Today’s Agenda

1

Fiscal Year 2010Indian Community

Development Block Grant (ICDBG) Program

Notice of FundingAvailability Training

2

Today’s AgendaToday’s Agenda

• Purpose and overview of ICDBG

• Eligible applicants, uses, and program requirements

• Summary of how to submit electronically

• Screening and rating factors

• Review process and timing

• Purpose and overview of ICDBG

• Eligible applicants, uses, and program requirements

• Summary of how to submit electronically

• Screening and rating factors

• Review process and timing

3

Format of WebcastFormat of Webcast

• Presentations by ONAP staff

• Questions addressed after

each person’s presentation

• E-mail questions to:

[email protected] any time during the webcast

• Presentations by ONAP staff

• Questions addressed after

each person’s presentation

• E-mail questions to:

[email protected] any time during the webcast

mailto:[email protected]


4

AuthorityAuthority

• Title I of the Housing & Community Development Act of 1974 (42 U.S.C. 5301 et seq)

• ICDBG regulations, 24 CFR part 1003

• Title I of the Housing & Community Development Act of 1974 (42 U.S.C. 5301 et seq)

• ICDBG regulations, 24 CFR part 1003

5

Program DescriptionProgram Description

To develop viable Indian and Alaska Native communities by creating decent housing, suitable living environments & economic opportunities primarily for LMI persons

To develop viable Indian and Alaska Native communities by creating decent housing, suitable living environments & economic opportunities primarily for LMI persons

6

National ObjectiveNational Objective

• 24 CFR 1003.208• 70% of expenditures must benefit

LMI• Four options:

– Area benefit– Limited clientele– Housing– Job creation/retention

• 24 CFR 1003.208• 70% of expenditures must benefit

LMI• Four options:

– Area benefit– Limited clientele– Housing– Job creation/retention

7

Types of GrantsTypes of Grants

• Single Purpose Grants

• Imminent Threat Grants

• Single Purpose Grants

• Imminent Threat Grants

8

Imminent Threat Allocation

Imminent Threat Allocation

• No Area Office allocations

• Funds used to remove imminent threats to health or safety

• Must meet regulatory criteria

• No Area Office allocations

• Funds used to remove imminent threats to health or safety

• Must meet regulatory criteria

9

Key NOFA Definitions Key NOFA Definitions

• Adopt – to approve by formal tribal resolution

• Document – submit

written documentation to

satisfy NOFA requirement

• Adopt – to approve by formal tribal resolution

• Document – submit

written documentation to

satisfy NOFA requirement

10


• Firm Commitment - letter from partner agreeing and able to do what is in application

• Low-and moderate-income Beneficiary – means 80% of the median income for the area

• Firm Commitment - letter from partner agreeing and able to do what is in application

• Low-and moderate-income Beneficiary – means 80% of the median income for the area

11


• New Applicant – Never received an ICDBG or grants have been closed

or closed subject to audit for more

than 12 months prior to the

application deadline date

• New Applicant – Never received an ICDBG or grants have been closed

or closed subject to audit for more

than 12 months prior to the

application deadline date

12


• O&M Plan for Public Facilities and Improvements – Must provide a written statement that you have adopted or developed plan to maintain project over time

• O&M Plan for Public Facilities and Improvements – Must provide a written statement that you have adopted or developed plan to maintain project over time

13


• Outputs – Direct products of a program’s activities

• Outcomes – Impact you hope to

achieve with the project

• Outputs – Direct products of a program’s activities

• Outcomes – Impact you hope to

achieve with the project

14


• Statement – Written statement indicating that you comply or intend to comply with the specific requirement

• Statement – Written statement indicating that you comply or intend to comply with the specific requirement

15

Available FundsAvailable Funds

• Total is $65 million

• Single Purpose Grants– $61,040,000

• Imminent Threat– Up to $3,960,000

• Total is $65 million

• Single Purpose Grants– $61,040,000

• Imminent Threat– Up to $3,960,000

16

Single Purpose Grants Allocations

Single Purpose Grants Allocations

• EWONAP - $6,928,975• SPONAP - $13,095,381• NPONAP - $8,701,356• SWONAP - $22,737,279• NWONAP - $3,105,735• AONAP - $6,960,000

• EWONAP - $6,928,975• SPONAP - $13,095,381• NPONAP - $8,701,356• SWONAP - $22,737,279• NWONAP - $3,105,735• AONAP - $6,960,000

17

Grant CeilingsGrant Ceilings

• Grant ceilings apply to entire application

• One of the screening factors

• If exceeded, application will not be rated

• Grant ceilings apply to entire application

• One of the screening factors

• If exceeded, application will not be rated

18

Grant CeilingsGrant Ceilings

• Eastern Woodlands $600,000

• Southern Plains $800,000

• Northwest $500,000

• Alaska $600,000

• Eastern Woodlands $600,000

• Southern Plains $800,000

• Northwest $500,000

• Alaska $600,000

19

Grant CeilingsGrant Ceilings• Northern Plains

– 0-6,000 $900,000

– 6,000+ $1,100,000

• Southwest– 10,501 – 50,000 $2,750,000

– 7,501 – 10,500 $2,200,000

– 6,001 – 7,500 $1,100,000

– 1,501 – 6,000 $825,000

– 0 – 1,500 $605,000

– 50,001+ $5,500,000

• Northern Plains– 0-6,000 $900,000

– 6,000+ $1,100,000

• Southwest– 10,501 – 50,000 $2,750,000

– 7,501 – 10,500 $2,200,000

– 6,001 – 7,500 $1,100,000

– 1,501 – 6,000 $825,000

– 0 – 1,500 $605,000

– 50,001+ $5,500,000

20

Housing Rehab Cost LimitsHousing Rehab Cost Limits

Eastern Woodlands $35,000Southern Plains $35,000Northern Plains $50,000Southwest $50,000Northwest $50,000Alaska $75,000

