oppCDFI-2018-BEA-cfda21.021-instructions.pdf

C om m unity Development Financial Instit utio ns F un d

U.

S.

D

EPARTMENT of the TREASURY

BE A

PROGR A M

APPLICATION INSTRUCTIONS

WWW.CDFIFUND.GOV/BEA

B A N K E N T E R P R I S E AWA R D P R O G R A M

2 0 1 8 A P P L I C A T I O N I N S T R U C T I O N S

CDFI Fund | BEA Program Application 2

OMB Approval No. 1559-0005

CDFI Form: CDFI-0002

Paperwork Reduction Act Notice

This submission requirements package is provided to Applicants for Awards under the Bank

Enterprise Award Program. The estimated average burden associated with this collection of information is 45 hours per respondent, depending on individual circumstances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Department of the Treasury, Community Development Financial Institutions

Fund, 1500 Pennsylvania Ave., N.W., Washington, DC 20220.

Catalog of Federal Domestic Assistance Number: 21.021

The CDFI Fund is an equal opportunity provider.

Please note that the purpose of this document is to provide instructions for completing a FY’18 BEA Program Application. This document is not the FY’18 BEA Program

Application and, therefore, should not be submitted through Grants.gov or the CDFI

Fund’s Award Management Information System (AMIS). DO NOT SUBMIT THIS

DOCUMENT.

CDFI Fund | BEA Program Application 3

TABLE OF CONTENTS

INTRODUCTION

FY 2018 UPDATES

Home Improvement and Affordable Housing Loans 6

Eligibility Data 6

Integral Involvement 6

Persistent Poverty Counties 6

GENERAL APPLICATION INFORMATION

Actual Award Amount 8

Baseline Period Activities 8

CDFI Partners 8

Eligibility Data 8

Compliance and Reporting Requirement 10

APPLICATION ELIGIBILITY FACTORS

FDIC-Insured Depository Status 11

Certification Status 11

CDFI Program Award Status 11

Prior CDFI Fund Award Recipients or Allocatees 11

Double Funding 12

GENERAL APPLICATION INSTRUCTIONS

System Access 13

BEA Program Application Submission Guidance 14

PART I. GRANTS.GOV: GRANTS APPLICATION PACKAGE

Table 3: Standard Form (SF) – 424 Mandatory Instructions 17

Assurances and Certifications 19

PART II. AMIS: BEA PROGRAM ELECTRONIC APPLICATION

CDFI Fund | BEA Program Application 4

Forms and Certifications 27

Table 4: Applicant Information 30

Environmental Review Questions 32

Table 5: Reporting BEA Qualified Activities 34

Table 6: Transactions to be Considered for an Award 37

Table 7: Estimated BEA Program Award Calculation 41

Table 8: Projected Use of BEA Program Award 46

REPORTING QUALIFIED ACTIVITIES AND SUPPORTING

DOCUMENTATION

General Information 47

Qualified Activity Documentation - CDFI Related Activities 52

Qualified Activity Documentation - Distressed Community Financing Activities 53

Qualified Activity Documentation - Service Activities 55

Instructions for Uploading Qualified Activity Documentation 57

CDFI Fund | BEA Program Application 5

INTRODUCTION

The CDFI Fund’s mission is to expand economic opportunity for underserved people and communities by supporting the growth and capacity of a national network of community development lenders, investors, and financial service providers. The CDFI Fund achieves its mission by directly investing in and supporting Community Development Financial Institutions (CDFIs), Community

Development Entities (CDEs), and other financial institutions through the CDFI Program, the Native

Initiatives, the New Markets Tax Credit (NMTC) Program, the CDFI Bond Guarantee (BG) Program, the Bank Enterprise Award Program (BEA Program), and the Capital Magnet Fund.

The BEA Program complements the community development activities of banks and thrifts

(collectively referred to as Depository Institutions for purposes of this Application), by providing financial incentives to expand investments in CDFIs and to increase lending, investment, and service activities within Distressed Communities. Providing monetary awards for increasing community development activities leverages the CDFI Fund's dollars and puts more capital to work in Distressed

Communities throughout the nation.

Information on the CDFI Fund’s programs can be found on the CDFI Fund’s website at www.cdfifund.gov. From the home page navigation bar, click on “Programs & Training,” then

“Programs” for the various programs of interest.

Capitalized terms (other than titles) are defined in the BEA Program Regulations (12

C.F.R.C.F.R. Part 1806), the Notice of Funding Availability (NOFA) for the FY 2018 funding round, the FY 2018 BEA Program Application, or the FY 2018 BEA Supplemental Guidance and Frequently Asked Questions for Applicants. All of these documents may be downloaded from the CDFI Fund’s website at www.cdfifund.gov. Certain terms used throughout the

Application have meanings unique to the BEA Program. The CDFI Fund encourages each

Applicant to review the BEA Program Regulations, NOFA, and the BEA Supplemental

Guidance to be familiar with these meanings, as well as other program requirements.

