fiscal year) must meet the audit requirements established in 24 CFR
parts 84 and 85 in accordance with OMB A-133.
3. Participation in HUD-sponsored Program Evaluation. As a
condition of receipt of award under this NOFA, you will be required to
cooperative with HUD staff or contractors performing HUD-funded
research and evaluation studies relating to the work conducted under
the award.
4. Accounting System Requirements. The Rural Housing and Economic
Development program requires that successful applicants have in place
an accounting system that meets the policies, guidance, and
requirements described in the following applicable OMB Circulars and
Code of Federal Regulations:
a. OMB Circular A-87 (Cost Principles Applicable to Grants,
Contracts and Other Agreements with State and Local Governments);
b. OMB Circular A-122 (Cost Principles for Non-Profit
Organizations);
c. OMB Circular A-133 (Audits of States, Local Governments, and
Non-Profit Organizations);
d. 24 CFR part 84 (Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations); and
e. 24 CFR part 85 (Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally recognized Indian
tribal governments).
C. Reporting
Reporting documents apply to the award, acceptance and use of
assistance under the Rural Housing and Economic Development program and
to the remedies for noncompliance, except when inconsistent with the
provisions of the Consolidated Appropriations Act, 2004, other federal
statutes, or the provisions of this NOFA.
For each reporting period, as part of your required report to HUD,
you must include a completed Logic Model (Form HUD 96010), which
identifies output and outcome achievements.
VII. Agency Contact(s)
Further Information and Technical Assistance: For information
concerning the HUD Rural Housing and Economic Development program,
contact Ms. Holly A. Kelly, Economic Development Program Specialist, or
Ms. Linda L. Streets, Community Development Specialist, Office of Rural
Housing and Economic Development, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW., Room 7137, Washington, DC 20410-7000; telephone 202-708-
2290 (this is not a toll-free number). Persons with speech or hearing
impairments may access this number via TTY by calling the toll-free
Federal Information Relay Service at 800-877-8339.
Prior to the application deadline, Ms. Kelly or Ms. Streets will be
available at the number above to provide general guidance and
clarification of the NOFA, but not guidance in actually preparing your
application. Following selection, but prior to award, HUD staff will be
available to assist in clarifying or confirming information that is a
prerequisite to the offer of an award by HUD.
VIII. Other Information
1. Satellite Broadcast
HUD will hold an information webcast via satellite for potential
applicants to learn more about the program and preparation of an
application. For more information about the date and time of this
webcast, consult the HUD Web site at http://www.hud.gov.
2. The Paperwork Reduction Act
The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2506-0169. 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 it displays
a currently valid OMB control number. Public reporting burden for the
collection of information is estimated to average 100 hours per annum
per respondent for the application and grant administration. This
includes the time for collecting, reviewing and reporting the data for
the application, semi-annual reports, and final report. The information
will be used for grantee selection and monitoring the administration of
funds.
3. Grants.gov and Public Law 106-107 Streamlining Activities
The Federal Financial Assistance Management Improvement Act of 1999
(Pub. L. 106-107) directs each federal agency to develop and implement
a plan that, among other things, streamlines and simplifies the
application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also
requires the Director of the Office of Management and Budget (OMB) to
direct, coordinate, and assist federal agencies in establishing (1) a
common application and reporting system, and (2) an interagency process
for addressing ways to streamline and simplify federal financial
assistance application and administrative procedures and reporting
requirements for program applicants.
HUD is working with the 26 federal grant-making agencies on
President George W. Bush's Grants.gov ``FIND and APPLY'' Initiative.
This initiative is an effort by federal agencies to develop a common
electronic application and reporting system for federal financial
assistance. This system will provide ``one-stop shopping'' for funding
opportunities for all federal programs. This system is being developed
in response to public and government concerns that it is difficult for
organizations to know all the funding available from the federal
government and how to apply for funding. It also is an effort by the
federal government to develop common application requirements and
further streamlining the application process, making it easier for you,
HUD's customers, to apply for funding.
The first segment of the initiative focuses on allowing the public
to easily FIND funding opportunities and then APPLY via Grants.gov.
Funding decisions will still be under the control of the federal agency
sponsoring the program funding opportunity. In FY2004, HUD is posting
all of its funding notices on http://www.Grants.gov/FIND with links to
HUD's Web site for copies of the NOFA sections and fillable forms which
applicants can download and complete for submission of paper copy
applications. During FY2004 HUD applicants will be able to continue to
submit paper copies of their application to HUD for funding
consideration and, in fact, the paper copy will be the official copy to
submit to the Department. To find out more about Grants.gov, please go
to its Web site and look at the Tutorials and Getting Started
information. It is HUD's intent to move to a fully electronic
application system in FY2005, so an early test of this feature would
benefit both the applicant community and HUD.