Eastern Woodlands $35,000Southern Plains $35,000Northern Plains $50,000Southwest $50,000Northwest $50,000Alaska $75,000

21

Compliance with Regulations, Guidelines and RequirementsCompliance with Regulations, Guidelines and Requirements

Successful applicants must comply with regulations,guidelines and requirements of the ICDBG program

Successful applicants must comply with regulations,guidelines and requirements of the ICDBG program

22

Period of PerformancePeriod of Performance

• Based on the Implementation Schedule and must be approved

by HUD

• Required under Rating Factor 1

• Based on the Implementation Schedule and must be approved

by HUD

• Required under Rating Factor 1

23

Eligible Applicants Eligible Applicants

• Indian tribe, band, group, or nation including Alaska Indians, Aleuts and Eskimos and any Alaska Native Village

• Tribal organizations submitting on behalf of tribes

• Indian tribe, band, group, or nation including Alaska Indians, Aleuts and Eskimos and any Alaska Native Village

• Tribal organizations submitting on behalf of tribes

24

Cost Sharing or MatchingCost Sharing or Matching

• Not required for ICDBG

• Points awarded for leveraging

• ICDBG can be used as match for other programs

• Not required for ICDBG

• Points awarded for leveraging

• ICDBG can be used as match for other programs

25

Threshold RequirementsThreshold Requirements

• HUD Thresholds in General Section

• Program-Related Thresholds in ICDBG NOFA

• Project-Specific Thresholds in ICDBG NOFA

• HUD Thresholds in General Section

• Program-Related Thresholds in ICDBG NOFA

• Project-Specific Thresholds in ICDBG NOFA

26

General Section Thresholds General Section Thresholds

• Ineligible Applicants

• Dun & Bradstreet Universal Numbering System (DUNS)

• Active registration in CCR

• Ineligible Applicants

• Dun & Bradstreet Universal Numbering System (DUNS)

• Active registration in CCR

27

General Section Thresholds General Section Thresholds

• No Fair Housing or Civil Rights violations

• Debarment and Suspension

• Delinquent Federal Debt

• No Fair Housing or Civil Rights violations

• Debarment and Suspension

• Delinquent Federal Debt

28

Requirements That May Prohibit Award

Requirements That May Prohibit Award

• Name Check Review

• False Statements

• Name Check Review

• False Statements

29

General Section Additional Requirements


• Compliance with Fair Housing and Civil Rights Laws

• Economic Opportunities for Low- and Very Low-income

• Ensuring participation of small disadvantaged and women-owned businesses


• Economic Opportunities for Low- and Very Low-income

• Ensuring participation of small disadvantaged and women-owned businesses

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• Accessible Technology

• Faith-based requirements

• Uniform Relocation Act

• Accessible Technology

• Faith-based requirements

• Uniform Relocation Act

31



• Core Values and Ethical Standards

• Prohibition Against Lobbying

• Participation in HUD-Sponsored Evaluation

• Core Values and Ethical Standards

• Prohibition Against Lobbying

• Participation in HUD-Sponsored Evaluation

32



• Salary Limitations for Consultants

• Compliance with OMB Circulars and Government-wide Financial Regulations

• Salary Limitations for Consultants

• Compliance with OMB Circulars and Government-wide Financial Regulations

33



• Environmental Requirements

• Drug-Free Workplace

• Conflicts of Interest

• Environmental Requirements

• Drug-Free Workplace

• Conflicts of Interest

34



• Safeguarding Resident Files

• Transparency Act

• Safeguarding Resident Files

• Transparency Act

35

Program-Related Thresholds

Program-Related Thresholds

• Outstanding ICDBG Obligation


• Outstanding ICDBG Obligation


36

Project-Specific Thresholds

Project-Specific Thresholds

• Housing Rehabilitation

• New Construction

• Economic Development

• Housing Rehabilitation

• New Construction

• Economic Development

37

Housing Rehab ThresholdHousing Rehab Threshold

• Rehab standards and policies adopted

• Homebuyer’s payments are current for HUD-assisted housing

• Rehab standards and policies adopted

• Homebuyer’s payments are current for HUD-assisted housing

38

New Housing Construction Thresholds


• Document that implementing entity is a Community Based Development Organization (CBDO)

• Must have a tribal resolution adopting construction standards

• Document that implementing entity is a Community Based Development Organization (CBDO)

• Must have a tribal resolution adopting construction standards

39



• No other suitable housing available• No other sources (including IHBG)• Rehab not economically feasible• Household is overcrowded, or

has no current residence

• No other suitable housing available• No other sources (including IHBG)• Rehab not economically feasible• Household is overcrowded, or

has no current residence

40

Economic Development Thresholds


• Financial analysis must demonstrate project is financially feasible and has a reasonable chance of success

• Show public benefit of ICDBG

More requested = greater public benefit demonstrated

• Financial analysis must demonstrate project is financially feasible and has a reasonable chance of success

• Show public benefit of ICDBG

More requested = greater public benefit demonstrated

41



•Grant will not reduce non-federal funds

•Not more than a reasonable rate of return on investment is provided

•Grant will be disbursed on pro-rata basis with other funds

•Grant will not reduce non-federal funds

•Not more than a reasonable rate of return on investment is provided

•Grant will be disbursed on pro-rata basis with other funds

42

Project ThresholdsProject Thresholds

No project thresholds for:

• Homeownership Assistance• Land to Support New Housing• Microenterprises• Public Facilities and Improvements

No project thresholds for:

• Homeownership Assistance• Land to Support New Housing• Microenterprises• Public Facilities and Improvements

43

Public Service ProjectsPublic Service Projects

• Limited to 15% of grant request• Must be a new service or increase existing service• Can not be a “stand alone” project• Need not be related to other activities