Funding of $25 million has been appropriated for the FY 2018 application round of the BEA

Program. Publication of this Application or the NOFA does not oblige the CDFI Fund or the

Department of the Treasury to make any Award or to obligate any available funds. Any costs incurred by the Applicants in developing an Application or in anticipation of an Award are done at the Applicant’s own risk.

http://www.cdfifund.gov/

CDFI Fund | BEA Program Application 6

FY 2018 UPDATES

Home Improvement and Affordable Housing Loans

The CDFI Fund has introduced a cap of $500,000.00 to the Total Dollar Value for Home Improvement

Loans to be considered in the FY 2018 BEA Program Application. This cap is the same as the cap on Affordable Housing Loans. Applicants should not report Home Improvement Loans or Affordable

Housing Loans that exceed this amount as they will not be considered a BEA Qualified Activity.

Eligibility Data

On July 17, 2018 the CDFI Fund announced the release of updated BEA Eligibility Data based on the 2011-2015 American Community Survey. FY 2018 Applicants will have the option to use either the updated 2011-2015 or legacy 2006-2010 American Community Survey eligibility data to determine if Qualified Activities occurred in BEA Distressed Communities during the Baseline Period and the Assessment Period. For more information on BEA Eligibility Data, see Eligibility Data in the

General Application Information section of this document.

Integral Involvement

The CDFI Fund has added a new option for CDFI Partners to meet the Integral Involvement requirement. Scenario II on the Integral Involvement Form for CDFI Support Activity has been expanded and now includes Development Service Activities. A sample of the updated Form, which includes all of the optional scenarios, has been included on page 26 of this document.

Persistent Poverty Counties1

The CDFI Fund’s appropriation legislation in the Consolidated Appropriations Act, 2018 (Public Law

Number 115-141, enacted March 23, 2018, requires that at least 10 percent of BEA Program Awards be used for projects that serve populations living in Persistent Poverty Counties (PPC). In order to meet this requirement, FY 2018 Applicants will be required to complete Table 8: Projected Use of

BEA Program Award to indicate the minimum and maximum percentage of their Estimated BEA

Program Award that they are willing to commit to deploying in BEA Distressed Communities that are also defined as being a PPC.

Since the CDFI Fund must ensure that this Congressional mandate is met, these commitments will be considered when making Award decisions. If the CDFI Fund should determine, upon initial analysis of the pool of Award Recipients, that the 10 percent PPC requirement has not been met, preference will be given to Applicants that committed to deploying at least 10 percent of their BEA

Program Award to PPCs.

Applicants that commit to serving PPCs and are selected to receive an FY 2018 BEA Program Award, will have their PPC commitment incorporated into their Award Agreement as a performance goal which will be subject to compliance and reporting requirements.

The BEA Program Eligibility Data indicates whether a census tract also meets “Persistent Poverty

County” criteria. Applicants are strongly encouraged to review the BEA Program Eligibility Data prior

1 The term “Persistent Poverty County” means any county that has had 20 percent or more of its population living in poverty over the past 30 years, as measured by the 1990 and 2000 decennial censuses and the most recent series of 5-year data available from the American Community Survey from the Census Bureau.

CDFI Fund | BEA Program Application 7 to making a Persistent Poverty County commitment. A link to the updated BEA Program Eligibility

Data has been provided on page 8 under the heading ‘TABULAR BEA PROGRAM ELIGIBILITY

DATA’.

CDFI Fund | BEA Program Application 8

GENERAL APPLICATION INFORMATION

Actual Award Amount

The CDFI Fund will determine the eligibility of each transaction an Applicant has submitted for consideration in its FY 2018 BEA Program Application. Based upon this review, the CDFI Fund will calculate the Actual Award Amount for which the Applicant is eligible. The CDFI Fund will determine

Actual Award Amounts based upon the availability of funds, increase in Qualified Activities from the

Baseline Period to the Assessment Period, the CDFI certification status of the Applicant, and the total assets of an Applicant. In calculating the increase in Qualified Activities, the CDFI Fund will determine the eligibility of each transaction that an Applicant has submitted for consideration for a BEA Program

Award. In some cases, the actual Award amount calculated by the CDFI Fund may not be the same as the estimated Award amount requested by the Applicant.

If the CDFI Fund determines that an Applicant is eligible to receive an Award for Qualified Activities in more than one category, the CDFI Fund will combine the Award amounts into a single BEA

Program Award.

Baseline Period Activities

Qualified Activities which occurred during the Baseline Period must have occurred between January

1, 2016 – December 31, 2016. Qualified Activities during the Baseline Period are required to either be related to certified CDFIs or businesses and residents located in a BEA Distressed Community and meet any applicable eligibility requirements specified in the FY 2018 BEA Program Application, BEA Program Regulations (12 C.F.R. Part 1806), or FY 2018 NOFA. Applicants are not required to submit documentation for Baseline Period Qualified Activities.