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4. Executive Orders and Congressional Intent
a. Executive Order 13132, Federalism. Executive Order 13132
prohibits, to the extent practicable and permitted by law, an agency
from promulgating policies that have federalism implications and either
impose substantial direct compliance costs on state and local
governments and are not required by statute, or preempt state law,
unless the relevant requirements of section 6 of the executive order
are met. This NOFA does not have federalism implications and does not
impose substantial direct compliance costs on state and local
governments or preempt state law within the meaning of the executive
order.
b. Sense of Congress. It is the sense of Congress, as published in
Division G of the Consolidated Appropriations Act, 2004 (Public Law
108-199, approved January 23, 2004) that, to the greatest extent
practicable, all equipment and products purchased with funds made
available in the Consolidated Appropriations Act, 2004, should be
American-made.
5. Public Access, Documentation, and Disclosure
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992, HUD published a notice that also provides
information on the implementation of Section 102 (57 FR 1942). The
documentation, public access, and disclosure requirements of Section
102 apply to assistance awarded under this NOFA as follows:
a. Documentation, public access, and disclosure requirements. HUD
will ensure that documentation and other information regarding each
application submitted pursuant to this NOFA are sufficient to indicate
the basis upon which assistance was provided or denied. This material,
including any letters of support, will be made available for public
inspection for a five-year period beginning not less than 30 days after
the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations (24 CFR part 15).
b. Form HUD-2880. HUD will also make available to the public for
five years all applicant disclosure reports (Form HUD-2880) submitted
in connection with this NOFA. Update reports (also reported on Form
HUD-2880) will be made available along with the applicant disclosure
reports, but in no case for a period of less than three years. All
reports, both applicant disclosures and updates, will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations (24 CFR part 5).
c. Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR part 4 provide that HUD will publish a notice in the Federal
Register to notify the public of all decisions made by the Department
to provide:
(1) Assistance subject to Section 102(a) of the HUD Reform Act; and
(2) Assistance provided through grants or cooperative agreements on
a discretionary (non-formula, non-demand) basis, but that is not
provided on the basis of a competition.
6. Section 103 of the HUD Reform Act
HUD's regulations implementing Section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a),
codified at 24 CFR 4.26(c) and 4.28, apply to this funding competition.
The regulations continue to apply until the announcement of the
selection of successful applicants. HUD employees involved in the
review of applications and in the making of funding decisions are
prohibited by the regulations from providing advance information to any
person (other than an authorized employee of HUD) concerning funding
decisions or otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance should confine their
inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics-related questions should
contact HUD's Ethics Law Division at 202-708-3815. (This is not a toll-
free number.) The TTY number for persons with hearing or speech
impairment is 800-877-8339. HUD employees who have specific program
questions should contact the appropriate field office counsel or
Headquarters counsel for the Rural Housing and Economic Development
program.
7. The FY2004 HUD NOFA Process and Future HUD Funding Processes
Each year, HUD strives to improve its NOFA process. The FY2004
NOFAs have been revised based upon comments received during the FY2003
funding process. HUD continues to welcome comments and feedback from
applicants and other members of the public on how HUD may further
improve its competitive funding process. In FY2004, as part of Public
Law 106-107 streamlining efforts and the interagency eGrants
Initiative, HUD is making considerable changes to the format and
presentation of its funding notices. HUD is continually striving to
ensure effective communication with our program funding recipients and
potential funding recipients. HUD has been posting pertinent documents
related to these efforts on its Web site. HUD encourages you to visit
our Web site on an ongoing basis to keep abreast of the latest
developments. The Web site address for information on the Grants.gov
Initiative is http://www.hud.gov/offices/adm/grants/egrants/egrants.cfm. Information on Grant streamlining activities can be found
at http://www.hud.gov/offices/adm/grants/pl-106107/pl106-107.cfm.
Dated: April 19, 2004.
Roy A. Bernardi,
Assistant Secretary for Community Planning and Development.
The Appendix of Forms for the Rural Housing and Economic
Development NOFA follows:
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[FR Doc. 04-9276 Filed 4-20-04; 3:46 pm]
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