• Limited to 15% of grant request• Must be a new service or increase existing service• Can not be a “stand alone” project• Need not be related to other activities

44

Eligible ActivitiesEligible Activities

• 24 CFR Part 1003, Subpart C

• Section III.C.5 of ICDBG NOFA

• Rating Factors 2 and 3

• 24 CFR Part 1003, Subpart C

• Section III.C.5 of ICDBG NOFA

• Rating Factors 2 and 3

45

Eligible ActivitiesEligible ActivitiesMost Common Activities:• Housing Rehabilitation• Land Acquisition for New Housing• Homeownership Assistance• Public Facilities & Improvements• Economic Development• Microenterprise Programs

Most Common Activities:• Housing Rehabilitation• Land Acquisition for New Housing• Homeownership Assistance• Public Facilities & Improvements• Economic Development• Microenterprise Programs

46

Other Eligible ActivitiesOther Eligible Activities

• Acquisition of Property• Clearance and Demolition• Comprehensive Planning• Lead-based Paint Evaluation/Hazard

Control• Non-Federal Share• Privately and Publicly Owned Commercial

or Industrial Buildings• Mold

• Acquisition of Property• Clearance and Demolition• Comprehensive Planning• Lead-based Paint Evaluation/Hazard

Control• Non-Federal Share• Privately and Publicly Owned Commercial

or Industrial Buildings• Mold

47


• New Housing Construction

may only be implemented through

a Community Based Development Organization (CBDO)

• New Housing Construction

may only be implemented through

a Community Based Development Organization (CBDO)

48

Documenting a CBDO(Option 1)


• Socially oriented non-profit

• Board represents community

• Free to procure

• Not subject to reversion of assets

• Socially oriented non-profit

• Board represents community

• Free to procure

• Not subject to reversion of assets

49



• Section 301(d) of Small Business Investment Act entities

• SBA approved entities• HOME Community Housing Development

Organization (CHDOs)• Tribal-based community development

non-profit

• Section 301(d) of Small Business Investment Act entities

• SBA approved entities• HOME Community Housing Development

Organization (CHDOs)• Tribal-based community development

non-profit

50



• Similar to Option 1 and 2

Example:- Has all characteristics as 1 but cannot find

board with 1/3 or less public officials

• TDHE or IHA not automatically con-

sidered a CBDO

• Similar to Option 1 and 2

Example:- Has all characteristics as 1 but cannot find

board with 1/3 or less public officials

• TDHE or IHA not automatically con-

sidered a CBDO

51


Housing Rehabilitation– Rental or homebuyer– Publicly/privately owned– Grants, loans, guarantees, interest

supplements– Multiple activity types– Labor, materials, principal fixtures,

security devices

Housing Rehabilitation– Rental or homebuyer– Publicly/privately owned– Grants, loans, guarantees, interest

supplements– Multiple activity types– Labor, materials, principal fixtures,

security devices

52


Land Acquisition – submit as part of:– Land acquisition to support new

housing or part of new housing construction

– Public Facilities & Improvements– Economic Development

Land Acquisition – submit as part of:– Land acquisition to support new

housing or part of new housing construction

– Public Facilities & Improvements– Economic Development

53

Eligible ActivitiesEligible ActivitiesHomeownership Assistance

– Only for LMI households– Subsidize interest/principal– Acquire guarantees from lenders– Up to 50% of down-payment– Pay reasonable closing costs– Eligible activity vs. public service

Homeownership Assistance– Only for LMI households– Subsidize interest/principal– Acquire guarantees from lenders– Up to 50% of down-payment– Pay reasonable closing costs– Eligible activity vs. public service

54


Public Facilities & Improvements

– Community Facilities

– Special Needs Facilities

– Infrastructure

Public Facilities & Improvements

– Community Facilities

– Special Needs Facilities

– Infrastructure

55


Economic Development• Acquisition, construction, rehabilitation or

installation of bldgs or equipment• Assistance to non-profit and for profit

organizations• Special requirements for for-profits

Economic Development• Acquisition, construction, rehabilitation or

installation of bldgs or equipment• Assistance to non-profit and for profit

organizations• Special requirements for for-profits

56

Eligible ActivitiesEligible ActivitiesMicroenterprises

• Owner must be LMI and have five or fewer employees

• Funds used for grants, loans, TA, and general support

• No 15% public service cap

Microenterprises

• Owner must be LMI and have five or fewer employees

• Funds used for grants, loans, TA, and general support

• No 15% public service cap

57

Eligibility of Government FacilitiesEligibility of Government Facilities

• Distinction between government office buildings vs. public facilities where services are provided

• Police stations, jails, libraries, mini city halls are eligible

• Courthouses, local government offices and other government headquarters are ineligible

• Distinction between government office buildings vs. public facilities where services are provided

• Police stations, jails, libraries, mini city halls are eligible

• Courthouses, local government offices and other government headquarters are ineligible

58

Ineligible ActivitiesIneligible Activities

• Maintenance & Operations

• New housing construction, unless carried out by a CBDO

• Furnishings and personal property

• Construction tools/equipment

• Income payments

• Maintenance & Operations

• New housing construction, unless carried out by a CBDO

• Furnishings and personal property

• Construction tools/equipment

• Income payments

59

Application & Submission Information


Information can be found in:

• General Section (Section IV)

• ICDBG NOFA (Section IV)

Information can be found in:

• General Section (Section IV)

• ICDBG NOFA (Section IV)

60


General Section


General Section

• Review General Section

• Applications must be submitted electronically, via Grants.gov unless waiver is granted

• Review General Section

• Applications must be submitted electronically, via Grants.gov unless waiver is granted