CDFI Partners

An eligible CDFI Partner is an entity that has been certified as a CDFI as of the end of the Assessment

Period and is Integrally Involved in a Distressed Community. CDFI Partners that receive CDFI

Support Activities from an Applicant must be Integrally Involved in a Distressed Community.

Applicants will be required to certify that all CDFI Partners meet the definition of Integrally Involved as stated in the applicable NOFA. To meet this requirement, Applicants must provide evidence that each CDFI Partner that is the recipient of CDFI Support Activities is Integrally Involved in a Distressed

Community by submitting the ‘Integral Involvement Form for CDFI Support Activities’ for each CDFI

Support Activities transaction included in the application. This form is available on the BEA Program page of the CDFI Fund’s website. A copy has also been provided on page 26 of the Application.

Proof of Integral Involvement can be obtained from the CDFI Partner at the time the transaction is closed (or after) and must be submitted as supporting documentation by the Applicant.

Eligibility Data

As previously stated, FY 2018 Applicants have the option to use either the updated 2011-2015 or legacy 2006-2010 American Community Survey eligibility data to determine if Qualified Activities occurred in BEA Distressed Communities during the Baseline Period and Assessment Period. Both data sets have been made available in multiple formats to make it as easy as possible for Applicants.

The data is available in an interactive format in the CDFI Fund’s Information Mapping System (CIMS).

This option is best for Applicants that need to geocode transactions, but can also be used for other

CDFI Fund | BEA Program Application 9 purposes. The eligibility data has also been made available in tabular format on the CDFI Fund’s website. Additional information on the tabular data and links to both data sets has been provided below.

CDFI FUND’S INFORMATION MAPPING SYSTEM (CIMS)

Applicants that do not know the census tract associated with an address must use CIMS to geocode the address, obtain the 11 digit census tract number, and determine the BEA Program Eligibility of the census tract. Applicants should note that CIMS will not indicate whether a census tract is in an area that meets Persistent Poverty County criteria. This information is only available in the tabular data. To make this determination, Applicants must first obtain the 11 digit census tract number.

Once the 11 digit census tract number is known, Applicants can use the tabular data to determine whether it is within an area that meets Persistent Poverty County criteria.

TABULAR BEA PROGRAM ELIGIBILITY DATA

Applicants that already have an 11 digit census tract number have the option to use the tabular BEA

Program Eligibility Data located on the CDFI Fund’s public website. The data has been updated and now indicates whether a BEA eligible census tract also meets ‘Persistent Poverty County’ criteria.

Applicants are advised that if they elect to make Persistent Poverty County commitments, Persistent

Poverty County criteria is in addition to, and not in lieu of, statutory BEA Distressed Community eligibility criteria. The 2011-2015 or legacy 2006-2010 American Community Survey tabular BEA

Program Eligibility data can be accessed using the following link:

https://www.cdfifund.gov/research-data/Pages/default.aspx

CONTIGUITY DETERMINATIONS FOR PARTIALLY QUALIFIED CENSUS TRACTS

1. The BEA Program provides flexibility for Partially Qualified census tracts that do not individually meet minimum statutory eligibility requirements to be considered eligible, if/ when combined with one or more directly contiguous census tracts, minimum statutory eligibility requirements are collectively met. Applicants that use CIMS to determine whether a Partially

Qualified census tract qualifies for BEA based on contiguity will see the result as a “Yes” or

“No” in the ‘Qualified Based on Contiguity’ field.

2. Applicants using the the tabular data will see a column that displays a “Yes” or “No” to indicate whether a Partially Qualified census tract qualifies based on contiguity.

LOW AND MODERATE INCOME RESIDENT DETERMINATION

1. Applicants can also use either CIMS or the tabular data to determine whether a census tract meets the Low and Moderate Income Resident requirement. Applicants should use the

Median Family Income data for the census tract as a proxy for determining whether their borrowers meet BEA Program Low and Moderate Income Resident requirements. Low and

Moderate Income Residents are defined as follows in the FY 2018 Notice of Funding

Availability (NOFA).

a. Low Income means borrower income that does not exceed 80 percent of the area median income; and

b. Moderate Income means borrower income may be 81 percent to no more than 120 percent of the area median income, according to the U.S. Census Bureau data.

https://www.cdfifund.gov/research-data/Pages/default.aspx

CDFI Fund | BEA Program Application 10

Compliance and Reporting Requirement

All BEA Program Award Recipients are required to use their BEA Program Award for additional BEA

Qualified Activities. All BEA Program Award Recipients are subject to compliance and reporting requirements. Compliance and reporting requirements will be included as terms and conditions of the

Award Agreement and made contingent to receipt of the Award. Reports are due 90 days from the end of the Period of Performance, as specified in the Award Recipient’s Award Agreement.