61

Technical Assistance Electronic Grant Applications


• Grants.gov Customer Support: http://www.grants.gov/contactus/contactus.jsp

• Technical Problems: [email protected] or 800-518-4726

• Grants.gov Customer Support: http://www.grants.gov/contactus/contactus.jsp

• Technical Problems: [email protected] or 800-518-4726

http://www.grants.gov/contactus/contactus.jsp

http://www.grants.gov/contactus/contactus.jsp

62



• HUD website: www.hud.gov/offices/adm/grants/fundsavail.cfm– Connecting With Communities – Users

Guide– NOFA Webcasts

(www.hud.gov/webcasts.index.cfm)

• HUD website: www.hud.gov/offices/adm/grants/fundsavail.cfm– Connecting With Communities – Users

Guide– NOFA Webcasts

(www.hud.gov/webcasts.index.cfm)

http://www.hud.gov/offices/adm/grants/fundsavail.cfm




63



• HUD’s NOFA Information Center

– 800-HUD-8929

• HUD Staff

• HUD’s NOFA Information Center

– 800-HUD-8929

• HUD Staff

64

Application SubmissionFive Steps

• Obtain a DUNS Number

• Register with the CCR

• Register with Grants.gov

• Grant approval to submit

• Check AOR status

65

Download Application Download Application

• https://apply.grants.gov/apply/ forms_apps_idx.html

• Enter CFDA number (14.862) or Funding Opportunity Number (FR-5415-N-08

• https://apply.grants.gov/apply/ forms_apps_idx.html

• Enter CFDA number (14.862) or Funding Opportunity Number (FR-5415-N-08

https://apply.grants.gov/applicants/apply_for_grants.jsp






66

Electronic SubmissionAdobe Reader

Electronic SubmissionAdobe Reader

• Install Adobe Reader 9.2.3

• Adobe Reader is free and available at http://www.adobe.com/products/acrobat/readstep2_allversions.html

• Install Adobe Reader 9.2.3

• Adobe Reader is free and available at http://www.adobe.com/products/acrobat/readstep2_allversions.html

http://www.grants.gov/help/download_software.jsp




67

Submission Dates and TimesSubmission Dates and Times

• 11:59:59 pm on October 27, 2010• Confirmation of Submission• Application Submission Validation check• Application Validation & Rejection

Notification

• 11:59:59 pm on October 27, 2010• Confirmation of Submission• Application Submission Validation check• Application Validation & Rejection

Notification

68

Submission Grace PeriodSubmission Grace Period

• In 2010, applicants have a 1-day grace period to resubmit applications

• Applies if application submitted before deadline and time and received rejection notice after deadline date and time

• In 2010, applicants have a 1-day grace period to resubmit applications

• Applies if application submitted before deadline and time and received rejection notice after deadline date and time

69

Reasons for Rejection Reasons for Rejection

• Invalid DUNS Number

• Password ID Mixup

• Not authorized to submit

• Virus detected

• Invalid DUNS Number

• Password ID Mixup

• Not authorized to submit

• Virus detected

70

Electronic Submission Waiver Electronic Submission Waiver

• Waivers only granted for cause • Submit request in writing with

explanation• Examples: lack of available Internet

access in rural communities

• Waivers only granted for cause • Submit request in writing with

explanation• Examples: lack of available Internet

access in rural communities

71

Electronic Submission WaiverElectronic Submission Waiver• Waiver must be submitted 15 days

prior to application deadline date

• Send waiver to: Deborah Lalancette, HUD ONAP

1670 Broadway, 23rd floor

Denver, CO 80202

E-mail: [email protected], or fax to 303-675-1660

• Waiver must be submitted 15 days prior to application deadline date

• Send waiver to: Deborah Lalancette, HUD ONAP

1670 Broadway, 23rd floor

Denver, CO 80202

E-mail: [email protected], or fax to 303-675-1660

72

Electronic Submission WaiverElectronic Submission Waiver

• If granted, paper application must still be received by the deadline date

• Submit 1 original/1copy of application to AONAP

• No restrictions on mail services

• If granted, paper application must still be received by the deadline date

• Submit 1 original/1copy of application to AONAP

• No restrictions on mail services

73

Tips for Preparing ApplicationTips for Preparing Application

• Use Application Checklist

• Include only information that supports your responses

• Use Application Checklist

• Include only information that supports your responses

74

Tips for Preparing Application

Tips for Preparing Application

• Do preliminary rating

• Review your responses – compare to NOFA requirements

• Do preliminary rating

• Review your responses – compare to NOFA requirements

75

Application, Forms, Required ElementsApplication, Forms, Required Elements

• Narrative to five rating factors• Application for Assistance (SF-424) • SF-424 SUPP Faith-based EEO Survey• Applicant/Recipient Disclosure Update

Report, HUD-2880

• Narrative to five rating factors• Application for Assistance (SF-424) • SF-424 SUPP Faith-based EEO Survey• Applicant/Recipient Disclosure Update

Report, HUD-2880

76


• Acknowledgement of Application Receipt, HUD-2993

• Concurring resolutions – if applicable

• Implementation Schedule, HUD-4125

• Acknowledgement of Application Receipt, HUD-2993

• Concurring resolutions – if applicable

• Implementation Schedule, HUD-4125

77


• Cost Summary, HUD-4123- Planning and admin cannot exceed

20% of grant - Only with physical development- Broken down by project- Don’t include costs related to project- Indirect costs in compliance with OMB

Circular

• Cost Summary, HUD-4123- Planning and admin cannot exceed

20% of grant - Only with physical development- Broken down by project- Don’t include costs related to project- Indirect costs in compliance with OMB

Circular

78

Application, Forms, Required Elements


• Tribal resolution on citizen participation

• Map

• Low- and moderate-income (LMI) benefit

• Tribal resolution on citizen participation

• Map

• Low- and moderate-income (LMI) benefit

79

Measuring LMI Benefit (Area Benefit)

Measuring LMI Benefit (Area Benefit)

• Activities that benefit all residents of an area where at least 51% of residents are LMI persons

• Area must be primarily residential

• Activities that benefit all residents of an area where at least 51% of residents are LMI persons

• Area must be primarily residential

80

Measuring LMI Benefit (Limited Clientele)

Measuring LMI Benefit (Limited Clientele)

• Clientele presumed to be 51% LMI• 51% of surveyed participants are

LMI• Participation limited to LMI • Nature of activity/location indicates

LMI benefit

• Clientele presumed to be 51% LMI• 51% of surveyed participants are

LMI• Participation limited to LMI • Nature of activity/location indicates

LMI benefit

81

Measuring LMI Benefit (Housing)

Measuring LMI Benefit (Housing)

• Residential structures provided/improved must be occupied by LMI persons– Single family structure - LMI occupancy– One unit of duplex - LMI occupancy– Structures w/3 or more units must have at

least 51% LMI

• Residential structures provided/improved must be occupied by LMI persons– Single family structure - LMI occupancy– One unit of duplex - LMI occupancy– Structures w/3 or more units must have at

least 51% LMI

82

Measuring LMI (Job Creation/Retention)

Measuring LMI (Job Creation/Retention)

• Activities must create or retain permanent jobs and

• 51% of jobs created/retained must be available to or held by LMI persons

• Activities must create or retain permanent jobs and

• 51% of jobs created/retained must be available to or held by LMI persons

83



• Demographic Data– If applicable applicant should submit

data that complies with requirements in Rating Factor 2 of NOFA

– Must benefit the neediest segment of the population

• Demographic Data– If applicable applicant should submit

data that complies with requirements in Rating Factor 2 of NOFA

– Must benefit the neediest segment of the population

84



• Project-Specific Thresholds

• Commitment to Housing for Land Acquisition to Support New Housing Projects

• Project-Specific Thresholds

• Commitment to Housing for Land Acquisition to Support New Housing Projects

85

Application, Forms Required Elements


• Health Care Facilities

• Correctional Facilities / Juvenile Detention Centers

• Evidence of Partner Commitment

• Health Care Facilities

• Correctional Facilities / Juvenile Detention Centers

• Evidence of Partner Commitment

86



• Code of Conduct

• SF-LLL on lobbying

• Program Outcome Logic Model

• Code of Conduct

• SF-LLL on lobbying

• Program Outcome Logic Model

87

Rating FactorsRating Factors

1 Capacity of the Applicant 30

2 Need/Extent of Problem 16

3 Soundness of Approach 36

4 Leveraging Resources 8

5 Comprehensiveness &

Coordination 10

TOTAL points 100

1 Capacity of the Applicant 30

2 Need/Extent of Problem 16

3 Soundness of Approach 36

4 Leveraging Resources 8

5 Comprehensiveness &

Coordination 10

TOTAL points 100

88

Changes from FY09

• Applications submitted electronically

• Logic Model is now mandatory

• Two new HUD Policy Priorities – Job Creation/Employment– Sustainability

89

Rating FactorsRating Factors

• Applicants must score a minimum of 70 points out of the 100 available points to be considered for funding

• Applicants must score a minimum of 70 points out of the 100 available points to be considered for funding

90

Factor 1, Capacity of the Applicant

Factor 1, Capacity of the Applicant

• New applicants can receive up to 30 points

• Current grantees up to 15 points

• If funded your progress will be measured

• New applicants can receive up to 30 points

• Current grantees up to 15 points

• If funded your progress will be measured

91

Factor 1, Subfactor 1Managerial, Technical and Administrative Capacity

Factor 1, Subfactor 1Managerial, Technical and Administrative Capacity

• Possess or can obtain managerial, Possess or can obtain managerial, technical or administrative technical or administrative capability to carry out the proposed capability to carry out the proposed projectproject

• Identify who will administer projectIdentify who will administer project

• Possess or can obtain managerial, Possess or can obtain managerial, technical or administrative technical or administrative capability to carry out the proposed capability to carry out the proposed projectproject

• Identify who will administer projectIdentify who will administer project

92

Factor 1, Subfactor 1.a.Managerial and Technical Staff

Factor 1, Subfactor 1.a.Managerial and Technical Staff

• Up to 8 points

• Application should describe roles/responsibilities of program director AND staff

• Experience must be relevant, recent, and successful

• Up to 8 points

• Application should describe roles/responsibilities of program director AND staff

• Experience must be relevant, recent, and successful

93

Factor 1, Subfactor 1.b. Project Implementation Plan Factor 1, Subfactor 1.b.

Project Implementation Plan

• Up to 3 points for current grantees

• Up to 8 points for new applicants

• Identify specific tasks and timelines for completing project

• Up to 3 points for current grantees

• Up to 8 points for new applicants

• Identify specific tasks and timelines for completing project

94

Factor 1, Subfactor 1.c. Financial Management

Factor 1, Subfactor 1.c. Financial Management

• 2 points for current grantees and 7 points for new applicants

• Show financial management systems meet 24 CFR part 85 and 1003

• Seriousness/significance of open findings

• Current audit if required

• 2 points for current grantees and 7 points for new applicants

• Show financial management systems meet 24 CFR part 85 and 1003

• Seriousness/significance of open findings

• Current audit if required

95

Factor 1, Subfactor 1.d. Procurement/Contract MgmtFactor 1, Subfactor 1.d.