CDFI Fund | BEA Program Application 11

APPLICATION ELIGIBILITY FACTORS

FDIC-Insured Depository Status

The legislation authorizing the BEA Program specifies that eligible Applicants for the BEA Program must be Insured Depository Institutions, as defined in 12 U.S.C. §1813(c)(2). As set forth in the applicable NOFA, an Applicant must be FDIC-insured by December 31, 2017, to be eligible for an FY

2018 BEA Program Award. The Depository Institution Holding Company of an Insured Depository

Institution may not apply on behalf of an Insured Depository Institution. Applications received from

Depository Institution Holding Companies will be disqualified.

Certification Status

Although the only eligibility criteria is for Applicants to be FDIC-insured as noted above, funding priority is given to certified CDFIs. Applicants can apply as a certified CDFI or as a non-certified

CDFI. To apply as a certified CDFI, an Applicant must have received its certification designation from the CDFI Fund by the end of the Assessment Period (December 31, 2017 for the FY 2018 funding round) and maintain its status as a certified CDFI at the time BEA Program Awards are announced under the FY 2018 NOFA. Please note that additional information on the CDFI Certification requirements can be found at: www.cdfifund.gov/cdficert.

If an Applicant’s CDFI certification application was pending or under review as of December 31, 2017

(the last day of the assessment period), and was ultimately approved by the CDFI Fund prior to the opening of the FY 2018 round, then the Applicant will be treated as a certified CDFI in the FY 2017

BEA application.

The Applicant’s CDFI certification status is displayed in AMIS on their organization detail page. If the

Applicant believes that the certification status displayed is not accurate, the Applicant should contact the CDFI Fund by submitting an AMIS Service Request.

CDFI Program Award Status

As stated in the NOFA, no CDFI Applicant may receive an FY 2018 BEA Program Award if it has: (1) an application pending for assistance under the FY 2018 round of the Community Development

Financial Institutions Program (CDFI Program); (2) been awarded assistance from the CDFI Fund under the CDFI Program within the 12-month period prior to the Federal Award Date of the FY 2018

Award Agreement issued by the CDFI Program; or (3) ever received assistance under the CDFI

Program for the same activities for which it is seeking a FY 2018 BEA Program Award. Please note that Applicants may apply for both a CDFI Program Award and a BEA Program Award in FY 2018;

however, receiving an FY 2018 CDFI Program award removes an Applicant from eligibility for an FY

2018 BEA Program Award.

Prior CDFI Fund Award Recipients or Allocatees

The BEA Program NOFA includes certain eligibility requirements which generally apply to Applicants that are prior Award Recipients or Allocatees under other CDFI Fund programs.

COMPLIANCE STATUS

If an Applicant that is a prior recipient or allocatee under any CDFI Fund program: (i) has submitted reports to the CDFI Fund that demonstrate noncompliance with a previous assistance agreement, http://www.cdfifund.gov/cdficert

CDFI Fund | BEA Program Application 12 award agreement, allocation agreement, bond loan agreement, or agreement to guarantee and (ii) the CDFI Fund has yet to make a final determination as to whether the entity is in default of its previous agreement, the CDFI Fund will consider the Applicant’s Application under this NOFA pending full resolution, in the sole determination of the CDFI Fund, of the noncompliance.

DEFAULT STATUS CDFI Fund will not consider an Application submitted by an Applicant that is a prior CDFI Fund award recipient or allocatee under any CDFI Fund program if, as of the applicable

Application deadline of this NOFA, the CDFI Fund has made a final determination that such Applicant is in default of a previously executed assistance agreement, award agreement, allocation agreement, bond loan agreement, or agreement to guarantee.

Such entities will be ineligible to apply for an Award pursuant to this NOFA so long as the Applicant’s prior award or allocation remains in default status or such other time period as specified by the CDFI

Fund in writing.

Double Funding

A BEA Program Applicant may not submit as Qualified Activities any transactions funded with Award proceeds from another CDFI Fund program. Please refer to the FY 2018 BEA Program Application

Supplemental and FAQ document for additional information and examples.

CDFI Fund | BEA Program Application 13

GENERAL APPLICATION INSTRUCTIONS

System Access

AWARDS MANAGEMENT INFORMATION SYSTEM (AMIS) ACCOUNT

AMIS is the CDFI Fund’s enterprise-wide business system, built on a commercial off-the-shelf product called Salesforce, that has been configured to meet the BEA Program’s specific needs. All Applicants are required to register in AMIS and create an account. For additional guidance on creating an AMIS account, please visit the AMIS Homepage: https://amis.cdfifund.gov/s/AMISHome

Applicants with existing AMIS accounts should make sure that the information is up to date and current before beginning their BEA application. For more information on AMIS accounts, please see

AMIS training materials posted at: https://amis.cdfifund.gov/s/Training.

GRANTS.GOV

The Grants Application Package consists of one item, the SF - 424 Mandatory. The CDFI Fund requires Applicants to submit Part I of the BEA Program Application, the SF–424 Mandatory, through the official website for federal grant information and applications (www.Grants.gov). The Grants.gov registration process can take several weeks to complete, therefore, Applicants are advised to allow ample time to register with Grants.gov and should do so well in advance of the Grants Application

Package deadline. For additional information regarding the Grants.gov deadlines for timely submission of Part I of the BEA Program Application, please see Section IV.D. of the FY 2018 BEA

Program NOFA.