Procurement/Contract Mgmt• Up to 2 points for current grantees and up

to 7 points for new applicants• Describe how your policies and

procedures meet requirements of 24 CFR part 85 and 1003

• Findings related to procurement & contract management

• Current audit, or letter from IPA

• Up to 2 points for current grantees and up to 7 points for new applicants

• Describe how your policies and procedures meet requirements of 24 CFR part 85 and 1003

• Findings related to procurement & contract management

• Current audit, or letter from IPA

96

Factor 1, Subfactor 2, Past Performance


• Up to 15 points for current grantees/new applicants not rated here (0 points)

– (a) Implementation Schedule

– (b) Reports

• Up to 15 points for current grantees/new applicants not rated here (0 points)

– (a) Implementation Schedule

– (b) Reports

97



– (c) Close-outs

– (d) Audits

– (e) Findings

– (c) Close-outs

– (d) Audits

– (e) Findings

98

Rating Factor 2Need/Extent of Problem

Rating Factor 2Need/Extent of Problem

• Total of 16 points to address a documented problem

• Subfactor 1 - Need and Viability

- up to 4 points• Subfactor 2 - Project Benefit

- up to 12 points

- Criteria varies by type of project

• Total of 16 points to address a documented problem

• Subfactor 1 - Need and Viability

- up to 4 points• Subfactor 2 - Project Benefit

- up to 12 points

- Criteria varies by type of project

99

Rating Factor 2, Subfactor 2.a.Need/Extent of Problem

Public Facilities and Improvements

Rating Factor 2, Subfactor 2.a.Need/Extent of Problem

Public Facilities and Improvements

• Up to 12 points• Must submit decennial Census

information or unpublished data that meets certain criteria

• Up to 12 points• Must submit decennial Census

information or unpublished data that meets certain criteria

100

Rating Factor 2, Subfactor 2.a.Public Facilities & Improvement Projects

Rating Factor 2, Subfactor 2.a.Public Facilities & Improvement Projects

At least 85% LMI 12 points

At least 75% but < 84% LMI 8 points


Less than 55% 0 points

At least 85% LMI 12 points



Less than 55% 0 points

101

Rating Factor 2, Subfactor 2.b.Economic Development

Rating Factor 2, Subfactor 2.b.Economic Development

• Beneficiaries are persons served, employed by project, jobs created or retained

• Submit census data or other data as explained on earlier slide

• Points given are identical to those on previous slide

• Beneficiaries are persons served, employed by project, jobs created or retained

• Submit census data or other data as explained on earlier slide

• Points given are identical to those on previous slide

102

Rating Factor 2, Subfactor 2.c.Housing Construction and Rehab, Land Acquisition

for Housing and Homeownership

Rating Factor 2, Subfactor 2.c.Housing Construction and Rehab, Land Acquisition

for Housing and Homeownership

Based on 2010 IHBG formula data

$327- $750 12 pts $751 - $1,250 8 pts $1,251 - $3,999 4 pts $4,000+ 0 pts

Based on 2010 IHBG formula data

$327- $750 12 pts $751 - $1,250 8 pts $1,251 - $3,999 4 pts $4,000+ 0 pts

103

Rating Factor 2, Subfactor 2.d.Microenterprises

Rating Factor 2, Subfactor 2.d.Microenterprises

All LMI 12 pts

At least 75% but < 100% LMI 8 pts


Less than 50% LMI 0 pts

All LMI 12 pts



Less than 50% LMI 0 pts

104

Rating Factor 3Soundness of Approach


• Up to 36 points

• Address quality/effectiveness of project to enhance community viability, meet identified needs, and sustain the project

• Up to 36 points

• Address quality/effectiveness of project to enhance community viability, meet identified needs, and sustain the project

105



1. Description & Rationale for Proposed Project (13 pts)

2. Budget & Cost Estimates (9 pts)

3. HUD Policy Priorities (2 pts)

4. Commitment to Sustain Activities (12 points)

1. Description & Rationale for Proposed Project (13 pts)

2. Budget & Cost Estimates (9 pts)

3. HUD Policy Priorities (2 pts)

4. Commitment to Sustain Activities (12 points)

106

Factor 3, Subfactor 1Description of and Rationale for Proposed

Project

Factor 3, Subfactor 1Description of and Rationale for Proposed

Project

• Up to 13 points• Describe your project• Describe how project will address

identified need• Describe how project will enhance

community’s viability

• Up to 13 points• Describe your project• Describe how project will address

identified need• Describe how project will enhance

community’s viability

107

Factor 3, Subfactor 2Budget & Cost Estimates

Factor 3, Subfactor 2Budget & Cost Estimates

• 9 points• Include cost breakdowns by line item

(including planning & admin)• Include cost estimates and describe

qualifications of person(s) who prepared the estimate(s)

• 9 points• Include cost breakdowns by line item

(including planning & admin)• Include cost estimates and describe

qualifications of person(s) who prepared the estimate(s)

108

Factor 3, Subfactor 3HUD Policy PrioritiesFactor 3, Subfactor 3HUD Policy Priorities

• 2 points (1 for each priority)– Job Creation/Employment – Sustainability

• Include narrative on which priorities you are addressing with the project and how

• 2 points (1 for each priority)– Job Creation/Employment – Sustainability

• Include narrative on which priorities you are addressing with the project and how

109

Factor 3, Subfactor 3HUD Policy Priorities

Job Creation/Employment


Job Creation/Employment

• Transportation access to jobs

• Job training, career services, and/or jobs

• One point

• Transportation access to jobs

• Job training, career services, and/or jobs

• One point

110


Sustainability


Sustainability

• Improve health and safety via green and healthy design

• Support and promote energy efficient, green and healthy housing/community facilities

• Promotes design and construction of buildings accessible to people with disabilities

• One point

• Improve health and safety via green and healthy design

• Support and promote energy efficient, green and healthy housing/community facilities

• Promotes design and construction of buildings accessible to people with disabilities

• One point

111

Factor 3, Subfactor 4Commitment to Sustain Activities

Factor 3, Subfactor 4Commitment to Sustain Activities

• Up to 12 points• Demonstrate commitment to community’s

viability• Criteria varies by type of project

• Up to 12 points• Demonstrate commitment to community’s

viability• Criteria varies by type of project

112

Factor 3, Subfactor 4.a. (Public Facilities/Improvements)


• Up to 12 points• Provide statement that tribe or “entity

other than tribe” has adopted/developed O&M Plan and commits funds for those responsibilities

• Up to 12 points• Provide statement that tribe or “entity

other than tribe” has adopted/developed O&M Plan and commits funds for those responsibilities

113



• O&M Plan must addresses maintenance, repairs, insurance, security & replacement reserves & include cost breakdown

• Buildings must show operating funds for services

• Service providers submit commitments for operating and space needs

• O&M Plan must addresses maintenance, repairs, insurance, security & replacement reserves & include cost breakdown

• Buildings must show operating funds for services

• Service providers submit commitments for operating and space needs

114

Factor 3, Subfactor 4.b. (New Housing Construction, Housing

Rehabilitation, Homeownership Assistance Projects)

Factor 3, Subfactor 4.b. (New Housing Construction, Housing

Rehabilitation, Homeownership Assistance Projects)

• Up to 12 pts• Identify tribal and/or participant’s

maintenance responsibilities• Describe responsibilities and provide

written commitment to undertake

• Up to 12 pts• Identify tribal and/or participant’s

maintenance responsibilities• Describe responsibilities and provide

written commitment to undertake

115

Factor 3, Subfactor 4.c. (Economic Development)

Factor 3, Subfactor 4.c. (Economic Development)

• Up to 12 pts

• Describe:

– How the project will operate

– Why it is needed

– How it will succeed

• Up to 12 pts

• Describe:

– How the project will operate

– Why it is needed

– How it will succeed

116

Factor 3, Subfactor 4.d. (Microenterprises)

Factor 3, Subfactor 4.d. (Microenterprises)

• Up to 12 pts• Describe how program will operate • Include types of assistance offered and

entities eligible for assistance• Describe process for:

– Selecting applicants– Analyzing business plans, market studies and

financial feasibility

• Up to 12 pts• Describe how program will operate • Include types of assistance offered and

entities eligible for assistance• Describe process for:

– Selecting applicants– Analyzing business plans, market studies and

financial feasibility

117

Factor 3, Subfactor 4.e. (Land Acquisition to Support New Housing)

Factor 3, Subfactor 4.e. (Land Acquisition to Support New Housing)

• Up to 12 pts• Show that proposed site has:

– Suitable soil conditions– Potable drinking water– Access to utilities, vehicular access, drainage,

services, and no environmental problems

• Up to 12 pts• Show that proposed site has:

– Suitable soil conditions– Potable drinking water– Access to utilities, vehicular access, drainage,

services, and no environmental problems

118

Rating Factor 4Leveraging Resources


• Up to 8 points• HUD will award points based on % of

non-ICDBG funds relative to total

project cost

• Up to 8 points• HUD will award points based on % of

non-ICDBG funds relative to total

project cost

119

Rating Factor 4Leveraging Resources Points

Rating Factor 4Leveraging Resources Points

Less than 4% 0 pts

At least 4% but

less than 11% 2 pts

At least 11% but

less than 18% 4 pts

At least 18% but

less than 25% 6 pts

25% or more 8 pts

Less than 4% 0 pts

At least 4% but

less than 11% 2 pts

At least 11% but

less than 18% 4 pts

At least 18% but

less than 25% 6 pts

25% or more 8 pts

120



Allowable Non-ICDBG Resources• Tribal trust or other funds• Private & public loans/guarantees• IHBG funds & other grants• Donated goods/services• Land needed for project• Direct admin costs

Allowable Non-ICDBG Resources• Tribal trust or other funds• Private & public loans/guarantees• IHBG funds & other grants• Donated goods/services• Land needed for project• Direct admin costs

121



Disallowed Leverage• Indirect admin costs• Operations & maintenance costs for

project• Value of existing facility if expansion is

proposed

Disallowed Leverage• Indirect admin costs• Operations & maintenance costs for

project• Value of existing facility if expansion is

proposed

122



• Submit information with application • Written statement identifying & committing tribal

funds• Approved IHP on file with resources committed

or written commitment for future IHBG funds• Letter of commitment from non-tribal entity• Comparable costs for goods, services & land

• Submit information with application • Written statement identifying & committing tribal

funds• Approved IHP on file with resources committed

or written commitment for future IHBG funds• Letter of commitment from non-tribal entity• Comparable costs for goods, services & land

123



• Commitment must be received within 6 months

• Letter from contributing entity must: Indicate why the commitment cannot be made Provide assurance the project is eligible for

funding; and Indicate a date when funding decision will be

made

• Commitment must be received within 6 months

• Letter from contributing entity must: Indicate why the commitment cannot be made Provide assurance the project is eligible for

funding; and Indicate a date when funding decision will be

made

124

Factor 5 Comprehensiveness & Coordination

Factor 5 Comprehensiveness & Coordination

• Up to 10 points

• How your project planning and implementation reflects a coordinated approach

• Logic Model now required

• Up to 10 points

• How your project planning and implementation reflects a coordinated approach

• Logic Model now required

125

Factor 5Subfactor 1 - Coordination

Factor 5Subfactor 1 - Coordination

• Up to 2 pts

• How you coordinated with those not providing funds but who share your goals

• Do not include leverage partners

• Up to 2 pts

• How you coordinated with those not providing funds but who share your goals

• Do not include leverage partners

126

Factor 5 Subfactor 2 – Outputs, Outcomes, and/or

Goals

Factor 5 Subfactor 2 – Outputs, Outcomes, and/or

Goals • Up to 8 points• Outputs include

– No. of houses rehabilitated– No. of jobs created– Square feet of public facility– No. of homeownership units

built/financed– No. of businesses assisted

• Up to 8 points• Outputs include

– No. of houses rehabilitated– No. of jobs created– Square feet of public facility– No. of homeownership units

built/financed– No. of businesses assisted

127

Factor 5Factor 5

• Outcomes include:– Reduction in families in substandard

housing– Increased income resulting from

employment– Increased quality of life due to public

facility– Increased economic self sufficiency of

beneficiaries

• Outcomes include:– Reduction in families in substandard

housing– Increased income resulting from

employment– Increased quality of life due to public

facility– Increased economic self sufficiency of

beneficiaries

128

Logic ModelLogic Model

• HUD’s Logic Model has dropdown listings to select goals, activities, types of outputs and outcomes, and units of measurement