Applicants with questions about the Grants.gov registration or that experience technical difficulties submitting the Grants Application Package should contact Grants.gov and not the CDFI Fund, as the

CDFI Fund does not administer or maintain Grants.gov. The Grants.gov help desk can be reached by phone at 1-800-518-4726 or via email at support@grants.gov.

DUNS & EIN

Applicants are also advised that a valid Dun and Bradstreet Data Universal Numbering System

(DUNS) number and Employer Identification Number (EIN) are required for SAM.gov registration and for Grants.gov submission.

Applicants should allow sufficient time to obtain this information. Applicants unable to submit their

Grants Application Package via Grants.gov by the deadline as a result of a failure to obtain a DUNS number or to register with SAM.gov will not be allowed to submit their Grants Application Package subsequent to the application deadline.

For additional information regarding the DUNS requirements for timely submission of Part I of the

BEA Program Application, please see Section IV.E. of the FY 2018 BEA Program NOFA. See pages

16-24, within this Application, for additional details on Grants.gov submission and pages 25-45 for additional details on AMIS submission.

SAM.GOV

An active System for Awards Management (SAM) account is required to submit Part I of the BEA

Program Application, the Grants Application Package, in Grants.gov. SAM registration is required before any Application for Federal grants or forms of Federal financial assistance can be successfully https://amis.cdfifund.gov/s/AMISHome https://amis.cdfifund.gov/s/Training http://www.grants.gov/ mailto:support@grants.gov

CDFI Fund | BEA Program Application 14 submitted via Grants.gov. Recent procedural changes to Sam.gov have increased the time it takes to register, activate, update, or renew a Sam.gov account. Applicants are strongly encouraged to begin the registration process or confirm that their accounts are up-to-date as soon as possible in order to avoid potential application submission problems. The CDFI Fund will not consider any

Applicants that fail to properly register, activate, or maintain a valid SAM.gov account and, as a result, is unable to submit its Grants Application Package in Grants.gov or FY 2018 BEA Progam Application in AMIS by the respective deadlines. Applicants must have established a Sam.gov account by no later than 30 days after the release of the FY 2018 NOFA. For additional information regarding the

SAM registration deadlines for timely submission of Part I of the BEA Program Application, please see Section IV.F. of the FY 2018 BEA Program NOFA.

Applicants must contact SAM directly with questions related to SAM, as the CDFI Fund does not administer or maintain this system. For more information about SAM, please visit: www.SAM.gov or call 866-606-8220.

BEA Program Application Submission Guidance

APPLICATION PACKAGE

The BEA Program Application Package is organized by method of submission and consists of two

Parts:

Part I. Grants.gov: Grant Application Package (SF-424 Mandatory) submitted electronically through www.Grants.gov2;

Part II. AMIS: BEA Program Electronic Application submitted through AMIS.

Additional detail on how to complete a BEA Program Application can be found below in Table 1: BEA

Program Application Package Submission Guidance and Deadlines.

APPLICATION DEADLINES

The Application Package must be received by the deadlines listed in Table 1: BEA Program

Application Package Submission Guidance and Deadlines. Please note the different submission deadlines for Part I (materials submitted through Grants.gov) and Part II (materials submitted in

AMIS) of the BEA Program Application Package.

Table 1: BEA Program Application Package Submission Guidance and Deadlines

Part Required

For Application Component

Submission

Procedure

Submission

Deadline

Part I. Grants.gov All Applicants Grant Application Package:

Application for Federal

Assistance Mandatory Form

(SF-424 Mandatory)

Submitted electronically through

Grants.gov

August 23, 2018

2 Grants.gov is the official Federal government-wide website, as required by Public Law 106-107 and Section 5(a) of the Federal Financial Assistance Management Improvement Act;

http://www.sam.gov/

CDFI Fund | BEA Program Application 15

Table 1: BEA Program Application Package Submission Guidance and Deadlines

Part II. AMIS All Applicants BEA Program Electronic Application Submission:

Application Information and Questions - Follow AMIS instructions for uploading supporting documentation for transactions, when applicable.

Submitted electronically through AMIS

September 20, 2018

ENSURING THAT THE APPLICATION PACKAGE IS COMPLETE

An Applicant must complete and submit all required Application materials in such a manner as to comply with all requirements of the FY 2018 NOFA, BEA Program Regulations, and this Application by the applicable deadlines. A complete Application Package is one that includes all required materials described above.

CONTACTING THE CDFI FUND, GRANTS.GOV AND SAM.GOV

The CDFI Fund will respond to Application-related questions between the hours of 9:00 a.m. and

5:00 p.m. ET, through September 18, 2018 (two business days before the deadline for Part II (b):

BEA Program Electronic Application submitted via AMIS).

The CDFI Fund will not respond to phone calls or e-mail inquiries that are received after 5:00 p.m.