• There is also an “other” category

• HUD’s Logic Model has dropdown listings to select goals, activities, types of outputs and outcomes, and units of measurement

• There is also an “other” category

129

Logic ModelLogic Model• A webcast on the Logic Model was

provided on July 22• It is archived at:

http://portal.hud.gov/portal/page/portal/HUD/

• program_offices/administration/grants/

• training/odgmotraining.

• A webcast on the Logic Model was provided on July 22

• It is archived at: http://portal.hud.gov/portal/page/portal/HUD/

• program_offices/administration/grants/

• training/odgmotraining.

http://portal.hud.gov/portal/page/portal/HUD/program_offices/administration/grants/training/odgmotraining








130

Review and Selection Process Review and Selection Process

• Application received by deadline and per requirements

• Applicant is eligible• Proposed project is eligible• Application contains all required

components• At least 70% of funds must benefit LMI

persons

• Application received by deadline and per requirements

• Applicant is eligible• Proposed project is eligible• Application contains all required

components• At least 70% of funds must benefit LMI

persons

131

Review & Selection ProcessReview & Selection Process

• Threshold compliance

• Past Performance evaluated under Factor 1

• Rating

• Minimum Points

• Threshold compliance

• Past Performance evaluated under Factor 1

• Rating

• Minimum Points

132

Review & Selection ProcessReview & Selection Process

• Ranking– All types of projects ranked against all

others

• Tiebreakers– Standardized across AONAPs– Projects selected that can be fully

funded over those that cannot be

• Ranking– All types of projects ranked against all

others

• Tiebreakers– Standardized across AONAPs– Projects selected that can be fully

funded over those that cannot be

133

Technical DeficienciesTechnical Deficiencies

• Errors/oversights that would not alter rating if corrected

• Only successful applicants asked & required to correct

• 14 calendar days to respond

• No funding if no response

• Errors/oversights that would not alter rating if corrected

• Only successful applicants asked & required to correct


• No funding if no response

134

Pre-Award RequirementsPre-Award Requirements

• Additional supporting documentation required before award can be made

• Delinquent Federal Debt Review

• Name Check Reviews


• No funding if no response or inadequate response

• Additional supporting documentation required before award can be made

• Delinquent Federal Debt Review

• Name Check Reviews


• No funding if no response or inadequate response

135

Errors and AppealsErrors and Appeals

• Reviewer judgments not subject to claims of error

• Bring arithmetic errors to ONAP attention within 30 days

• If warranted, funding may be provided in next funding round

• Reviewer judgments not subject to claims of error

• Bring arithmetic errors to ONAP attention within 30 days

• If warranted, funding may be provided in next funding round

136

Anticipated Award DatesAnticipated Award Dates

• Pre-awards must be met

• Congressional release

• Anticipated awards by March 14, 2010

• Execute grant agreement – special conditions

• Pre-awards must be met

• Congressional release

• Anticipated awards by March 14, 2010

• Execute grant agreement – special conditions

137

Post Award Reporting Requirements

Post Award Reporting Requirements

• Quarterly Federal Financial Reports (SF-425)

• Annual Status & Evaluation Report

• Minority Business Enterprise Reports

• Close-Out Report

• Quarterly Federal Financial Reports (SF-425)

• Annual Status & Evaluation Report

• Minority Business Enterprise Reports

• Close-Out Report

138

General QuestionsGeneral Questions

• Area ONAP

• Electronic Submission – call 800-518-4726 or [email protected]

• Area ONAP

• Electronic Submission – call 800-518-4726 or [email protected]



139

Area ONAPsArea ONAPs

• Alaska: (907) 677-9860• Eastern Woodlands: 1-800-735-3239• Northern Plains: 1-888-814-2945• Northwest: (206) 220-5270• Southern Plains: (405) 609-8532• Southwest (Phoenix): (602) 379-7200• Southwest (Albuquerque): (505) 346-6923

• Alaska: (907) 677-9860• Eastern Woodlands: 1-800-735-3239• Northern Plains: 1-888-814-2945• Northwest: (206) 220-5270• Southern Plains: (405) 609-8532• Southwest (Phoenix): (602) 379-7200• Southwest (Albuquerque): (505) 346-6923

140

Technical Assistance (TA) Technical Assistance (TA) Technical Assistance (TA) Technical Assistance (TA)

• HUD Reform Act (Section 103)

• TA only until NOFA publication

• TA includes general guidance about NOFA terms and regulations

• HUD Reform Act (Section 103)

• TA only until NOFA publication

• TA includes general guidance about NOFA terms and regulations

141

Area ONAP NOFA TrainingArea ONAP NOFA Training

• Contact your Area ONAP for specific locations and to register for NOFA training

• Online ICDBG training: http://www.hud.gov/offices/pih/ih/grants/icdbg.cfm

• Contact your Area ONAP for specific locations and to register for NOFA training

• Online ICDBG training: http://www.hud.gov/offices/pih/ih/grants/icdbg.cfm

http://www.hud.gov/offices/pih/ih/grants/icdbg.cfm




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