ET on , September 18, 2018, until after the deadline for Part II (b): BEA Program Electronic

Application submitted via AMIS.

The CDFI Fund will respond to technical issues related to AMIS accounts through 5:00 p.m. ET, on

September 20, 2018 (the deadline for Part II: BEA Program Electronic Application submitted via

AMIS). Please note that these are not toll free numbers.

Applicants must contact Grants.gov and SAM directly with questions related to these systems, as the CDFI Fund does not administer or maintain them.

Table 2: Contact Information

Point of Contact Phone Number Electornic Communication

Reason for Contact

CDFI Fund Main Office

202-653-0300

202-508-0089 fax www.cdfifund.gov General inquiries; phone numbers for support;

access to program web page.

Note: An Applicant that is unsure about the disbursement status of any prior Award should contact the CDFI Fund by sending an e-mail to:

cdfihelp@cdfi.treas.gov

BEA Program 202-653-0421 BEA AMIS Service Requests3

BEA Program specific or application related questions.

3 For questions regarding completion of the Application materials, the preferred electronic method of contact with the BEA Program Office is to submit a Service Request (SR) within AMIS. For the SR, select “BEA Application” for the record type.

http://www.cdfifund.gov/ mailto:cdfihelp@cdfi.treas.gov

CDFI Fund | BEA Program Application 16

Table 2: Contact Information

Certification, Compliance Monitoring and Evaluation

202-653-0423 Certification, Compliance and Reporting AMIS Service Requests4

Certification status or status of compliance with other Awards including outstanding reports.

IT Support 202-653-0422 IT AMIS Service Requests5 or AMIS@cdfi.treas.gov

Registering and creating accounts in AMIS;

technical support for the Electronic Application in

AMIS.

Grants.gov: Help Desk

1-800-518-4726 support@grants.gov Registering and submitting the Grants Application Package.

SAM.gov:

Federal Service Desk

1-800-606-8220 Web form via:

https://www.fsd.gov/fs d-gov/login.do

Registering and maintaining account in order to submit the Grants Application Package in Grants.gov.

4 For Compliance & Reporting related questions, the preferred electronic method of contact is to submit a Service Request

(SR) within AMIS. For the SR, select “General Inquiry” for the record type, and select “BEA-Compliance & Reporting” for the type.

5 For Information Technology support, the preferred method of contact is to submit a Service Request (SR) within AMIS.

For the SR, select “General Inquiry” for the record type, and select “Cross Program-AMIS technical problem” for the type.

mailto:ccme@cdfi.treas.gov mailto:AMIS@cdfi.treas.gov mailto:support@grants.gov https://www.fsd.gov/fsd-gov/login.do https://www.fsd.gov/fsd-gov/login.do

CDFI Fund | BEA Program Application 17

PART I. GRANTS.GOV: GRANTS APPLICATION

PACKAGE

In accordance with federal regulations, the CDFI Fund requires Part I of the BEA Program

Application, the Grants Application Package, to be submitted through the official website for federal grant information and applications (www.Grants.gov). The Grants Application Package is required for all Applicants. Electronically submitting the Grants Application Package certifies that the

Applicant attests that the information in the application is true, complete, and accurate, and also certifies that the Applicant will comply with the Assurances and Certifications if a BEA Program

Award is made. Details for completing the Grants Application Package are provided below in Table

3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions. Please refer to page 12 regarding ample time to register with Grants.gov and contact information for any technical difficulties you may encounter.

Table 3: Standard Form (SF) – 424 Mandatory Instructions

The SF-424 Mandatory is located in the ‘Mandatory Documents’ box of the downloaded Grant

Application Package in Grants.gov. To access the form, select SF - 424 Mandatory, then click on the ‘Move Form to Complete’ button. The SF - 424 Mandatory will move to the ‘Mandatory

Documents for Submission’ box. Click on the ‘Open Form’ button to open the form.

Table 3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions

Please note only the fields highlighted in Yellow (on Grants.gov) are mandatory. The other fields are not required. Table 3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions lists the fields and indicates those that are required.

Field Required Instructions

1.a. Type of Submission: Yes ‘Application’ is automatically selected

1.b. Frequency Yes ‘Annual’ is automatically selected

1.c. Consolidated Application/Plan/Funding

Request

Yes ‘No’ is automatically selected

1.d. Version Yes ‘Initial’ is automatically selected

2. Date Received: Yes Automatically filled by the system upon submission – no entry necessary.

3. Applicant Identifier: No Not Applicable – leave blank

4.a. Federal Entity Identifier: No Not Applicable – leave blank

4.b. Federal Award Identifier: Yes Enter “21.021”

5. Date Received by State No State use only: Not Applicable – leave blank

6. State Application Identifier No State use only: Not Applicable – leave blank.

7.a. Applicant Information: Legal Name Yes Enter the legal name of the Applicant.

CDFI Fund | BEA Program Application 18

Table 3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions

Please note only the fields highlighted in Yellow (on Grants.gov) are mandatory. The other fields are not required. Table 3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions lists the fields and indicates those that are required.

7.b. Employer/Taxpayer Identification Number

(EIN/TIN):

Yes Enter the Applicant’s EIN/TIN. The EIN/TIN must match the EIN/TIN in the Applicant’s AMIS organization profile.

7.c. Organizational DUNS: Yes Enter the Applicant’s DUNS. The EIN/TIN must match the EIN/TIN in the Applicant’s AMIS organization profile.

7.d. Address: Yes Complete all fields with Applicant’s mailing address.

Include 9-digit zip.

7.e. Organizational Unit: No Not Applicable – leave blank.

7.f. Name and contact information of person to be contacted on matters involving this

Application:

Yes Enter a Contact Person, other than the Authorized

Representative (AR), who can answer questions about the submission. The Contact Person (name and contact information) identified here must match a

User/Contact Person information in the Applicant’s

AMIS account. Organizational Affiliation: leave blank.

8.a. Type of Applicant: Yes Select the most appropriate description from list of dropdown options.

8.b. Additional Description Yes Not Applicable – leave blank

9. Name of Federal Agency Yes Pre-filled – no entry necessary.

10. Catalog of Federal Domestic Assistance

Number / CFDA Title:

No Pre-filled – no entries necessary. If not, enter 21.021.

11. Descriptive Title of Applicant’s Project No Enter the category description of Qualified Activities which are being considered for a BEA Program Award

(e.g., CDFI Related Activities, Distressed Community

Financing Activities, or Service Activities).

12. Areas Affected by Funding No Not Applicable – leave blank

13. Congressional Districts Of: (a) Applicant;

and (b) Program/Project

Yes See www.house.gov to find congressional district.

Use same for both boxes.

14. Funding Period: (a) Start Date; and (b) End

Date

Yes Start Date: Enter “01/01/2017”; End Date: Enter

“12/31/2017”

15. Estimated Funding: (a) Federal ($); and (b)

Match ($)

Yes If Applicant has already completed its BEA Program

Electronic Application, enter the Estimated BEA

Program Award Calculation amount for Federal.

Otherwise, enter an estimated Award amount, not exceeding $1,000,000, for Federal. Enter zeros in other boxes.

16. Is Submission Subject to Review by State: Yes Select option C.

http://www.house.gov/

CDFI Fund | BEA Program Application 19

Table 3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions

Please note only the fields highlighted in Yellow (on Grants.gov) are mandatory. The other fields are not required. Table 3: Standard Form (SF) – 424 Mandatory Instructions & Field Descriptions lists the fields and indicates those that are required.

17. Is the Applicant Delinquent on Any Federal

Debt:

Yes Answer and provide explanation if “Yes” selected.

18. Applicant Certification/ Authorized

Representative (AR):

Yes Click the ‘I Agree’ button. Complete all fields for AR information. AR (name and contact information) must match the Authorized Representative’s information in the Applicant’s AMIS account.

Worksheet: Consolidated

Application/Plan/Funding Request Explanation

No

Not Applicable – leave blank

Worksheet: Applicant Federal Debt Delinquent

Explanation

No

Complete if applicable

Assurances and Certifications

The Assurances and Certifications have been provided below. Applicants can also view them on:

Grants.gov - www.grants.gov under the “Related Documents” tab when viewing the FY

2018 BEA Program Application grant opportunity; and

The BEA Program Page on the CDFI Fund’s website: https://www.cdfifund.gov/programs-training/Programs/bank_enterprise_award/Pages/apply-step.aspx#step1

Applicants are advised that by signing the certification on the SF 424 Mandatory Form they are certifying that they will comply with the Assurances and Certifications listed below if an Award is made. The CDFI Fund acknowledges that certain provisions of the Assurances and Certifications may not be applicable to every Applicant. An Applicant may not modify any of the Assurances and

Certifications.

A. Standard Form 424B: Assurances -- Non-Construction Programs

As the duly authorized representative of the Applicant, I certify that the Applicant:

1. Has the legal authority to apply for Federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-Federal share of project costs) to ensure proper planning, management and completion of the project described in this

Application.

2. Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the State, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the Award; and will establish a proper accounting system in accordance with generally accepted accounting standards or agency directives.

3. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain.

http://www.grants.gov/ https://www.cdfifund.gov/programs-training/Programs/bank_enterprise_award/Pages/apply-step.aspx#step1 https://www.cdfifund.gov/programs-training/Programs/bank_enterprise_award/Pages/apply-step.aspx#step1

CDFI Fund | BEA Program Application 20

4. Will initiate and complete the work (activities in Application) within the applicable time frame after receipt of approval of the awarding agency.

5. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. 4728-4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of Ohm’s Standards for a Merit

System of Personnel Administration (5 C.F.R. 900, Subpart F).

6. Will comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L.88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education

Amendments of 1972, as amended (20 U.S.C.1681-1683, 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C.794), which prohibits discrimination on the basis of handicaps; (d) the

Age Discrimination Act of 1975, as amended (42 U.S.C.6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972

(P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the

Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L.91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) Sections 523 and 527 of the Public Health Service Act of 1912 (42

U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for

Federal assistance is being made; and (j) the requirements of any other nondiscrimination statutes which may apply to the Application.

7. Will comply, or has already complied, with the requirements of Titles II and III of the Uniform

Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases.

8. Will comply with the provisions of the Hatch Act (5 U.S.C.1501-1508 & 7324-7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds.

9. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. 276a to

276a-7), the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874), and the Contract Work

Hours and Safety Standards Act (40 U.S.C. 327-333), regarding labor standards for federally assisted construction sub agreements.

10. Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more.

11. Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National

CDFI Fund | BEA Program Application 21

Environmental Policy Act of 1969 (P.L.91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to

EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. 1451et seq.); (f) conformity of

Federal actions to State Implementation Plans under Section 176(c) of the Clean Air Act of

1955, as amended (42 U.S.C. 7401 et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L.93-523); and

(h) protection of endangered species under the Endangered Species Act of 1973, as amended, (P.L.93-205).

12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system.

13. Will assist the awarding agency in assuring compliance with Section 106 of the National

Historic Preservation Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).

14. Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this Award of assistance.

15. Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7

U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this Award of assistance.

16. Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.)

which prohibits the use of lead based paint in construction or rehabilitation of residence structures.

17. Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of 1984.

18. Will comply with all applicable requirements of all other Federal laws, executive orders, regulations and policies governing this program.

B. Additional Certifications

In addition to the assurances and certifications provided by the Applicant pursuant to OMB

Standard Form 424, the Applicant hereby assures and certifies that:

1. It is duly organized and validly existing under the laws of the jurisdiction in which it was incorporated or otherwise established, and is (or within 30 days will be) authorized to do business in any jurisdiction in which it proposes to undertake activities specified in this

Application;

2. Its Board of Directors (or similar governing body) has, by proper resolution or similar action, authorized the filing of this Application, including all understandings and assurances contained herein, and directed and authorized the person identified as the authorized representative of the Applicant to act in connection with this Application and to provide such additional information as may be required;

CDFI Fund | BEA Program Application 22

3. It will comply with all applicable requirements of the Community Development Banking and

Financial Institutions Act of 1994 (the Act) [12 U.S.C. 4701 et seq.], regulations implementing the Act and all other applicable Department of the Treasury regulations and implementing procedures (and any regulations or procedures which are later promulgated to supplement or replace them);

4. It will comply, as applicable and appropriate, with the requirements of OMB Circulars (e.g., 2

C.F.R. Part 200, Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards) and any regulations and circulars which are later promulgated to supplement or replace them, including standards for fund control and accountability;

5. It has not knowingly and willfully made or used a document or writing containing any false, fictitious or fraudulent statement or entry as part of this Application or any related document, correspondence or communication. (The Applicant and its authorized representative should be aware that, under 18 U.S.C. 1001, whoever knowingly and willfully makes or uses such document or writing shall be fined or imprisoned for not more than five years, or both); and

6. The information in this Application, and in these assurances and certifications in support of the Application, is true and correct to the best of the Applicant’s knowledge and belief and the filing of this Application has been duly authorized.

C. Certification Regarding Debarment, Suspension, and Other Responsibility Matters --

Primary Covered Transactions: Instructions for Certification

1. By signing and submitting this Application, the prospective primary participant (the

Applicant) is providing the certification set out below.

2. The inability of a person to provide the certification required below will not necessarily result in the denial of participation in this covered transaction. The prospective Applicant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the CDFI Fund’s determination of whether to enter into this transaction (approval and funding of the

Application). However, failure of the Applicant to furnish a certification or an explanation shall disqualify such person from participation in this transaction.

3. This certification is a material representation of fact upon which reliance is placed when the

CDFI Fund determines to enter into this transaction. If it is later determined that the

Applicant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the CDFI Fund may terminate this transaction for cause or default.

4. The Applicant shall provide immediate written notice to the CDFI Fund if at any time the

Applicant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The terms “covered transactions,” “debarred,” “suspended,” “ineligible,” “lower tier covered transaction,” “participant,” “person,” “primary covered transaction,” “principal,” “proposal,” and “voluntarily excluded,” as used in this clause (certification), have the meanings set out in the Definitions and Coverage sections of the rules implementing Executive Order 12549.

CDFI Fund | BEA Program Application 23

You may contact the CDFI Fund for assistance in obtaining a copy of those regulations (31

C.F.R. part 19).

6. The Applicant agrees by submitting this Application that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the CDFI Fund.

7. The Applicant further agrees by submitting this Application that it will include the clause titled

“Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower

Tier Covered Transaction,” to be provided by the CDFI Fund, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions (see

31 C.F.R. part 19, Appendix B).

8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the No

Procurement List.

9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this…